Financial Crimes Enforcement Network; Privacy Act of 1974, as Amended; Systems of Records, 45756-45761 [05-15598]
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45756
Federal Register / Vol. 70, No. 151 / Monday, August 8, 2005 / Notices
Estimated Number of Respondents:
1,540.
Estimated annual burden hour: 9,167.
Issued in Washington, DC on July 29, 2005.
Florence L. Hamn,
Director, Office of Regulations.
[FR Doc. 05–15559 Filed 8–5–05; 8:45 am]
BILLING CODE 4910–60–P
DEPARTMENT OF TRANSPORTATION
Pipeline and Hazardous Materials
Safety Administration
[Docket: RSPA–98–4957]
Request for Public Comments and
Office of Management and Budget
(OMB) Approval of an Existing
Information Collection (2137–0593)
Office of Pipeline Safety,
Pipeline and Hazardous Materials Safety
Administration, Department of
Transportation (DOT).
SUMMARY: In compliance with the
Paperwork Reduction Act of 1995 (44
U.S.C. 3501 et seq.), this notice
announces that the Information
Collection Request (ICR) described
below has been forwarded to the Office
of Management and Budget (OMB) for
extension of currently approved
collection. The ICR describes the nature
of the information collection and the
expected burden. The Federal Register
Notice with a 60-day comment period
soliciting comments on the following
collection of information was published
on May 23, 2005, [FR 70, page 29554].
DATES: Comments must be submitted on
or before September 7, 2005.
ADDRESSES: Send comments to the
Office of Information and Regulatory
Affairs, Office of Management and
Budget, 725–17th Street, NW.,
Washington, DC 20503, Attention DOT
Desk Officer.
FOR FURTHER INFORMATION CONTACT:
Florence Hamn, (202) 366–3015, by email at Florence.Hamn@dot.gov.
SUPPLEMENTARY INFORMATION: Comments
are invited on whether the proposed
collection of information is necessary
for the proper performance of the
functions of the Department, including
whether the information will have
practical utility; the accuracy of the
Department’s estimate of the burden of
the proposed information collections;
ways to enhance the quality, utility, and
clarity of the information to be
collected; and ways to minimize the
burden of the collection of information
on respondents, in including the use of
automated collection techniques of
other forms of information technology.
AGENCY:
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Standards in 49 CFR 192.383, ‘‘Excess
flow valve customer notification,’’
require that before operators install or
replace certain gas service lines, they
must notify customers in writing that
excess flow valves are available for
installation if the customer agrees to pay
for the related expenses. Operators also
must keep records that include the
notice currently in use and evidence
that the operator sent notices, as
required, during the previous 3 years.
The standards were published in
response to a statutory mandate in 49
U.S.C. 60110(c).
This information collection supports
the DOT strategic goal of safety by
reducing the number of fatalities, the
number of injuries, and the amount of
property damage.
As used in this notice, ‘information
collection’ includes all work related to
preparing and disseminating
information related to this
recordkeeping requirement including
completing paperwork, gathering
information and conducting telephone
calls.
Type of Information Collection
Request: Renewal of Existing Collection.
Title of Information Collection:
Recordkeeping Requirements for Excess
Flow Valves—Customer Notification.
OMB Approval Number: 2137–0593.
Frequency: A notice is sent before a
new service line is installed or an
existing service line is replaced.
Use: This collection is used by gas
customers to decide whether to have
EFVs installed and by government
inspectors to review operator
compliance.
Estimated Number of Respondents:
1,540.
Estimated annual burden hour:
18,000.
Issued in Washington DC on July 29, 2005.
Florence L. Hamn,
Director, Office of Regulations.
[FR Doc. 05–15560 Filed 8–5–05; 8:45 am]
BILLING CODE 4910–60–P
DEPARTMENT OF THE TREASURY
Financial Crimes Enforcement
Network; Privacy Act of 1974, as
Amended; Systems of Records
FinCEN, Treasury.
ACTION: Notice of systems of records.
Pursuant
to the Privacy Act of 1974 (5 U.S.C.
552a) and the Office of Management and
Budget (OMB) Circular No. A–130, the
FinCEN has completed a review of its
Privacy Act systems of records notices
to identify minor changes that will more
accurately describe these records.
FinCEN’s Privacy Act system of records
notices were last published in their
entirety on February 19, 2002, at 67 FR
7492, 67 FR 7496, and 67 FR 7498,
respectively.
Prior to October 26, 2001, the date of
enactment of the Uniting and
Strengthening America by Providing
Appropriate Tools Required to Intercept
and Obstruct Terrorism Act of 2001 (the
‘‘USA Patriot Act’’), Pub. L. 107–56,
FinCEN was placed within the
Departmental Offices of the Department
of the Treasury. Section 361 of the USA
Patriot Act created a new Section 310 in
Subchapter I of chapter 3 of Title 31,
United States Code, making FinCEN a
Treasury bureau. On November 25,
2003, FinCEN’s three Privacy Act
systems of records, previously identified
as ‘‘DO .200 FinCEN Database,’’ ‘‘DO
.212 Suspicious Activity Reporting
System,’’ and ‘‘DO .213 Bank Secrecy
Act Reports System,’’ have been renumbered to reflect FinCEN’s status as
a Treasury Bureau (68 FR 66159).
SUPPLEMENTARY INFORMATION:
Systems Covered by This Notice
This notice covers all systems of
records adopted by the Bureau up to
May 2, 2005. The systems notices are
reprinted in their entirety following the
Table of Contents.
Dated: August 1, 2005.
Nicholas Williams,
Deputy Assistant Secretary for Headquarters
Operations.
Table of Contents
Financial Crimes Enforcement Network
(FinCEN)
FinCEN .001-FinCEN Data Base (formerly
Treasury/DO .200)
FinCEN .002-Suspicious Activity Report
System (the SAR System) (formerly
Treasury/DO .212)
FinCEN .003-Bank Secrecy Act Reports
System (formerly Treasury/DO .213)
Treasury/FinCEN .001
AGENCY:
SUMMARY: In accordance with the
requirements of the Privacy Act of 1974,
as amended, 5 U.S.C. 552a, the
Financial Crimes Enforcement Network
(FinCEN), Treasury, is publishing its
Privacy Act systems of records.
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SYSTEM NAME:
FinCEN Data Base—Treasury/FinCEN
SYSTEM LOCATION:
The Financial Crimes Enforcement
Network, P. O. Box 39, Vienna, VA
22183–0039.
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CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
(1) Individuals who relate in any
manner to official FinCEN efforts in
support of the enforcement of the Bank
Secrecy Act and money-laundering and
other financial crimes. Such individuals
may include, but are not limited to,
subjects of investigations and
prosecutions; suspects in investigations;
victims of such crimes; witnesses in
such investigations and prosecutions;
and close relatives and associates of any
of these individuals who may be
relevant to an investigation; (2) current
and former FinCEN personnel whom
FinCEN considers relevant to an
investigation or inquiry; and (3)
individuals who are the subject of
unsolicited information possibly
relevant to violations of law or
regulations, who offer unsolicited
information relating to such violations,
who request assistance from FinCEN,
and who make inquiries of FinCEN.
CATEGORIES OF RECORDS IN THE SYSTEM:
Every possible type of information
that contributes to effective law
enforcement may be maintained in this
system of records, including, but not
limited to, subject files on individuals,
corporations, and other legal entities;
information provided pursuant to the
Bank Secrecy Act; information gathered
pursuant to search warrants; statements
of witnesses; information relating to
past queries of the FinCEN Data Base;
criminal referral information; complaint
information; identifying information
regarding witnesses, relatives, and
associates; investigative reports; and
intelligence reports.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301, 31 U.S.C. 5311 et seq.;
31 CFR part 103; Treasury Department
Order No. 105–08 (April 25, 1990).
