Privacy Act of 1974, as Amended; System of Records Notice, 60014-60022 [2012-24017]
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60014
Federal Register / Vol. 77, No. 190 / Monday, October 1, 2012 / Notices
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to minority institutions, as defined by
section 365 of the Higher Education Act
of 1965 (20 U.S.C. 1067k), or consortia
that include such institutions that have
demonstrated an ability in
transportation-related research.
Letter of Intent. The solicitation will
require that each applicant submit a
non-binding letter of intent
approximately one month after the
solicitation is announced on the
grants.gov and the UTC Program Web
site https://utc.dot.gov. The letter of
intent must identify the following items:
• The category of grant(s) that the
applicant will apply for (National,
Regional, Tier I);
• The chosen goal in which to focus
research, out of the Department’s five
strategic goals; and
• The members of the consortium, if
any, for each of the applications.
Letters of intent will be required so that
the Department’s review panels,
comprising relevant subject-matter
experts, may be organized in advance of
receipt of final proposals. If an
institution intends to apply for more
than one UTC grant, a separate letter of
intent must be submitted for each
intended application.
Selection criteria. The Department
will evaluate and select UTC applicants
based on the nine selection criteria
outlined in MAP–21:
‘‘(i) the demonstrated ability of the
recipient to address each specific topic area
described in the research and strategic plans
of the recipient;
‘‘(ii) the demonstrated research, technology
transfer, and education resources available to
the recipient to carry out this section;
‘‘(iii) the ability of the recipient to provide
leadership in solving immediate and long
range national and regional transportation
problems;
‘‘(iv) the ability of the recipient to carry out
research, education, and technology transfer
activities that are multimodal and
multidisciplinary in scope;
‘‘(v) the demonstrated commitment of the
recipient to carry out transportation
workforce development programs through—
‘‘(I) degree-granting programs; and
‘‘(II) outreach activities to attract new
entrants into the transportation field;
‘‘(vi) the demonstrated ability of the
recipient to disseminate results and spur the
implementation of transportation research
and education programs through national or
statewide continuing education programs;
‘‘(vii) the demonstrated commitment of the
recipient to the use of peer review principles
and other research best practices in the
selection, management, and dissemination of
research projects;
‘‘(viii) the strategic plan submitted by the
recipient describing the proposed research to
be carried out by the recipient and the
performance metrics to be used in assessing
the performance of the recipient in meeting
the stated research, technology transfer,
education, and outreach goals; and
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‘‘(ix) the ability of the recipient to
implement the proposed program in a cost
efficient manner, such as through cost
sharing and overall reduced overhead,
facilities, and administrative costs.’’
(49 U.S.C. 5505(b)(4)(B) as amended by
Pub. L. 112–141, Sec. 52009 (effective
Oct. 1, 2012)).
These criteria apply to the evaluation
and selection of all three categories of
UTCs. The following additional
selection criteria apply to Regional
UTCs and Tier I UTCs:
Regional UTCs. The institution (or
lead institution in the case of a
consortium) must have a wellestablished, nationally recognized
program in research and education, as
shown by:
‘‘(I) recent expenditures by the institution
in highway or public transportation research;
‘‘(II) a historical track record of awarding
graduate degrees in professional fields
closely related to highways and public
transportation; and
‘‘(III) an experienced faculty who
specialize in professional fields closely
related to highways and public
transportation.’’
(49 U.S.C. 5505(c)(3)(B)(iii) as amended
by Pub. L. 112–141, Sec. 52009
(effective Oct. 1, 2012)).
Tier I UTCs. Consideration will be
given to minority institutions, as
defined by section 365 of the Higher
Education Act of 1965 (20 U.S.C.
1067k), or consortia that include such
institutions that have demonstrated an
ability in transportation-related
research.
External Stakeholders. The
Department will consult with external
stakeholders (including the
Transportation Research Board of the
National Academy of Sciences, among
others), to the maximum extent
practicable, to evaluate and review all
proposals. (49 U.S.C. 5505(b)(6) as
amended by Pub. L. 112–141, Sec.
52009 (effective Oct. 1, 2012)).
V. Program Funding and Award
UTCs will be selected by the
Secretary, in consultation as appropriate
with the Administrators of the Federal
Highway Administration and the
Federal Transit Administration.
VI. Use of Grant Funds
According to the terms of the grant
agreements, grantees will have until
September 30, 2017 to expend both
FY13 funds and, assuming availability,
FY14 funds.
VII. Request for Comments
Because of the changes made by
MAP–21 to the UTC program, this
notice invites interested parties to
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submit comments on any aspect of the
Department’s implementation of MAP–
21 requirements for awarding UTC
grants. The Department will consider
these comments as it continues to
implement the UTC program and
develops its future grant solicitation.
The instructions for submitting
comments can be found in the
Addresses section above. Late-filed
comments will be considered to the
extent practicable.
Issued in Washington, DC, on September
25, 2012.
Ray LaHood,
Secretary.
[FR Doc. 2012–24114 Filed 09–28–2012; 8:45 am]
BILLING CODE 4910–HY–P
DEPARTMENT OF THE TREASURY
Financial Crimes Enforcement Network
Privacy Act of 1974, as Amended;
System of Records Notice
Financial Crimes Enforcement
Network (FinCEN), Treasury.
ACTION: Notice of alterations of three
Privacy Act systems of records.
