Privacy Act of 1974, as Amended, 51344-51346 [E8-20202]

Agencies

• Alcohol and Tobacco Tax and Trade Bureau
• DEPARTMENT OF THE TREASURY

[Federal Register Volume 73, Number 170 (Tuesday, September 2, 2008)]
[Notices]
[Pages 51344-51346]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-20202]



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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.

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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 e-rulemaking portal, visit 
https://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 https://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 https://
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 e-rulemaking 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 https://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 https://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-x 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 
Treasury-wide 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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.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 Sec.  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 https://
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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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