PURPOSE(S):
The purpose of this system of records
is to support FinCEN’s efforts to provide
a government-wide, multi-source
intelligence and analytical network to
support the detection, investigation, and
prosecution of domestic and
international money laundering and
other financial crimes, and other
domestic and international criminal,
tax, and regulatory matters.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
Records in this system may be used
to:
(1) Provide responses to queries from
Federal, State, territorial, and local law
enforcement and regulatory agencies,
both foreign and domestic, regarding
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Bank Secrecy Act and other financial
crime enforcement;
(2) Furnish information to other
Federal, State, local, territorial, and
foreign law enforcement and regulatory
agencies responsible for investigating or
prosecuting the violations of, or for
enforcing or implementing a statute,
rule, regulation, order, or license, where
FinCEN becomes aware of an indication
of a violation or potential violation of
civil or criminal law or regulation;
(3) Furnish information to the
Department of Defense, to support its
role in the detection and monitoring of
aerial and maritime transit of illegal
drugs into the United States and any
other role in support of law enforcement
that the law may mandate;
(4) Respond to queries from
INTERPOL in accordance with agreed
coordination procedures between
FinCEN and INTERPOL;
(5) Furnish information to individuals
and organizations, in the course of
enforcement efforts, to the extent
necessary to elicit information pertinent
to financial law enforcement;
(6) Furnish information to a court,
magistrate, or administrative tribunal in
the course of presenting evidence,
including disclosures to opposing
counsel or witnesses in the course of
civil discovery, litigation, or settlement
negotiations, in response to a subpoena,
or in connection with civil or criminal
law proceedings;
(7) Furnish information to the news
media in accordance with the guidelines
contained in 28 CFR 50.2, which relate
to civil and criminal proceedings; and
(8) Furnish information to the
Department of State and the Intelligence
Community to further those agencies’
efforts with respect to national security
and the foreign aspects of international
narcotics trafficking.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Magnetic media and hard copy.
RETRIEVABILITY:
By name, address, or unique
identifying number.
SAFEGUARDS:
All FinCEN personnel accessing the
system will have successfully passed a
background investigation. FinCEN will
furnish information from the system of
records to approved personnel only on
a ‘‘need to know’’ basis using passwords
and access control. Procedural and
physical safeguards to be utilized
include the logging of all queries and
periodic review of such query logs;
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compartmentalization of information to
restrict access to authorized personnel;
physical protection of sensitive hard
copy information; encryption of
electronic communications; intruder
alarms; and 24-hour building guards.
RETENTION AND DISPOSAL:
FinCEN personnel will review records
each time a record is retrieved and on
a periodic basis to see whether it should
be retained or modified. FinCEN will
dispose of all records after twenty years.
Records will be disposed of by erasure
of magnetic media and by shredding
and/or burning of hard copy documents.
SYSTEM MANAGER(S) AND ADDRESSES:
Deputy Director, Financial Crimes
Enforcement Network, P.O. Box 39,
Vienna, VA 22183–0039.
NOTIFICATION PROCEDURE:
Pursuant to 5 U.S.C. 552a(j)(2), (k)(1),
and (k)(2), this system of records may
not be accessed for purposes of
determining if the system contains a
record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
See ‘‘Notification procedure’’ above.
CONTESTING RECORD PROCEDURES:
See ‘‘Notification procedure’’ above.
RECORD SOURCE CATEGORIES:
See ‘‘Categories of individuals
covered by the system’’ above. The
system contains material for which
sources need not be reported.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system is exempt from 5 U.S.C.
552a(c)(3), (c)(4), (d)(1), (d)(2), (d)(3),
(e)(1), (e)(2), (e)(3), (e)(4)(G), (H), and (I),
(e)(5), (e)(8), (f), and (g) of the Privacy
Act pursuant to 5 U.S.C. 552a(j)(2),
(k)(1), and (k)(2). See 31 CFR 1.36.
TREASURY/FinCEN .002
SYSTEM NAME:
Suspicious Activity Report System
(the ‘‘SAR System’’)—Treasury/FinCEN
System location:
The Internal Revenue Service Detroit
Computing Center (DCC), 985 Michigan
Avenue, Detroit, Michigan 48226–1129
and the Financial Crimes Enforcement
Network (FinCEN), P.O. Box 39, Vienna,
VA 22183–0039.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
The SAR System contains information
about:
(1) Individuals or entities that are
known perpetrators or suspected
perpetrators of a known or suspected
federal criminal violation, or pattern of
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criminal violations, committed or
attempted against a financial institution,
or participants in a transaction or
transactions conducted through the
financial institution, that has been
reported by the financial institution,
either voluntarily or because such a
report is required under the rules of
FinCEN, one or more of the Federal
Supervisory Agencies (the Board of
Governors of the Federal Reserve
System (the Board), the Office of the
Comptroller of the Currency (OCC), the
Federal Deposit Insurance Corporation
(FDIC), the Office of Thrift Supervision
(OTS), and the National Credit Union
Administration (NCUA) (collectively,
the ‘‘Federal Supervisory Agencies’’)),
or both.
(2) Individuals or entities that are
participants in transactions, conducted
or attempted by, at, or through a
financial institution, that have been
reported because the institution knows,
suspects, or has reason to suspect that:
(a) The transaction involves funds
derived from illegal activities, the
transaction is intended or conducted to
hide or disguise funds or assets derived
from illegal activities as part of a plan
to violate or evade any law or regulation
or to avoid any transaction reporting
requirement under Federal law; (b) the
transaction is designed to evade any
regulations promulgated under the Bank
Secrecy Act, Pub. L. 91–508, as
amended, codified at 12 U.S.C. 1829b,
12 U.S.C. 1951–1959, and 31 U.S.C.
5311–5331; or (c) the transaction has no
business or apparent lawful purpose or
is not the sort in which the particular
customer would normally be expected
to engage, and the financial institution
knows of no reasonable explanation for
the transaction after examining the
available facts, including the
background and possible purpose of the
transaction;
(3) Individuals who are directors,
officers, employees, agents, or otherwise
affiliated with a financial institution;
(4) Individuals or entities that are
actual or potential victims of a criminal
violation or series of violations;
(5) Individuals who are named as
possible witnesses in connection with
matters arising from any such report;
(6) Individuals or entities named as
preparers of any such report;
(7) Individuals or entities named as
persons to be contacted for assistance by
government agencies in connection with
any such report;
(8) Individuals or entities who have or
might have information about
individuals or criminal violations
described above;
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(9) Individuals or entities involved in
evaluating or investigating any matters
arising from any such report;
(10) Individuals, entities and
organizations suspected of engaging in
terrorist and other criminal activities
and any person who may be affiliated
with such individuals, entities or
organizations;
(11) Individuals or entities named by
financial institutions as persons to be
contacted for further assistance by
government agencies in connection with
individuals, entities or organizations
suspected of engaging in terrorist or
other criminal activities; and
(12) Individuals or entities involved
in evaluating or investigating any
matters in connection with individuals,
entities or organizations suspected of
engaging in terrorist or other criminal
activity.
CATEGORIES OF RECORDS IN THE SYSTEM:
The SAR System contains information
reported to FinCEN by a financial
institution (including, but not limited
to, a depository institution, a money
services business, a broker-dealer in
securities, and a casino) on a Suspicious
Activity Report (‘‘SAR’’) that is filed
voluntarily or as required under the
authority of FinCEN, one or more of the
Federal Supervisory Agencies, or under
any other authority. The SAR System
also may contain information that may
relate to terrorist or other criminal
activity that is reported voluntarily to
FinCEN by any individual or entity
through any other means, including
through FinCEN’s Financial Institutions
Hotline. The SAR System also may
contain information relating to
individuals, entities, and organizations
reasonably suspected based on credible
evidence of engaging in terrorist or other
criminal activities, including
information provided to FinCEN from
financial institutions regarding such
individuals, entities, and organizations.