AGENCY:
In accordance with the
Privacy Act of 1974, as amended, the
Financial Crimes Enforcement Network
(‘‘FinCEN’’), Department of the Treasury
(‘‘Treasury’’), gives notice of proposed
alterations to three existing systems of
records entitled ‘‘Treasury/FinCEN
.001—FinCEN Investigations and
Examinations System (the
‘‘Investigations and Examinations
System’’),’’ ‘‘Treasury/FinCEN .002—
Suspicious Activity Report System (the
‘‘SAR System’’),’’ and ‘‘Treasury/
FinCEN .003—Bank Secrecy Act Reports
System (the ‘‘BSA System’’).’’ The
systems of records were last published
in their entirety on July 21, 2008, at 73
FR 42406, 73 FR 42407, and 73 FR
42409, respectively.
DATES: Comments must be received no
later than October 31, 2012. This altered
system of records will be effective
November 5, 2012 unless the
Department receives comments which
would result in a contrary
determination.
SUMMARY:
Written comments should
be submitted to: Office of Chief Counsel,
Financial Crimes Enforcement Network,
Department of the Treasury, P.O. Box
39, Vienna, VA 22183–0039, Attention:
Revisions to PA System of RecordsComments. Comments also may be
submitted be electronic mail to the
following Internet address:
ADDRESSES:
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Federal Register / Vol. 77, No. 190 / Monday, October 1, 2012 / Notices
regcomments@fincen.gov, with the
above caption in the body of the text.
Inspection of comments: Comments
are available on www.regulations.gov
and are posted when received.
Comments may be inspected at FinCEN
between 10 a.m. and 4 p.m., in the
FinCEN Reading Room, Vienna, VA.
Persons wishing to inspect the
comments submitted must request an
appointment with the Disclosure Officer
by telephoning (703) 905–5034 (not a
toll-free call).
FOR FURTHER INFORMATION CONTACT:
Office of Chief Counsel, FinCEN, at
(703) 905–3590 (not a toll-free call).
SUPPLEMENTARY INFORMATION: FinCEN
has conducted a review of its Privacy
Act systems of records for compliance
with the Privacy Act (5 U.S.C. 552a) and
with Appendix 1 to OMB Circular A–
130, ‘‘Federal Agency Responsibilities
for Maintaining Records About
Individuals,’’ dated November 30, 2000,
and is proposing to alter three of its
current systems of records. FinCEN has
a legal requirement to publish such
notices.
The systems of records contain
information collected under the
statutory authority of the Bank Secrecy
Act, Title I and II of Public Law 91–508,
as amended, and codified at 12 U.S.C.
1829b, 12 U.S.C. 1951–1959, and 31
U.S.C. 5311–5314, 5316–5332, or any
other authority exercised by FinCEN to
compel the reporting of records, such as
section 104(e) of the Comprehensive
Iran Sanctions, Accountability, and
Divestment Act of 2010, Public Law
111–195. These systems of records may
also include information or records that
contribute to effective law enforcement
and regulation of financial institutions
and non-financial trades or businesses,
including, but not limited to, subject
files on individuals, corporations, and
other legal entities. The Bank Secrecy
Act authorizes the Secretary of the
Treasury, inter alia, to require financial
institutions and individuals to keep
records and file reports that are
determined to have a high degree of
usefulness in criminal, tax, and
regulatory matters, or in the conduct of
intelligence or counter-intelligence
activities to protect against international
terrorism, and to implement countermoney laundering programs and
compliance procedures. The regulations
implementing Title II of the Bank
Secrecy Act appear at 31 CFR chapter X.
The Secretary delegated his authority to
administer the Bank Secrecy Act to the
Director of FinCEN.
Suspicious transaction reporting is
required by regulations issued by
FinCEN and the supervisory agencies
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that examine and regulate the safety and
soundness of financial institutions,
namely the Board of Governors of the
Federal Reserve System, the Office of
the Comptroller of the Currency, the
Federal Deposit Insurance Corporation,
and the National Credit Union
Administration (collectively, the
‘‘Federal Supervisory Agencies’’).1 The
requirements of FinCEN and the Federal
Supervisory Agencies create an
integrated system for reporting
suspicious activity and known or
suspected crimes. Under these
requirements, financial institutions file
a single uniform Suspicious Activity
Report (a ‘‘SAR’’) with FinCEN. Prior to
the development of the integrated SAR
filing system, a financial institution
reporting a known or suspected
violation of law was required to file
multiple copies of criminal referral
forms with its Federal Supervisory
Agency and Federal law enforcement
agencies. Each Federal Supervisory
Agency had promulgated a different
form. Under the current system, a
financial institution meets its obligation
to report a known or suspected violation
of law by filing one copy of a SAR with
FinCEN.
In the course of its review, FinCEN
identified a number of non-substantive,
clarifying revisions to the SAR System’s
system of records notice as part of its
negotiations on the improvements being
made to the data base storing the
information contained in FinCEN’s
systems of records (the ‘‘FinCEN Data
Base’’), and access and use issues with
the Federal Supervisory Agencies. The
Federal Supervisory Agencies have
indicated broad acceptance of this
package of revisions, and have
committed to consider harmonizing
their own systems of records notices
referencing SARs with FinCEN’s SAR
System notice language, as revised in
this notice. To the extent different
systems of records notices attempt to
communicate the same point, they
should use broadly identical language.
As a result, a number of the revisions to
the SAR System notice are appropriate,
and have been adopted in the
Investigations and Examinations System
notice and the BSA Reports System
notice. Additional clarifying revisions
have been made to the Investigations
and Examinations System notice and
the BSA Reports System notice with
respect to language that has no direct
1 For purposes of this notice, the term ‘‘Financial
Supervisory Agencies’’ also includes the now
defunct Office of Thrift Supervision (‘‘OTS’’) to the
extent that the SAR System includes information
from reports filed pursuant to rules issued by the
OTS.