SARs contain information about the
categories of persons or entities
specified in ‘‘Categories of Individuals
Covered by the system.’’ The SAR
System may also contain records
pertaining to criminal prosecutions,
civil actions, enforcement proceedings,
and investigations resulting from or
relating to SARs. Additionally, it will
contain records pertaining to criminal
prosecutions, civil actions, enforcement
proceedings, and investigations relating
to institutions required to file reports or
under the supervision of one or more of
the Federal Supervisory agencies.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The system is established and
maintained in accordance with 31
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U.S.C. 5318(g); 31 CFR Part 103; 31
U.S.C. 321; and 31 U.S.C. 310.
PURPOSE(S):
The requirements of FinCEN and the
Federal Supervisory Agencies create an
integrated process for reporting
suspicious activity and known or
suspected crimes by, at, or through
depository institutions and certain of
their affiliates. The process is based on
a single uniform SAR filed with
FinCEN.
The SAR System has been created, as
a key part of this integrated reporting
process, to permit coordinated and
enhanced analysis and tracking of such
information, and rapid dissemination of
SAR information to appropriate law
enforcement and supervisory agencies.
The provisions of 31 U.S.C.
5318(g)(4)(B) specifically require that
the agency designated as repository for
SARs refer those reports to any
appropriate law enforcement or
supervisory agency.
Data from the SAR System will be
exchanged, retrieved, and disseminated,
both manually and electronically among
FinCEN, the Federal Supervisory
Agencies, appropriate Federal, State,
and local law enforcement agencies, and
State banking supervisory agencies.
Agencies to which information will be
referred electronically, which in certain
cases may involve electronic transfers of
batch information, include the Federal
Supervisory Agencies, the Federal
Bureau of Investigation (FBI), the
Criminal Investigation Division of the
Internal Revenue Service, the United
States Secret Service, the United States
Customs and Border Protection, the
Executive Office of the United States
Attorneys and the Offices of the 93
United States Attorneys, and State bank
supervisory agencies and certain State
law enforcement agencies, which have
entered into appropriate agreements
with FinCEN. (The FBI and Secret
Service may receive electronic transfers
of batch information as forms are filed
to permit those agencies more efficiently
to carry out their investigative
responsibilities.) Organizations to which
information is regularly disseminated
are referred to as SAR System Users. It
is anticipated that information from the
SAR System will also be disseminated
to other appropriate Federal, State, or
local law enforcement organizations and
regulatory agencies that enter into
appropriate agreements with FinCEN. In
addition, information may be
disseminated to non-United States
financial regulatory and law
enforcement agencies.
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ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
These records may be used to:
(1) Provide information or records,
electronically or manually, to SAR
System Users relevant to the
enforcement and supervisory programs
and operations of those Users;
(2) Provide SAR System Users and
their Executive Departments with
reports that indicate the number,
amount, individual identity, and other
details concerning potential violations
of the law that have been the subject of
Suspicious Activity Reports;
(3) Provide information or records to
any appropriate domestic or non-United
States governmental agency or selfregulatory organization charged with the
responsibility of administering law or
investigating or prosecuting violations
of law, or charged with the
responsibility of enforcing or
implementing a statute, rule, regulation,
order, or policy, or charged with the
responsibility of issuing a license,
security clearance, contract, grant, or
benefit, when relevant to the
responsibilities of these agencies or
organizations;
(4) Provide information or records,
when appropriate, to international and
foreign governmental authorities in
accordance with law and formal or
informal international agreement;
(5) Disclose on behalf of a SAR
System User, the existence, but not
necessarily the content, of information
or records to a third party, in cases
where a SAR System User is a party or
has a direct interest and where the SAR
System User has concluded that such
disclosure is necessary;
(6) Provide information or records to
the Department of Justice, or in a
proceeding before a court, adjudicative
body, or other administrative body
before which the SAR System User is
authorized to appear, when (a) the SAR
System User, or any component thereof;
or (b) any employee of the SAR System
User in his or her official capacity; or (c)
any employee of the SAR System User,
where the Department of Justice or the
SAR System User has agreed to
represent the employee; or (d) the
United States is a party to litigation or
has an interest in such litigation, when
the SAR System User determines that
litigation is likely to affect the SAR
System User or any of its components
and the use of such records by the
Department of Justice or the SAR
System User is deemed by the SAR
System User to be relevant and
necessary to the litigation, provided,
however, that in each case it has been
determined that the disclosure is
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compatible with the purpose for which
the records were collected;
(7) Disclose information or records to
individuals or entities to the extent
necessary to elicit information pertinent
to the investigation, prosecution, or
enforcement of civil or criminal statutes,
rules, regulations, or orders;
(8) In accordance with Executive
Order 12968 (August 2, 1995), provide
information or records to any
appropriate government authority in
connection with investigations and
reinvestigations to determine eligibility
for access to classified information to
the extent relevant for matters that are
by statute permissible subjects of
inquiry;
(9) Provide, when appropriate,
information or records to a bar
association, or other trade or
professional organization performing
similar functions, for possible
disciplinary action;
(10) Provide information or records to
the Department of State and to the
United States Intelligence Community,
within the meaning of Executive Order
12333 (December 4, 1981) to further
those agencies’ efforts with respect to
national security and international
narcotics trafficking;
(11) Furnish analytic and statistical
reports to government agencies and the
public providing information about
trends and patterns derived from
information contained on Suspicious
Activity Reports, in a form in which
individual identities are not revealed;
(12) Disclose information or records to
any person with whom FinCEN, the
DCC, or a SAR System User contracts to
provide consulting, data processing,
clerical, or secretarial functions relating
to the official programs and operations
of FinCEN, DCC, or the SAR System
User; and
(13) Disclose information to United
States intelligence agencies in the
conduct of intelligence or
counterintelligence activities, including
analysis, to protect against international
terrorism.
45759
government officials) or by the use of
search and selection criteria.
SAFEGUARDS:
The system is located in a guarded
building that has restricted access.
Access to the computer facilities and
any paper records is subject to
additional physical safeguards that
restrict access. Access to any electronic
records in the system is restricted by
means of passwords and nontransferable identifiers issued to
authorized SAR System Users. The
system complies with all applicable
security requirements of the Department
of the Treasury.
RETENTION AND DISPOSAL:
Records in this system will be
updated periodically to reflect changes,
and will be maintained in electronic
form as long as needed for the purpose
for which the information was collected.
Records will then be disposed of in
accordance with applicable law.
SYSTEM MANAGER AND ADDRESS:
Deputy Director, Financial Crimes
Enforcement Network, P.O. Box 39,
Vienna, VA 22183–0039.
NOTIFICATION PROCEDURE:
This system is exempt from
notification requirements, record access
requirements, and requirements that an
individual be permitted to contest its
contents, pursuant to the provisions of
5 U.S.C. 552a(j)(2) and (k)(2).
RECORD ACCESS PROCEDURES:
See ‘‘Notification procedure’’ above.
CONTESTING RECORD PROCEDURES:
See ‘‘Notification procedure’’ above.
RECORD SOURCE CATEGORIES:
Records are maintained in magnetic
media and on hard paper copy.
Records in this system may be
provided by or obtained from:
individuals; financial institutions and
certain of their affiliates; Federal
Supervisory Agencies; State financial
institution supervisory agencies;
domestic or foreign governmental
agencies; foreign or international
organizations; and commercial sources.
Pursuant to the provisions of 5 U.S.C.
552a(j)(2) and (k)(2), this system is
exempt from the requirement that the
Record source categories be disclosed.
RETRIEVABILITY:
EXEMPTIONS CLAIMED FOR THE SYSTEM:
Data in the SAR System may be
retrieved by sectionalized data fields
(i.e., name of financial institution or
holding company, type of suspected
violation, individual suspect name,
witness name, and name of individual
authorized to discuss the referral with
This system is exempt from 5 U.S.C.