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parallel in the FinCEN SAR System
notice.
Consequently, these system notices
contain a number of proposed revisions
that modify the 2008 FinCEN Privacy
Act systems of records notices. Most of
these revisions are non-substantive
clarifications. FinCEN is legally
permitted to make all of these nonsubstantive revisions set forth in the
systems of records notices published
below. The revisions to the SAR System
notice, as a whole, have been discussed
with the Federal Supervisory Agencies
and would form a generally acceptable
base from which to work towards the
goal of a single, uniform federal
government standard for public notice
of the use of SARs. The non-substantive
revisions to the Investigations and
Examinations System notice and the
BSA Reports System notice generally
make those notices more consistent with
the SAR System notice, thus producing
a clearer and a more accurate reflection
of FinCEN’s actual practices.
One new routine use is being
proposed for the FinCEN .001—FinCEN
Investigations and Examinations System
notice as follows:
(10) Disclose information or records to
any person with whom FinCEN,
Enterprise Computing Center Detroit
(ECCD), Enterprise Computing Center
Martinsburg (ECCM),2 or a FinCEN
Investigations and Examinations System
User 3 contracts to provide consulting,
data processing, clerical, secretarial, or
other services relating to the official
programs and operations of FinCEN,
ECCD, ECCM, or the FinCEN
Investigations and Examinations System
User.
This routine use is compatible with the
purpose for which the records are
collected because such disclosures will
enable FinCEN to better administer the
information it maintains and may
facilitate the use of information in
accordance with applicable laws and
regulations. FinCEN believes that this
routine use is implicit in the other
routine uses for this notice, but
nevertheless is seeking to explicitly add
it for the sake of clarity. Other routine
uses for this notice would be revised in
ways that do not increase the
availability of records or amend the
manner in which the records may be
used.
2 ‘‘ECCD’’ and ‘‘ECCM’’ are the IRS data
processing sites that provide data processing
services to FinCEN, as identified under the header
‘‘System Location’’ in each system of records notice.
3 A FinCEN Investigations and Examinations
System User is an agency or organization that has
been granted access to the information in this
system.
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There are no new routine uses being
proposed for the FinCEN .002—SAR
System notice. The revised routine uses
that are being proposed for this notice
do not increase the availability of
records in that system or amend the
manner in which the records may be
used. The proposed SAR System notice
would delete the routine use relating to
the disclosure of SARs to bar
associations and other professional
organizations, to better reflect FinCEN’s
actual practice and to conform the SAR
System notice withFinCEN’s other
systems notices.
The new or revised routine uses for
the FinCEN .003—BSA Report System
notice are as follows:
(1) Provide information or records,
electronically or manually, to a BSA
Report System User if relevant to the
enforcement, regulatory, and
supervisory programs and operations of
that user;
(2) Provide a BSA Report System
User, and if applicable the unit within
an Executive Department to which the
BSA Report System User reports, with
reports that indicate the number,
amount, individual identity of
participants, and other details
concerning events or activities that have
been the subject of a BSA Report;
*
*
*
*
*
(5) Provide information or records,
when appropriate, to an international
authority or foreign government in
accordance with law and bilateral or
multilateral international agreements;
*
*
*
*
*
(7) Disclose the existence, but not
necessarily the content, of information
or records pertaining to an investigation
by a BSA Report System User, on behalf
of and with the approval of that BSA
Report System User, to another BSA
Report System User, when FinCEN
determines that such disclosure furthers
the coordinated analysis and tracking of
information among BSA Report System
Users;
*
*
*
*
*
(11) Provide information or records to
the United States Intelligence
Community, within the meaning of
Executive Order 12333 (December 4,
1981) as amended, to further those
agencies’ efforts with respect to national
security consistent with applicable law;
and
*
*
*
*
*
(13) Disclose information or records to
any person with whom FinCEN, ECCD,
ECCM, or a BSA Report System User
contracts to provide consulting, data
processing, clerical, secretarial, or other
services relating to the official programs
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and operations of FinCEN, ECCD,
ECCM, or the BSA Report System User.
These routine uses are compatible with
the purpose for which the records are
collected because such disclosures will
enable FinCEN to better administer the
information it maintains and may
facilitate the use of the information in
accordance with applicable laws and
regulations. FinCEN believes that these
routine uses are implicit in the other
routine uses for this notice, but
nevertheless is seeking to explicitly add
them for the sake of clarity. Other
routine uses for this notice would be
revised in ways that do not increase the
availability of records or amend the
manner in which the records may be
used.
Information in the systems of records
may be retrieved by personal identifier.
The Privacy Act of 1974 requires the
Treasury to give general notice, and
opportunity to comment, to the public
when making substantive changes to
these Systems. Although revisions to
these systems of records notices are
non-substantive, they are numerous. As
a result, FinCEN is providing notice and
public comment opportunity. The
notices were last published in their
entirety on July 21, 2008, beginning at
73 FR 42405.
For the reasons set forth above,
FinCEN proposes to alter the FinCEN
Investigations and Examinations
System, the SAR System, and the BSA
System, as follows:
Treasury/FinCEN.001
SYSTEM NAME:
FinCEN Investigations and
Examinations System—Treasury/
FinCEN.
SYSTEM LOCATION:
The Internal Revenue Service
Enterprise Computing Center Detroit
(ECCD), 985 Michigan Avenue, Detroit,
Michigan 48226–1129; Internal Revenue
Service Enterprise Computing Center
Martinsburg (ECCM), 295 Murall Drive,
Kearneysville, West Virginia, 25436;
Bureau of the Public Debt, P.O. Box
7015, Parkersburg, West Virginia,
26106–7015; and Financial Crimes
Enforcement Network (FinCEN), P.O.
Box 39, Vienna, Virginia 22183–0039.
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
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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 and regulation of financial
institutions 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 or any other authority
exercised by FinCEN to compel the
reporting of records; 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.
Records include queries and the results
of queries made by FinCEN customers
(see discussions of SAR System Users
and BSA Report System Users in the
system of records notices for Suspicious
Activity Reporting System—Treasury/
FinCEN.002 and Bank Secrecy Act
Reports System—Treasury/FinCEN.003,
respectively), and by FinCEN employees
on behalf of investigatory agencies,
financial intelligence units, other
FinCEN customers, and FinCEN itself.
Authority for maintenance of the
system: 5 U.S.C. 301, 31 U.S.C. 5311–
5314, 5316–5332; 31 U.S.C. 310; 31 CFR
chapter X; Pub. L. 111–195, 124 Stat.
1312; Treasury Department Order 180–
01 (September 26, 2002).
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 investigations and
proceedings, including examinations,
and to support the conduct of
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intelligence or counterintelligence
activities, including analysis, to protect
against international terrorism. A
FinCEN Investigations and
Examinations System User is an agency
or organization that has been granted
access to the information in this system.
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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;
(8) Provide information or records to
the United States Intelligence
Community, within the meaning of
Executive Order 12333 (December 4,
1981) as amended, to further those
agencies’ efforts with respect to national
security consistent with applicable law;
(9) Disclose information or records to
any person with whom FinCEN, ECCD,
ECCM, or a FinCEN Investigations and
Examinations System User contracts to
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provide consulting, data processing,
clerical, secretarial functions, and other
services relating to the official programs
and operations of FinCEN, ECCD,
ECCM, or the FinCEN Investigations and
Examinations System User; and
(10) To appropriate agencies, entities,
and persons when (a) FinCEN suspects
or has confirmed that the security or
confidentiality of information in the
system of records has been
compromised; (b) FinCEN 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
FinCEN 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 FinCEN’s efforts to
respond to the suspected or confirmed
compromise and prevent, minimize, or
remedy such harm.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Magnetic media and other electronic
format and on hard paper copy.
RETRIEVABILITY:
By name, address, or other unique
identifier.
SAFEGUARDS:
Electronic records are password
protected. Records are maintained in
buildings subject to 24-hour security.
Access controls will not be less than
those provided by Treasury security
requirements. Access to individuals is
granted based on roles and
responsibilities.
RETENTION AND DISPOSAL:
FinCEN personnel review records in
this system each time a record is
retrieved and on a periodic basis to see
whether it should be retained or
modified. Records in this system are
updated periodically to reflect
disposition of records in accordance
with applicable law and record
retention schedules.
SYSTEM MANAGER(S) AND ADDRESSES:
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
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individual be permitted to contest its
contents, pursuant to the provisions of
5 U.S.C. 552a(j)(2), (k)(1), and (k)(2).
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. Pursuant
to the provisions of 5 U.S.C. 552a(j)(2),
(k)(1), 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), (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
Enterprise Computing Center Detroit
(ECCD), 985 Michigan Avenue, Detroit,
Michigan 48226–1129; Internal Revenue
Service Enterprise Computing Center
Martinsburg (ECCM), 295 Murall Drive,
Kearneysville, West Virginia, 25436;
Bureau of the Public Debt, P.O. Box
7015, Parkersburg, West Virginia,
26106–7015; and Financial Crimes
Enforcement Network (FinCEN), P.O.
Box 39, Vienna, Virginia 22183–0039.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
The SAR System contains information
from forms including, but not limited to:
Form TD F 90–22.47 (Suspicious
Activity Report by Depository
Institutions)—to be replaced by FinCEN
111; FinCEN 101 (Suspicious Activity
Report by the Securities and Futures
Industries); FinCEN 102 (Suspicious
Activity Report by Casinos and Card
Clubs)—formerly TD F 90–22.49;
FinCEN 109 (Suspicious Activity Report
by Money Services Business)—formerly
TD F 90–22.56. The SAR System also
will contain information from Form 111
(Bank Secrecy Act (BSA) Suspicious
Activity Report), after that unified form
for reporting suspicious activity is made
effective. Information on these forms
concerns:
(1) Individuals who or entities that are
known or suspected perpetrators of a
known or suspected criminal violation,
or pattern of criminal violations,
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committed or attempted against a
financial institution, or participants in a
transaction or transactions conducted
through the financial institution, that
have been reported by the financial
institution, either voluntarily, or
because such a report is required under
the rules of FinCEN and/or the rules of
one or more of the Federal Supervisory
Agencies.
(2) Individuals who 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 or 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 Public
Law 91–508, as amended, codified at 12
U.S.C. 1829b, 12 U.S.C. 1951–1959, and
31 U.S.C. 5311–5314, 5316–5332 (the
BSA); (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; or (d) the transaction
involves use of the financial institution
to facilitate criminal activity;
(3) Individuals who are directors,
officers, employees, agents, or otherwise
affiliated with a financial institution;
(4) Individuals who 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 or
organizations suspected of engaging in
terrorist and other criminal activities
and any person who may be affiliated
with such individuals, entities or
organizations;
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(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, an insurance company, and a
casino) on a Suspicious Activity Report
(SAR) that is filed voluntarily or as
required by FinCEN, one or more of the
Federal Supervisory Agencies, and/or
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, or organizations
that, based on credible evidence, are
suspected of engaging in terrorist or
other criminal activities, including
information provided to FinCEN from
financial institutions regarding such
individuals, entities, or organizations.