552a(c)(3), (c)(4), (d)(1), (d)(2), (d)(3),
(d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G),
(e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (f), and
(g) of the Privacy Act pursuant to 5
U.S.C. 552a(j)(2) and (k)(2). See 31 CFR
1.36.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
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TREASURY/FinCEN .003
SYSTEM NAME:
Bank Secrecy Act Reports System—
Treasury/FinCEN
SYSTEM LOCATION:
Electronic Records: Currency and
Banking Retrieval System, Internal
Revenue Service Detroit Computing
Center, 985 Michigan Avenue, Detroit,
Michigan, 48226–1129 and Treasury
Enforcement Communications System,
United States Customs and Border
Protection, Newington, 7681 Boston
Boulevard, Springfield, Virginia, 22153–
3140. Paper Records: FinCEN Form
105—U.S. Customs and Border
Protection, Newington, VA. All other
forms, including, but not limited to,
FinCEN Form 104, TDF 90.22–1 and
Form 8362—Internal Revenue Service,
Detroit, MI.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Persons identified in reports filed
under the Bank Secrecy Act and its
implementing regulations (31 CFR part
103) including, but not limited to,
reports made on FinCEN Form 104
(Currency Transaction Report), FinCEN
Form 103 (Currency Transaction Report
by Casinos), forms filed by casinos
located in the State of Nevada in lieu of
Form 8362, FinCEN Form 8300 (Report
of Cash Payments Over $10,000
Received in a Trade or Business),
FinCEN Form 105 (Report of
International Transportation of
Currency or Monetary Instruments),
Treasury Form TDF 90–22.1 (Report of
Foreign Bank and Financial Accounts),
Treasury Form TDF 90–22.53
(Designation of Exempt Person), and
FinCEN Form 107 (Registration of
Money Services Businesses). (This
system of records does not cover
persons identified in Suspicious
Activity Reports, TDF 90–22.47. Those
reports are included in another system
of records, ‘‘Suspicious Activity
Reporting System—Treasury/FinCEN
.002.’’)
CATEGORIES OF RECORDS IN THE SYSTEM:
Information or reports filed under the
Bank Secrecy Act and its implementing
regulations (31 CFR part 103) including,
but not limited to, reports made on
FinCEN Form 104 (Currency
Transaction Report), FinCEN Form 103
(Currency Transaction Report by
Casinos), forms filed by casinos located
in the State of Nevada in lieu of Form
8362, FinCEN Form 8300 (Report of
Cash Payments Over $10,000 Received
in a Trade or Business), FinCEN Form
105 (Report of International
Transportation of Currency or Monetary
VerDate jul<14>2003
20:13 Aug 05, 2005
Jkt 205001
Instruments), Treasury Form TDF 90–
22.1 (Report of Foreign Bank and
Financial Accounts), Treasury Form
TDF 90–22.53 (Designation of Exempt
Person), and FinCEN Form 107
(Registration of Money Services
Businesses). (This system does not
include Suspicious Activity Reports,
TDF 90–22.47, required under 31 CFR
part 103. Those reports are included in
another system of records, ‘‘Suspicious
Activity Reporting System—Treasury/
FinCEN .002’’). These reports include
names of individuals and other entities
filing the reports, names of the owners
of monetary instruments, the amounts
and kinds of currency or other monetary
instruments transported, reported, or in
foreign banking accounts, account
numbers, addresses, dates of birth, and
other personal identifiers.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
12 U.S.C. 1829b and 1951–1959; 31
U.S.C. 5311–5331; 5 U.S.C. 301; 31 CFR
part 103; 31 U.S.C. 310.
PURPOSE(S):
The Bank Secrecy Act, codified at 12
U.S.C. 1829b and 1951–1959 and 31
U.S.C. 5311–5331 authorizes the
Secretary of the Treasury to issue
regulations requiring records and
reports that are determined to have a
high degree of usefulness in criminal,
tax, and regulatory matters. The
Secretary’s authority has been
implemented through regulations
promulgated at 31 CFR part 103. The
purpose of this system of records is to
maintain the information contained on
the reports required under these
regulations. This information is
disseminated, both electronically and
manually, in accordance with strict
safeguards, to appropriate Federal,
State, local, and foreign criminal law
enforcement and regulatory personnel
in the official performance of their
duties. The information is used in a
wide range of criminal investigations,
including, but not limited to,
investigation of international and
domestic money laundering, tax
evasion, fraud, and other financial
crimes, or in the conduct of intelligence
or counterintelligence activities,
including analysis, to protect against
international terrorism.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:
These records may be used to:
(1) Disclose pertinent information to
appropriate Federal, State, local, or
foreign agencies responsible for
investigating or prosecuting the
violations of, or for enforcing or
PO 00000
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Fmt 4703
Sfmt 4703
implementing, a statute, rule,
regulation, order, or license, where the
disclosing agency becomes aware of an
indication of a violation or potential
violation of civil or criminal law or
regulation;
(2) Disclose information to Federal,
State, or local agencies, maintaining
civil, criminal, or other relevant
information, which has requested
information relevant to or necessary to
the requesting agency’s hiring or
retention of an individual, or issuance
of a security clearance, license, contract,
grant, or other benefit;
(3) Disclose to appropriate Federal,
State, or local agencies engaged in the
identification, investigation, and
prosecution of violations or potential
violations of criminal statutes,
information, in a computerized format,
to identify or to permit the
identification of patterns of suspected
criminal activity that fall within the
jurisdiction of the agency requesting the
information;
(4) Provide information or records to
any appropriate domestic or non-United
States governmental agency or selfregulatory organization charged with the
responsibility of administering law or
investigating or prosecuting violations
of law, or charged with the
responsibility of enforcing or
implementing a statute, rule, regulation,
order, or policy, when relevant to the
responsibilities of these agencies or
organizations;
(5) Disclose relevant information on
individuals to authorized Federal and
State agencies through computer
matching in order to help eliminate
waste, fraud, and abuse in Government
programs and identify individuals who
are potentially in violation of civil law,
criminal law, or regulation;
(6) Disclose information to a court,
magistrate, or administrative tribunal in
the course of presenting evidence,
including disclosures to opposing
counsel or witnesses in the course of
civil discovery, litigation, or settlement
negotiations, in response to a subpoena,
or in connection with criminal law
proceedings;
(7) Provide information to the news
media, in accordance with guidelines
contained in 28 CFR 50.2, that relates to
an agency’s functions relating to civil
and criminal proceedings;
(8) Provide information to third
parties during the course of an
investigation to the extent necessary to
obtain information pertinent to the
investigation;
(9) Provide information or records to
United States intelligence agencies in
the conduct of intelligence or
counterintelligence activities, including
E:\FR\FM\08AUN1.SGM
08AUN1
Federal Register / Vol. 70, No. 151 / Monday, August 8, 2005 / Notices
analysis, to protect against international
terrorism; and
(10) Disclose to the public
information about Money Services
Businesses that have registered with
FinCEN pursuant to 31 CFR 103.41,
other than information that consists of
trade secrets, or that is privileged and
confidential commercial or financial
information.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in magnetic
media and on hard paper copy.
Avenue, Detroit, Michigan, 48226–1129
and Director, Office of Information
Technology, U.S. Customs and Border
Protection, Newington, 7681 Boston
Boulevard, Springfield, Virginia, 22153–
3140.
NOTIFICATION PROCEDURE:
This system is exempt from
notification requirements, record access
requirements, and requirements that an
individual be permitted to contest its
contents, pursuant to the provisions of
5 U.S.C. 552a(j)(2) and (k)(2).
RECORD ACCESS PROCEDURES:
See ‘‘Notification procedure’’ above.
CONTESTING RECORD PROCEDURES:
RETRIEVABILITY:
See ‘‘Notification procedure’’ above.
By name and other unique identifier.