SARs contain information about the
categories of persons or entities
specified in ‘‘Categories of Individuals
Covered by the System.’’ Authority for
maintenance of the system:The SAR
System is established and maintained in
accordance with 31 U.S.C. 5318(g); 31
U.S.C. 321; and 31 U.S.C. 310; 31 CFR
chapter X; Treasury Department Order
180–01 (September 26, 2002).
PURPOSE(S):
The SAR 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, certain of their
affiliates, and certain other financial
institutions. 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. 31 U.S.C.
5318(g)(4)(B), which specifically
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requires that the agency designated as
the repository for SARs refer those
reports to appropriate law enforcement,
supervisory and intelligence agencies,
and 31 U.S.C. 5319 and 31 U.S.C. 310,
which require or permit the distribution
of reports filed under the Bank Secrecy
Act to federal, state and local agencies
that engage in criminal, regulatory and
tax investigations and proceedings,
agencies that engage in intelligence and
counterintelligence activities, including
analysis, to protect against international
terrorism, certain self-regulatory
organizations, appropriate foreign
agencies, and foreign financial
intelligence units. A SAR System User
is an agency or organization that has
been granted access to the information
in this system. SAR System Users
include the Federal Supervisory
Agencies, Federal law enforcement
agencies (including the Federal Bureau
of Investigation, the Internal Revenue
Service, the United States Secret
Service, United States Customs and
Border Protection, United States
Immigration and Customs Enforcement,
the Drug Enforcement Administration,
and the Bureau of Alcohol, Tobacco,
Firearms and Explosives), appropriate
federal agency Inspector General Offices
having criminal law enforcement
powers under the Inspector General Act
of 1978 or comparable authority, the
Executive Office of the United States
Attorneys and the Offices of the 93
United States Attorneys, the Securities
and Exchange Commission (SEC), the
Commodity Futures Trading
Commission (CFTC), the Federal Trade
Commission, the Intelligence
Community, federal agencies
conducting or supporting national
security background investigations
under Executive Order 12968 as
amended, the Government
Accountability Office, State financial
institution supervisory and regulatory
agencies, State tax agencies, State and
local law enforcement agencies, and
self-regulatory organizations authorized
by the SEC and CFTC.
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 a SAR
System User relevant to the
enforcement, regulatory, and
supervisory programs and operations of
that User;
(2) Provide a SAR System User, and
if applicable the unit within an
Executive Department to which the SAR
System User reports, with reports that
indicate the number, amount,
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individual identity, and other details
concerning potential violations of law
that have been the subject of SARs;
(3) Provide information or records to
any appropriately authorized domestic
governmental agency or self-regulatory
organization charged with the
responsibility of administering law,
investigating or prosecuting violations
of law, enforcing or implementing a
statute, rule, regulation, order, or policy,
or issuing a license, security clearance,
contract, grant, or benefit, when relevant
to the responsibilities of that agency or
organization;
(4) Provide information or records to
any appropriately authorized nonUnited States governmental agency
charged with the responsibility of
administering law, investigating or
prosecuting violations of law, enforcing
or implementing a statute, rule,
regulation, order, or policy, when
relevant to the responsibilities of that
agency;
(5) Provide information or records,
when appropriate, to an international
authority or foreign government in
accordance with law and bilateral or
multilateral international agreements;
(6) Disclose the existence, but not
necessarily the content, of information
or records pertaining to an investigation
by a SAR System User, on behalf of and
with the approval of that SAR System
User, to another SAR System User,
when FinCEN determines that such
disclosure furthers the coordinated
analysis and tracking of information
among SAR System Users;
(7) Provide information or records to
the Department of Justice, or in a
proceeding before a court, adjudicative
body, or other administrative body
before which a SAR System User is
authorized to appear, when: (a) Any of
the following is a party to litigation or
has an interest in litigation: (i) the SAR
System User or any component thereof,
or (ii) any employee of the SAR System
User in his or her official capacity, or
(iii) any employee of the SAR System
User where the Department of Justice or
the SAR System User has agreed to
represent the employee, or (iv) the
United States; and (b) the SAR System
User determines that litigation is likely
to affect the SAR System User or any of
its components; (c) the SAR System
User deems the use of such records by
the Department of Justice or 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;
(8) Disclose information or records to
individuals or entities to the extent
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necessary to elicit information pertinent
to the investigation, prosecution, or
enforcement of civil or criminal statutes,
rules, regulations, or orders;
(9) In accordance with Executive
Order 12968 (August 2, 1995) as
amended, provide information or
records to any appropriate government
authority to determine eligibility for
access to classified information to the
extent relevant for matters that are by
statute permissible subjects of inquiry;
(10) Provide information or records to
the United States Intelligence
Community, within the meaning of
Executive Order 12333 (December 4,
1981) as amended, to further those
agencies’ efforts with respect to national
security in a manner consistent with
applicable law and in the conduct of
intelligence or counterintelligence
activities, including analysis, to protect
against international terrorism;
(11) Furnish analytic and statistical
reports to government agencies and the
public providing information derived
from SARs in a form in which
individual identities are not revealed;
(12) Disclose information or records to
any person with whom FinCEN, ECCD,
ECCM, or a SAR System User contracts
to provide consulting, data processing,
clerical, secretarial, or other services
relating to the official programs and
operations of FinCEN, ECCD, ECCM, or
the SAR System User; and
(13) Disclose information to
appropriate agencies, entities, and
persons when (a) FinCEN suspects or
has confirmed that the security or
confidentiality of information in the
system of records has been
compromised; (b) FinCEN 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
FinCEN 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 FinCEN’s efforts to
respond to the suspected or confirmed
compromise and prevent, minimize, or
remedy such harm.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in magnetic
media and other electronic format and
on hard paper copy.
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60019
RETRIEVABILITY:
Data in the SAR System may be
retrieved by particular data fields (e.g.,
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:
Electronic records are password
protected. Records are maintained in
buildings subject to 24-hour security.
Access controls will not be less than
those provided by Treasury security
requirements. Access to individuals is
granted based on roles and
responsibilities.
RETENTION AND DISPOSAL:
Records in this system will be
updated periodically to reflect new
filings, amendments to existing filings,
and disposition of records in accordance
with applicable law and record
retention schedules.
SYSTEM MANAGER 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
Enterprise Computing Center Detroit,
985 Michigan Avenue, Detroit,
Michigan 48226–1129 and Director, IRS
Enterprise Computing Center
Martinsburg, 295 Murall Drive,
Kearneysville, West Virginia, 25436.
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 government
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.
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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. Treasury/FinCEN.003
SYSTEM NAME:
Bank Secrecy Act Reports System (the
‘‘BSA System’’)—Treasury/FinCEN.
SYSTEM LOCATION:
Currency and Banking Retrieval
System, Internal Revenue Service
Enterprise Computing Center Detroit
(ECCD), 985 Michigan Avenue, Detroit,
Michigan 48226–1129; Internal Revenue
Service Enterprise Computing Center
Martinsburg (ECCM), 295 Murall Drive,
Kearneysville, West Virginia, 25436;
Bureau of the Public Debt, P.O. Box
7015, Parkersburg, West Virginia,
26106–7015; Treasury Enforcement
Communications System, United States
Customs and Border Protection,
Newington, 7681 Boston Boulevard,
Springfield, Virginia 22153–3140; and
Financial Crimes Enforcement Network
(FinCEN), P.O. Box 39, Vienna, Virginia
22183–0039.
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CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
See persons identified in the reports
specified below under ‘‘Categories of
Records in the System.’’ Specifically,
the BSA System contains information
from forms including, but not limited to:
FinCEN Form 104 (Currency
Transaction Report)—formerly IRS Form
4789; FinCEN Form 103 (Currency
Transaction Report by Casinos)—
formerly IRS Form 8362; FinCEN Form
103N-rescinded 1/7/07 (Currency
Transaction Report by CasinosNevada)—formerly IRS Form 8852;
FinCEN Form 8300 (Report of Cash
Payments Over $10,000 Received in a
Trade or Business)—formerly IRS Form
8300; FinCEN Form 105 (Report of
International Transportation of
Currency or Monetary Instruments)—
formerly Customs Form 4790; Treasury
Form TDF 90–22.1 (Report of Foreign
Bank and Financial Accounts); FinCEN
Form 110 (Designation of Exempt
Person)—formerly Treasury Form TDF
90–22.53; and FinCEN Form 107
(Registration of Money Services
Businesses)—formerly Treasury Form
TDF 90–22.55 (collectively BSA
Reports); and Form 112 (Bank Secrecy
Act Currency Transaction Report), after
that unified form reporting transactions
in currency is made effective.
Information on these forms concerns:
(1) Individuals or entities filing the
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reports; (2) individuals or entities that
are the subjects of these reports; (3)
individuals or entities that are
participants in reportable transactions;
(4) individuals who are directors,
officers, employees, agents, or otherwise
affiliated with a financial institution; (5)
individuals or entities names as
preparers of any such report; (6)
individuals named as the owners of
monetary instruments; and (7)
individuals named as owners of
financial accounts.
CATEGORIES OF RECORDS IN THE SYSTEM:
The BSA System contains information
or reports filed under the Bank Secrecy
Act and its implementing regulations
(31 CFR chapter X) including, but not
limited to, reports made on FinCEN
Form 104 (Currency Transaction
Report); FinCEN Form 103 (Currency
Transaction Report by Casinos); FinCEN
Form 103N (Currency Transaction
Report by Casinos-Nevada); 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);
FinCEN Form 110 (Designation of
Exempt Person); and FinCEN Form 107
(Registration of Money Services
Businesses) (collectively BSA Reports).
The BSA System also will contain
information from Form 112 (Bank
Secrecy Act Currency Transaction
Report), after that unified form reporting
transactions in currency is made
effective. These reports include names
of financial institutions (including, but
not limited to, depository institutions,
money services businesses, brokerdealers in securities, insurance
companies, and casinos), individuals
and other entities filing the reports,
names of financial institutions,
individuals and entities that are the
subjects of the reports, names of the
owners of monetary instruments,
account numbers, addresses, dates of
birth and other personal identifiers, and
the amounts of funds, currency or other
monetary instruments that are
associated with transactions, events,
circumstances or decisions that trigger
reporting requirements. (This system
does not include Suspicious Activity
Reports. Those reports are included in
another system of records, ‘‘Suspicious
Activity Reporting System—Treasury/
FinCEN.002’’).