RECORD SOURCE CATEGORIES:
SAFEGUARDS:
All persons with electronic access to
records in the system will have
successfully completed a background
investigation. All State and local agency
personnel, and all Federal personnel
outside the U. S. Department of the
Treasury with electronic access will
have successfully completed
appropriate training. Passwords and
access controls will be utilized. Signed
agreements outlining usage and
dissemination rules are required of all
non-Treasury agencies before electronic
access is authorized. Procedural and
physical safeguards include: The
logging of all queries and periodic
review of such query logs;
compartmentalization of information to
restrict access to authorized personnel;
physical protection of sensitive hard
copy documents and magnetic tapes;
encryption of electronic
communications; intruder alarms and
other security devices; and 24-hour
building guards. The system complies
with all applicable security
requirements of the Department of the
Treasury.
RETENTION AND DISPOSAL:
Records in this system will be
updated periodically to reflect changes,
and will be maintained in electronic
form as long as needed for the purposes
for which the information was collected.
Records will be disposed of in
accordance with applicable law.
SYSTEM MANAGER(S) AND ADDRESS:
General Policy: Deputy Director,
Financial Crimes Enforcement Network,
P.O. Box 39, Vienna, Virginia 22183–
0039. Computer Systems Maintenance
and Administration: Director, IRS
Computing Center, 985 Michigan
VerDate jul<14>2003
20:13 Aug 05, 2005
Jkt 205001
Pursuant to the provisions of 5 U.S.C.
552a(j)(2) and (k)(2), this system is
exempt from the requirement that the
Record source categories be disclosed.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system is exempt from 5 U.S.C.
552a(c)(3), (c)(4), (d)(1), (d)(2), (d)(3),
(d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G),
(e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (f), and
(g) of the Privacy Act pursuant to 5
U.S.C. 552a(j)(2) and (k)(2). See 31 CFR
1.36.
[FR Doc. 05–15598 Filed 8–5–05; 8:45 am]
BILLING CODE 4810–02–P
DEPARTMENT OF THE TREASURY
Bureau of the Public Debt
Proposed Collection: Comment
Request
Notice and request for
comments.
ACTION:
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 Bureau of
the Public Debt within the Department
of the Treasury is soliciting comments
concerning Regulations governing U.S.
Treasury Certificates of Indebtedness—
State and Local Government Series.
DATES: Written comments should be
received on or before October 8, 2005,
to be assured of consideration.
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Frm 00120
Fmt 4703
Sfmt 4703
45761
Direct all written comments
to Bureau of the Public Debt, Vicki S.
Thorpe, 200 Third Street, Parkersburg,
WV 26106–1328, or
Vicki.Thorpe@bpd.treas.gov.
ADDRESSES:
FOR FURTHER INFORMATION CONTACT:
Requests for additional information or
copies should be directed to Vicki S.
Thorpe, Bureau of the Public Debt, 200
Third Street, Parkersburg, WV 26106–
1328, (304) 480–6553.
SUPPLEMENTARY INFORMATION: Title:
Regulations Governing United States
Treasury Certificates Of Indebtedness—
State and Local Government Series,
Unites States Treasury Notes—State and
Local Government Series, and United
States Treasury Bonds—State and Local
Government Series.
OMB Number: 1535–0091.
Abstract: The information is
requested to establish an investor
account, issue and redeem securities.
Current Actions: None.
Type of Review: Extension.
Affected Public: State or local
governments.
Estimated Number of Respondents:
2,500.
Estimated Time Per Respondent: 13
minutes.
Estimated Total Annual Burden
Hours: 542.
Request for Comments: Comments
submitted in response to this notice will
be summarized and/or included in the
request for OMB approval. All
comments will become a matter of
public record. Comments are invited on:
(a) Whether the collection of
information is necessary for the proper
performance of the functions of the
agency, including whether the
information shall have practical utility;
(b) the accuracy of the agency’s estimate
of the burden of the collection of
information; (c) ways to enhance the
quality, utility, and clarity of the
information to be collected; (d) ways to
minimize the burden of the collection of
information on respondents, including
through the use of automated collection
techniques or other forms of information
technology; and (e) estimates of capital
or start-up costs and costs of operation,
maintenance, and purchase of services
to provide information.
Dated: August 2, 2005.
Vicki S. Thorpe,
Manager, Graphics, Printing and Records
Branch.
[FR Doc. 05–15578 Filed 8–5–05; 8:45 am]
BILLING CODE 4810–39–P
E:\FR\FM\08AUN1.SGM
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Agencies
[Federal Register Volume 70, Number 151 (Monday, August 8, 2005)]
[Notices]
[Pages 45756-45761]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 05-15598]
=======================================================================
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DEPARTMENT OF THE TREASURY
Financial Crimes Enforcement Network; Privacy Act of 1974, as
Amended; Systems of Records
AGENCY: FinCEN, Treasury.
ACTION: Notice of systems of records.
-----------------------------------------------------------------------
SUMMARY: In accordance with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a, the Financial Crimes Enforcement
Network (FinCEN), Treasury, is publishing its Privacy Act systems of
records.
SUPPLEMENTARY INFORMATION: Pursuant to the Privacy Act of 1974 (5
U.S.C. 552a) and the Office of Management and Budget (OMB) Circular No.
A-130, the FinCEN has completed a review of its Privacy Act systems of
records notices to identify minor changes that will more accurately
describe these records. FinCEN's Privacy Act system of records notices
were last published in their entirety on February 19, 2002, at 67 FR
7492, 67 FR 7496, and 67 FR 7498, respectively.
Prior to October 26, 2001, the date of enactment of the Uniting and
Strengthening America by Providing Appropriate Tools Required to
Intercept and Obstruct Terrorism Act of 2001 (the ``USA Patriot Act''),
Pub. L. 107-56, FinCEN was placed within the Departmental Offices of
the Department of the Treasury. Section 361 of the USA Patriot Act
created a new Section 310 in Subchapter I of chapter 3 of Title 31,
United States Code, making FinCEN a Treasury bureau. On November 25,
2003, FinCEN's three Privacy Act systems of records, previously
identified as ``DO .200 FinCEN Database,'' ``DO .212 Suspicious
Activity Reporting System,'' and ``DO .213 Bank Secrecy Act Reports
System,'' have been re-numbered to reflect FinCEN's status as a
Treasury Bureau (68 FR 66159).
Systems Covered by This Notice
This notice covers all systems of records adopted by the Bureau up
to May 2, 2005. The systems notices are reprinted in their entirety
following the Table of Contents.
Dated: August 1, 2005.
Nicholas Williams,
Deputy Assistant Secretary for Headquarters Operations.
Table of Contents
Financial Crimes Enforcement Network (FinCEN)
FinCEN .001-FinCEN Data Base (formerly Treasury/DO .200)
FinCEN .002-Suspicious Activity Report System (the SAR System)
(formerly Treasury/DO .212)
FinCEN .003-Bank Secrecy Act Reports System (formerly Treasury/DO
.213)
Treasury/FinCEN .001
System name:
FinCEN Data Base--Treasury/FinCEN
System location:
The Financial Crimes Enforcement Network, P. O. Box 39, Vienna, VA
22183-0039.
[[Page 45757]]
Categories of individuals covered by the system:
(1) Individuals who relate in any manner to official FinCEN efforts
in support of the enforcement of the Bank Secrecy Act and money-
laundering and other financial crimes. Such individuals may include,
but are not limited to, subjects of investigations and prosecutions;
suspects in investigations; victims of such crimes; witnesses in such
investigations and prosecutions; and close relatives and associates of
any of these individuals who may be relevant to an investigation; (2)
current and former FinCEN personnel whom FinCEN considers relevant to
an investigation or inquiry; and (3) individuals who are the subject of
unsolicited information possibly relevant to violations of law or
regulations, who offer unsolicited information relating to such
violations, who request assistance from FinCEN, and who make inquiries
of FinCEN.