Authority for maintenance of the
system: The BSA Report System is
established and maintained in
accordance with 12 U.S.C. 1829b and
1951–1959; 31 U.S.C. 5311–5314, 5316–
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Sfmt 4703
5332; 5 U.S.C. 301; 31 U.S.C. 310; 31
CFR chapter X; Treasury Department
Order 180–01 (September 26, 2002).
PURPOSE(S):
The Bank Secrecy Act, codified at 12
U.S.C. 1829b and 1951–1959 and 31
U.S.C. 5311–5314, 5316–5332
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 investigations and
examinations, or in the conduct of
intelligence or counterintelligence
activities, including analysis, to protect
against international terrorism. The
Secretary’s authority has been
implemented through regulations
promulgated at 31 CFR chapter X. The
purpose of this system of records is to
maintain the information contained in
the reports required under these
regulations. This information is
distributed to federal, state and local
agencies that engage in criminal,
regulatory and tax investigations and
proceedings, agencies that engage in
intelligence and counterintelligence
activities, certain self-regulatory
organizations, appropriate foreign
agencies, and foreign financial
intelligence units. A BSA Report
Systems User is an agency or
organization that has been granted
access to the information in this system.
BSA Report System Users include the
Federal Supervisory Agencies, Federal
law enforcement agencies (including the
Federal Bureau of Investigation, the
Internal Revenue Service, the United
States Secret Service, United States
Customs and Border Protection, United
States Immigration and Customs
Enforcement, the Drug Enforcement
Administration, and the Bureau of
Alcohol, Tobacco, Firearms and
Explosives), appropriate federal agency
Inspector General Offices having
criminal law enforcement powers under
the Inspector General Act of 1978 or
comparable authority, the Executive
Office of the United States Attorneys
and the Offices of the 93 United States
Attorneys, the Securities and Exchange
Commission (SEC), the Commodity
Futures Trading Commission (CFTC),
the Federal Trade Commission, the
Intelligence Community, federal
agencies conducting or supporting
national security background
investigations under Executive Order
12968 as amended, the Government
Accountability Office, State financial
institution supervisory and regulatory
agencies, State tax agencies, State and
local law enforcement agencies, and
self-regulatory organizations authorized
by the SEC and CFTC.
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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) Provide information or records,
electronically or manually, to a BSA
Report System User relevant to the
enforcement, regulatory, and
supervisory programs and operations of
that User;
(2) Provide a BSA Report System
User, and if applicable the unit within
an Executive Department to which the
BSA Report System User reports, with
reports that indicate the number,
amount, individual identity of
participants, and other details
concerning events or activities that have
been the subject of a BSA Report;
(3) Provide information or records to
any appropriately authorized domestic
governmental agency or self-regulatory
organization charged with the
responsibility of administering law,
investigating or prosecuting violations
of law, enforcing or implementing a
statute, rule, regulation, order, or policy,
or issuing a license, contract, grant, or
other benefit when relevant to the
responsibilities of that agency or
organization;
(4) Provide information or records to
any appropriately authorized nonUnited States governmental agency
charged with the responsibility of
administering law, investigating or
prosecuting violations of law, enforcing
or implementing a statute, rule,
regulation, order, or policy, when
relevant to the responsibilities of that
agency;
(5) Provide information or records,
when appropriate, to an international
authority or foreign government in
accordance with law and bilateral or
multilateral international agreements;
(6) 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;
(7) Disclose the existence, but not
necessarily the content, of information
or records pertaining to an investigation
by a BSA Report System User, on behalf
of and with the approval of that BSA
Report System User, to another BSA
Report System User, when FinCEN
determines that such disclosure furthers
the coordinated analysis and tracking of
information among BSA Report System
Users;
(8) Disclose information to a court,
magistrate, or administrative tribunal in
the course of presenting evidence,
including disclosures to opposing
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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;
(9) Provide information to third
parties during the course of an
investigation to the extent necessary to
obtain information pertinent to the
investigation;
(10) In accordance with Executive
Order 12968 (August 2, 1995) as
amended, provide information or
records to any appropriate government
authority to determine eligibility for
access to classified information to the
extent relevant for matters that are by
statute permissible subjects of inquiry;
(11) Provide information or records to
the United States Intelligence
Community, within the meaning of
Executive Order 12333 (December 4,
1981) as amended, to further those
agencies’ efforts with respect to national
security in a manner consistent with
applicable law, and in the conduct of
intelligence or counterintelligence
activities, including analysis, to protect
against international terrorism;
(12) 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;
(13) Disclose information or records to
any person with whom FinCEN, ECCD,
ECCM, or a BSA Report System User
contracts to provide consulting, data
processing, clerical, secretarial, or other
services relating to the official programs
and operations of FinCEN, ECCD,
ECCM, or the BSA Report System User;
(14) Disclose to the public
information about Money Services
Businesses that have registered with
FinCEN pursuant to 31 CFR 1022.380,
other than information that consists of
trade secrets, or that is privileged and
confidential commercial or financial
information; and
(15) Disclose information to
appropriate agencies, entities, and
persons when (a) FinCEN suspects or
has confirmed that the security or
confidentiality of information in the
system of records has been
compromised; (b) FinCEN 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
FinCEN 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
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60021
connection with FinCEN’s efforts to
respond to the suspected or confirmed
compromise and prevent, minimize, or
remedy such harm.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in magnetic
media and other electronic format and
on hard paper copy.
RETRIEVABILITY:
By name and other unique identifier.