Categories of records in the system:
Every possible type of information that contributes to effective
law enforcement may be maintained in this system of records, including,
but not limited to, subject files on individuals, corporations, and
other legal entities; information provided pursuant to the Bank Secrecy
Act; information gathered pursuant to search warrants; statements of
witnesses; information relating to past queries of the FinCEN Data
Base; criminal referral information; complaint information; identifying
information regarding witnesses, relatives, and associates;
investigative reports; and intelligence reports.
Authority for maintenance of the system:
5 U.S.C. 301, 31 U.S.C. 5311 et seq.; 31 CFR part 103; Treasury
Department Order No. 105-08 (April 25, 1990).
Purpose(s):
The purpose of this system of records is to support FinCEN's
efforts to provide a government-wide, multi-source intelligence and
analytical network to support the detection, investigation, and
prosecution of domestic and international money laundering and other
financial crimes, and other domestic and international criminal, tax,
and regulatory matters.
Routine uses of records maintained in the system including categories
of users and the purposes of such uses:
Records in this system may be used to:
(1) Provide responses to queries from Federal, State, territorial,
and local law enforcement and regulatory agencies, both foreign and
domestic, regarding Bank Secrecy Act and other financial crime
enforcement;
(2) Furnish information to other Federal, State, local,
territorial, and foreign law enforcement and regulatory agencies
responsible for investigating or prosecuting the violations of, or for
enforcing or implementing a statute, rule, regulation, order, or
license, where FinCEN becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation;
(3) Furnish information to the Department of Defense, to support
its role in the detection and monitoring of aerial and maritime transit
of illegal drugs into the United States and any other role in support
of law enforcement that the law may mandate;
(4) Respond to queries from INTERPOL in accordance with agreed
coordination procedures between FinCEN and INTERPOL;
(5) Furnish information to individuals and organizations, in the
course of enforcement efforts, to the extent necessary to elicit
information pertinent to financial law enforcement;
(6) Furnish information to a court, magistrate, or administrative
tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations, in response to a subpoena, or
in connection with civil or criminal law proceedings;
(7) Furnish information to the news media in accordance with the
guidelines contained in 28 CFR 50.2, which relate to civil and criminal
proceedings; and
(8) Furnish information to the Department of State and the
Intelligence Community to further those agencies' efforts with respect
to national security and the foreign aspects of international narcotics
trafficking.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic media and hard copy.
Retrievability:
By name, address, or unique identifying number.
Safeguards:
All FinCEN personnel accessing the system will have successfully
passed a background investigation. FinCEN will furnish information from
the system of records to approved personnel only on a ``need to know''
basis using passwords and access control. Procedural and physical
safeguards to be utilized include the logging of all queries and
periodic review of such query logs; compartmentalization of information
to restrict access to authorized personnel; physical protection of
sensitive hard copy information; encryption of electronic
communications; intruder alarms; and 24-hour building guards.
Retention and disposal:
FinCEN personnel will review records each time a record is
retrieved and on a periodic basis to see whether it should be retained
or modified. FinCEN will dispose of all records after twenty years.
Records will be disposed of by erasure of magnetic media and by
shredding and/or burning of hard copy documents.
System manager(s) and addresses:
Deputy Director, Financial Crimes Enforcement Network, P.O. Box 39,
Vienna, VA 22183-0039.
Notification procedure:
Pursuant to 5 U.S.C. 552a(j)(2), (k)(1), and (k)(2), this system of
records may not be accessed for purposes of determining if the system
contains a record pertaining to a particular individual.
Record Access procedures:
See ``Notification procedure'' above.
Contesting Record procedures:
See ``Notification procedure'' above.
Record source categories:
See ``Categories of individuals covered by the system'' above. The
system contains material for which sources need not be reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a(c)(3), (c)(4), (d)(1),
(d)(2), (d)(3), (e)(1), (e)(2), (e)(3), (e)(4)(G), (H), and (I),
(e)(5), (e)(8), (f), and (g) of the Privacy Act pursuant to 5 U.S.C.
552a(j)(2), (k)(1), and (k)(2). See 31 CFR 1.36.
TREASURY/FinCEN .002
System name:
Suspicious Activity Report System (the ``SAR System'')--Treasury/
FinCEN
System location:
The Internal Revenue Service Detroit Computing Center (DCC), 985
Michigan Avenue, Detroit, Michigan 48226-1129 and the Financial Crimes
Enforcement Network (FinCEN), P.O. Box 39, Vienna, VA 22183-0039.
Categories of individuals covered by the system:
The SAR System contains information about:
(1) Individuals or entities that are known perpetrators or
suspected perpetrators of a known or suspected federal criminal
violation, or pattern of
[[Page 45758]]
criminal violations, committed or attempted against a financial
institution, or participants in a transaction or transactions conducted
through the financial institution, that has been reported by the
financial institution, either voluntarily or because such a report is
required under the rules of FinCEN, one or more of the Federal
Supervisory Agencies (the Board of Governors of the Federal Reserve
System (the Board), the Office of the Comptroller of the Currency
(OCC), the Federal Deposit Insurance Corporation (FDIC), the Office of
Thrift Supervision (OTS), and the National Credit Union Administration
(NCUA) (collectively, the ``Federal Supervisory Agencies'')), or both.
(2) Individuals or entities that are participants in transactions,
conducted or attempted by, at, or through a financial institution, that
have been reported because the institution knows, suspects, or has
reason to suspect that: (a) The transaction involves funds derived from
illegal activities, the transaction is intended or conducted to hide or
disguise funds or assets derived from illegal activities as part of a
plan to violate or evade any law or regulation or to avoid any
transaction reporting requirement under Federal law; (b) the
transaction is designed to evade any regulations promulgated under the
Bank Secrecy Act, Pub. L. 91-508, as amended, codified at 12 U.S.C.
1829b, 12 U.S.C. 1951-1959, and 31 U.S.C. 5311-5331; or (c) the
transaction has no business or apparent lawful purpose or is not the
sort in which the particular customer would normally be expected to
engage, and the financial institution knows of no reasonable
explanation for the transaction after examining the available facts,
including the background and possible purpose of the transaction;
(3) Individuals who are directors, officers, employees, agents, or
otherwise affiliated with a financial institution;
(4) Individuals or entities that are actual or potential victims of
a criminal violation or series of violations;
(5) Individuals who are named as possible witnesses in connection
with matters arising from any such report;
(6) Individuals or entities named as preparers of any such report;
(7) Individuals or entities named as persons to be contacted for
assistance by government agencies in connection with any such report;
(8) Individuals or entities who have or might have information
about individuals or criminal violations described above;
(9) Individuals or entities involved in evaluating or investigating
any matters arising from any such report;
(10) Individuals, entities and organizations suspected of engaging
in terrorist and other criminal activities and any person who may be
affiliated with such individuals, entities or organizations;
(11) Individuals or entities named by financial institutions as
persons to be contacted for further assistance by government agencies
in connection with individuals, entities or organizations suspected of
engaging in terrorist or other criminal activities; and
(12) Individuals or entities involved in evaluating or
investigating any matters in connection with individuals, entities or
organizations suspected of engaging in terrorist or other criminal
activity.
Categories of records in the system:
The SAR System contains information reported to FinCEN by a
financial institution (including, but not limited to, a depository
institution, a money services business, a broker-dealer in securities,
and a casino) on a Suspicious Activity Report (``SAR'') that is filed
voluntarily or as required under the authority of FinCEN, one or more
of the Federal Supervisory Agencies, or under any other authority. The
SAR System also may contain information that may relate to terrorist or
other criminal activity that is reported voluntarily to FinCEN by any
individual or entity through any other means, including through
FinCEN's Financial Institutions Hotline. The SAR System also may
contain information relating to individuals, entities, and
organizations reasonably suspected based on credible evidence of
engaging in terrorist or other criminal activities, including
information provided to FinCEN from financial institutions regarding
such individuals, entities, and organizations. SARs contain information
about the categories of persons or entities specified in ``Categories
of Individuals Covered by the system.'' The SAR System may also contain
records pertaining to criminal prosecutions, civil actions, enforcement
proceedings, and investigations resulting from or relating to SARs.
Additionally, it will contain records pertaining to criminal
prosecutions, civil actions, enforcement proceedings, and
investigations relating to institutions required to file reports or
under the supervision of one or more of the Federal Supervisory
agencies.
Authority for maintenance of the system:
The system is established and maintained in accordance with 31
U.S.C. 5318(g); 31 CFR Part 103; 31 U.S.C. 321; and 31 U.S.C. 310.
Purpose(s):
The requirements of FinCEN and the Federal Supervisory Agencies
create an integrated process for reporting suspicious activity and
known or suspected crimes by, at, or through depository institutions
and certain of their affiliates. The process is based on a single
uniform SAR filed with FinCEN.
The SAR System has been created, as a key part of this integrated
reporting process, to permit coordinated and enhanced analysis and
tracking of such information, and rapid dissemination of SAR
information to appropriate law enforcement and supervisory agencies.
The provisions of 31 U.S.C. 5318(g)(4)(B) specifically require that the
agency designated as repository for SARs refer those reports to any
appropriate law enforcement or supervisory agency.
Data from the SAR System will be exchanged, retrieved, and
disseminated, both manually and electronically among FinCEN, the
Federal Supervisory Agencies, appropriate Federal, State, and local law
enforcement agencies, and State banking supervisory agencies. Agencies
to which information will be referred electronically, which in certain
cases may involve electronic transfers of batch information, include
the Federal Supervisory Agencies, the Federal Bureau of Investigation
(FBI), the Criminal Investigation Division of the Internal Revenue
Service, the United States Secret Service, the United States Customs
and Border Protection, the Executive Office of the United States
Attorneys and the Offices of the 93 United States Attorneys, and State
bank supervisory agencies and certain State law enforcement agencies,
which have entered into appropriate agreements with FinCEN. (The FBI
and Secret Service may receive electronic transfers of batch
information as forms are filed to permit those agencies more
efficiently to carry out their investigative responsibilities.)
Organizations to which information is regularly disseminated are
referred to as SAR System Users. It is anticipated that information
from the SAR System will also be disseminated to other appropriate
Federal, State, or local law enforcement organizations and regulatory
agencies that enter into appropriate agreements with FinCEN. In
addition, information may be disseminated to non-United States
financial regulatory and law enforcement agencies.
[[Page 45759]]
Routine uses of records maintained in the system, Including Categories
of Users and the Purposes of Such Uses:
These records may be used to:
(1) Provide information or records, electronically or manually, to
SAR System Users relevant to the enforcement and supervisory programs
and operations of those Users;
(2) Provide SAR System Users and their Executive Departments with
reports that indicate the number, amount, individual identity, and
other details concerning potential violations of the law that have been
the subject of Suspicious Activity Reports;
(3) Provide information or records to any appropriate domestic or
non-United States governmental agency or self-regulatory organization
charged with the responsibility of administering law or investigating
or prosecuting violations of law, or charged with the responsibility of
enforcing or implementing a statute, rule, regulation, order, or
policy, or charged with the responsibility of issuing a license,
security clearance, contract, grant, or benefit, when relevant to the
responsibilities of these agencies or organizations;
(4) Provide information or records, when appropriate, to
international and foreign governmental authorities in accordance with
law and formal or informal international agreement;
(5) Disclose on behalf of a SAR System User, the existence, but not
necessarily the content, of information or records to a third party, in
cases where a SAR System User is a party or has a direct interest and
where the SAR System User has concluded that such disclosure is
necessary;
(6) Provide information or records to the Department of Justice, or
in a proceeding before a court, adjudicative body, or other
administrative body before which the SAR System User is authorized to
appear, when (a) the SAR System User, or any component thereof; or (b)
any employee of the SAR System User in his or her official capacity; or
(c) any employee of the SAR System User, where the Department of
Justice or the SAR System User has agreed to represent the employee; or
(d) the United States is a party to litigation or has an interest in
such litigation, when the SAR System User determines that litigation is
likely to affect the SAR System User or any of its components and the
use of such records by the Department of Justice or the SAR System User
is deemed by the SAR System User to be relevant and necessary to the
litigation, provided, however, that in each case it has been determined
that the disclosure is compatible with the purpose for which the
records were collected;
(7) Disclose information or records to individuals or entities to
the extent necessary to elicit information pertinent to the
investigation, prosecution, or enforcement of civil or criminal
statutes, rules, regulations, or orders;
(8) In accordance with Executive Order 12968 (August 2, 1995),
provide information or records to any appropriate government authority
in connection with investigations and reinvestigations to determine
eligibility for access to classified information to the extent relevant
for matters that are by statute permissible subjects of inquiry;
(9) Provide, when appropriate, information or records to a bar
association, or other trade or professional organization performing
similar functions, for possible disciplinary action;
(10) Provide information or records to the Department of State and
to the United States Intelligence Community, within the meaning of
Executive Order 12333 (December 4, 1981) to further those agencies'
efforts with respect to national security and international narcotics
trafficking;
(11) Furnish analytic and statistical reports to government
agencies and the public providing information about trends and patterns
derived from information contained on Suspicious Activity Reports, in a
form in which individual identities are not revealed;
(12) Disclose information or records to any person with whom
FinCEN, the DCC, or a SAR System User contracts to provide consulting,
data processing, clerical, or secretarial functions relating to the
official programs and operations of FinCEN, DCC, or the SAR System
User; and
(13) Disclose information to United States intelligence agencies in
the conduct of intelligence or counterintelligence activities,
including analysis, to protect against international terrorism.
Policies and practices for storing, Retrieving, Accessing, Retaining,
and Disposing of Records in the System:
Storage:
Records are maintained in magnetic media and on hard paper copy.
Retrievability:
Data in the SAR System may be retrieved by sectionalized data
fields (i.e., name of financial institution or holding company, type of
suspected violation, individual suspect name, witness name, and name of
individual authorized to discuss the referral with government
officials) or by the use of search and selection criteria.
Safeguards:
The system is located in a guarded building that has restricted
access. Access to the computer facilities and any paper records is
subject to additional physical safeguards that restrict access. Access
to any electronic records in the system is restricted by means of
passwords and non-transferable identifiers issued to authorized SAR
System Users. The system complies with all applicable security
requirements of the Department of the Treasury.
Retention and disposal:
Records in this system will be updated periodically to reflect
changes, and will be maintained in electronic form as long as needed
for the purpose for which the information was collected. Records will
then be disposed of in accordance with applicable law.
System Manager and Address:
Deputy Director, Financial Crimes Enforcement Network, P.O. Box 39,
Vienna, VA 22183-0039.
Notification procedure:
This system is exempt from notification requirements, record access
requirements, and requirements that an individual be permitted to
contest its contents, pursuant to the provisions of 5 U.S.C. 552a(j)(2)
and (k)(2).
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Records in this system may be provided by or obtained from:
individuals; financial institutions and certain of their affiliates;
Federal Supervisory Agencies; State financial institution supervisory
agencies; domestic or foreign governmental agencies; foreign or
international organizations; and commercial sources. Pursuant to the
provisions of 5 U.S.C. 552a(j)(2) and (k)(2), this system is exempt
from the requirement that the Record source categories be disclosed.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a(c)(3), (c)(4), (d)(1),
(d)(2), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H),
(e)(4)(I), (e)(5), (e)(8), (f), and (g) of the Privacy Act pursuant to
5 U.S.C. 552a(j)(2) and (k)(2). See 31 CFR 1.36.
[[Page 45760]]
TREASURY/FinCEN .003
System name:
Bank Secrecy Act Reports System--Treasury/FinCEN
System location:
Electronic Records: Currency and Banking Retrieval System, Internal
Revenue Service Detroit Computing Center, 985 Michigan Avenue, Detroit,
Michigan, 48226-1129 and Treasury Enforcement Communications System,
United States Customs and Border Protection, Newington, 7681 Boston
Boulevard, Springfield, Virginia, 22153-3140. Paper Records: FinCEN
Form 105--U.S. Customs and Border Protection, Newington, VA. All other
forms, including, but not limited to, FinCEN Form 104, TDF 90.22-1 and
Form 8362--Internal Revenue Service, Detroit, MI.
Categories of individuals covered by the system:
Persons identified in reports filed under the Bank Secrecy Act and
its implementing regulations (31 CFR part 103) including, but not
limited to, reports made on FinCEN Form 104 (Currency Transaction
Report), FinCEN Form 103 (Currency Transaction Report by Casinos),
forms filed by casinos located in the State of Nevada in lieu of Form
8362, FinCEN Form 8300 (Report of Cash Payments Over $10,000 Received
in a Trade or Business), FinCEN Form 105 (Report of International
Transportation of Currency or Monetary Instruments), Treasury Form TDF
90-22.1 (Report of Foreign Bank and Financial Accounts), Treasury Form
TDF 90-22.53 (Designation of Exempt Person), and FinCEN Form 107
(Registration of Money Services Businesses). (This system of records
does not cover persons identified in Suspicious Activity Reports, TDF
90-22.47. Those reports are included in another system of records,
``Suspicious Activity Reporting System--Treasury/FinCEN .002.'')
Categories of records in the system:
Information or reports filed under the Bank Secrecy Act and its
implementing regulations (31 CFR part 103) including, but not limited
to, reports made on FinCEN Form 104 (Currency Transaction Report),
FinCEN Form 103 (Currency Transaction Report by Casinos), forms filed
by casinos located in the State of Nevada in lieu of Form 8362, FinCEN
Form 8300 (Report of Cash Payments Over $10,000 Received in a Trade or
Business), FinCEN Form 105 (Report of International Transportation of
Currency or Monetary Instruments), Treasury Form TDF 90-22.1 (Report of
Foreign Bank and Financial Accounts), Treasury Form TDF 90-22.53
(Designation of Exempt Person), and FinCEN Form 107 (Registration of
Money Services Businesses). (This system does not include Suspicious
Activity Reports, TDF 90-22.47, required under 31 CFR part 103. Those
reports are included in another system of records, ``Suspicious
Activity Reporting System--Treasury/FinCEN .002''). These reports
include names of individuals and other entities filing the reports,
names of the owners of monetary instruments, the amounts and kinds of
currency or other monetary instruments transported, reported, or in
foreign banking accounts, account numbers, addresses, dates of birth,
and other personal identifiers.
Authority for maintenance of the system:
12 U.S.C. 1829b and 1951-1959; 31 U.S.C. 5311-5331; 5 U.S.C. 301;
31 CFR part 103; 31 U.S.C. 310.
Purpose(s):
The Bank Secrecy Act, codified at 12 U.S.C. 1829b and 1951-1959 and
31 U.S.C. 5311-5331 authorizes the Secretary of the Treasury to issue
regulations requiring records and reports that are determined to have a
high degree of usefulness in criminal, tax, and regulatory matters. The
Secretary's authority has been implemented through regulations
promulgated at 31 CFR part 103. The purpose of this system of records
is to maintain the information contained on the reports required under
these regulations. This information is disseminated, both
electronically and manually, in accordance with strict safeguards, to
appropriate Federal, State, local, and foreign criminal law enforcement
and regulatory personnel in the official performance of their duties.
The information is used in a wide range of criminal investigations,
including, but not limited to, investigation of international and
domestic money laundering, tax evasion, fraud, and other financial
crimes, or in the conduct of intelligence or counterintelligence
activities, including analysis, to protect against international
terrorism.
Routine uses of records maintained in the system, Including Categories
of Users and the Purpose of Such Uses:
These records may be used to:
(1) Disclose pertinent information to 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 civil
or criminal law or regulation;
(2) Disclose information to Federal, State, or local agencies,
maintaining civil, criminal, or other relevant information, which has
requested information relevant to or necessary to the requesting
agency's hiring or retention of an individual, or issuance of a
security clearance, license, contract, grant, or other benefit;
(3) Disclose to appropriate Federal, State, or local agencies
engaged in the identification, investigation, and prosecution of
violations or potential violations of criminal statutes, information,
in a computerized format, to identify or to permit the identification
of patterns of suspected criminal activity that fall within the
jurisdiction of the agency requesting the information;
(4) Provide information or records to any appropriate domestic or
non-United States governmental agency or self-regulatory organization
charged with the responsibility of administering law or investigating
or prosecuting violations of law, or charged with the responsibility of
enforcing or implementing a statute, rule, regulation, order, or
policy, when relevant to the responsibilities of these agencies or
organizations;
(5) Disclose relevant information on individuals to authorized
Federal and State agencies through computer matching in order to help
eliminate waste, fraud, and abuse in Government programs and identify
individuals who are potentially in violation of civil law, criminal
law, or regulation;
(6) Disclose information to a court, magistrate, or administrative
tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations, in response to a subpoena, or
in connection with criminal law proceedings;
(7) Provide information to the news media, in accordance with
guidelines contained in 28 CFR 50.2, that relates to an agency's
functions relating to civil and criminal proceedings;
(8) Provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation;
(9) Provide information or records to United States intelligence
agencies in the conduct of intelligence or counterintelligence
activities, including
[[Page 45761]]
analysis, to protect against international terrorism; and
(10) Disclose to the public information about Money Services
Businesses that have registered with FinCEN pursuant to 31 CFR 103.41,
other than information that consists of trade secrets, or that is
privileged and confidential commercial or financial information.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in magnetic media and on hard paper copy.
Retrievability:
By name and other unique identifier.
Safeguards:
All persons with electronic access to records in the system will
have successfully completed a background investigation. All State and
local agency personnel, and all Federal personnel outside the U. S.
Department of the Treasury with electronic access will have
successfully completed appropriate training. Passwords and access
controls will be utilized. Signed agreements outlining usage and
dissemination rules are required of all non-Treasury agencies before
electronic access is authorized. Procedural and physical safeguards
include: The logging of all queries and periodic review of such query
logs; compartmentalization of information to restrict access to
authorized personnel; physical protection of sensitive hard copy
documents and magnetic tapes; encryption of electronic communications;
intruder alarms and other security devices; and 24-hour building
guards. The system complies with all applicable security requirements
of the Department of the Treasury.
Retention and disposal:
Records in this system will be updated periodically to reflect
changes, and will be maintained in electronic form as long as needed
for the purposes for which the information was collected. Records will
be disposed of in accordance with applicable law.
System manager(s) and address:
General Policy: Deputy Director, Financial Crimes Enforcement
Network, P.O. Box 39, Vienna, Virginia 22183-0039. Computer Systems
Maintenance and Administration: Director, IRS Computing Center, 985
Michigan Avenue, Detroit, Michigan, 48226-1129 and Director, Office of
Information Technology, U.S. Customs and Border Protection, Newington,
7681 Boston Boulevard, Springfield, Virginia, 22153-3140.
Notification procedure:
This system is exempt from notification requirements, record access
requirements, and requirements that an individual be permitted to
contest its contents, pursuant to the provisions of 5 U.S.C. 552a(j)(2)
and (k)(2).
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Pursuant to the provisions of 5 U.S.C. 552a(j)(2) and (k)(2), this
system is exempt from the requirement that the Record source categories
be disclosed.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a(c)(3), (c)(4), (d)(1),
(d)(2), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H),
(e)(4)(I), (e)(5), (e)(8), (f), and (g) of the Privacy Act pursuant to
5 U.S.C. 552a(j)(2) and (k)(2). See 31 CFR 1.36.
[FR Doc. 05-15598 Filed 8-5-05; 8:45 am]
BILLING CODE 4810-02-P