SAFEGUARDS:
Electronic records are password
protected. Records are maintained in
buildings subject to 24-hour security.
Access controls will not be less than
those provided by Treasury security
requirements. Access to individuals is
granted based on roles and
responsibilities.
RETENTION AND DISPOSAL:
Records in this system will be
updated periodically to reflect new
filings, amendments to existing filings,
and disposition of records in accordance
with applicable law and record
retention schedules.
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
Enterprise Computing Center Detroit,
985 Michigan Avenue, Detroit,
Michigan 48226–1129, Director, IRS
Enterprise Computing Center
Martinsburg, 295 Murall Drive,
Kearneysville, West Virginia, 25436.
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:
Records in this system may be
provided by or obtained from:
Individuals; financial institutions and
E:\FR\FM\01OCN1.SGM
01OCN1
60022
Federal Register / Vol. 77, No. 190 / Monday, October 1, 2012 / Notices
certain of their affiliates; Federal
Supervisory Agencies; State financial
institution supervisory agencies;
domestic or foreign government
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.
Dated: September 10, 2012.
Melissa Hartman,
Deputy Assistant Secretary for Privacy,
Transparency, and Records.
[FR Doc. 2012–24017 Filed 9–28–12; 8:45 am]
BILLING CODE 4810–02–P
DEPARTMENT OF THE TREASURY
Office of Foreign Assets Control
Supplemental Identification
Information for One (1) Individual
Designated Pursuant to Executive
Order
Office of Foreign Assets
Control, Treasury.
ACTION: Notice.
AGENCY:
The Treasury Department’s
Office of Foreign Assets Control
(‘‘OFAC’’) is publishing supplemental
information for the name of one (1)
individual whose property and interests
in property are blocked pursuant to
Executive Order 13224 of September 23,
2001, ‘‘Blocking Property and
Prohibiting Transactions With Persons
Who Commit, Threaten To Commit, or
Support Terrorism.’’
DATES: The publishing of updated
identification information by the
Director of OFAC of one (1) individual
in this notice, pursuant to Executive
Order 13224, is effective on September
25, 2012.
FOR FURTHER INFORMATION CONTACT:
Assistant Director, Compliance
Outreach & Implementation, Office of
Foreign Assets Control, Department of
the Treasury, Washington, DC 20220,
tel.: 202/622–2490.
SUPPLEMENTARY INFORMATION:
mstockstill on DSK4VPTVN1PROD with NOTICES
SUMMARY:
Electronic and Facsimile Availability
This document and additional
information concerning OFAC are
available from OFAC’s Web site
VerDate Mar<15>2010
16:48 Sep 28, 2012
Jkt 226001
(www.treas.gov/ofac) or via facsimile
through a 24-hour fax-on-demand
service, tel.: 202/622–0077.
Background
On September 23, 2001, the President
issued Executive Order 13224 (the
‘‘Order’’) pursuant to the International
Emergency Economic Powers Act, 50
U.S.C. 1701–1706, and the United
Nations Participation Act of 1945, 22
U.S.C. 287c. In the Order, the President
declared a national emergency to
address grave acts of terrorism and
threats of terrorism committed by
foreign terrorists, including the
September 11, 2001 terrorist attacks in
New York, Pennsylvania, and at the
Pentagon. The Order imposes economic
sanctions on persons who have
committed, pose a significant risk of
committing, or support acts of terrorism.
The President identified in the Annex to
the Order, as amended by Executive
Order 13268 of July 2, 2002, 13
individuals and 16 entities as subject to
the economic sanctions. The Order was
further amended by Executive Order
13284 of January 23, 2003, to reflect the
creation of the Department of Homeland
Security.
Section 1 of the Order blocks, with
certain exceptions, all property and
interests in property that are in or
hereafter come within the United States
or the possession or control of United
States persons, of: (1) Foreign persons
listed in the Annex to the Order; (2)
foreign persons determined by the
Secretary of State, in consultation with
the Secretary of the Treasury, the
Secretary of the Department of
Homeland Security and the Attorney
General, to have committed, or to pose
a significant risk of committing, acts of
terrorism that threaten the security of
U.S. nationals or the national security,
foreign policy, or economy of the United
States; (3) persons determined by the
Director of OFAC, in consultation with
the Departments of State, Homeland
Security and Justice, to be owned or
controlled by, or to act for or on behalf
of those persons listed in the Annex to
the Order or those persons determined
to be subject to subsection 1(b), 1(c), or
1(d)(i) of the Order; and (4) except as
provided in section 5 of the Order and
after such consultation, if any, with
foreign authorities as the Secretary of
State, in consultation with the Secretary
of the Treasury, the Secretary of the
Department of Homeland Security and
the Attorney General, deems
appropriate in the exercise of his
discretion, persons determined by the
Director of OFAC, in consultation with
the Departments of State, Homeland
Security and Justice, to assist in,
PO 00000
Frm 00135
Fmt 4703
Sfmt 4703
sponsor, or provide financial, material,
or technological support for, or financial
or other services to or in support of,
such acts of terrorism or those persons
listed in the Annex to the Order or
determined to be subject to the Order or
to be otherwise associated with those
persons listed in the Annex to the Order
or those persons determined to be
subject to subsection 1(b), 1(c), or 1(d)(i)
of the Order.
On September 25, 2012 the Director of
OFAC, in consultation with the
Departments of State, Homeland
Security, Justice and other relevant
agencies, supplemented the
identification information for one (1)
individual whose property and interests
in property are blocked pursuant to
Executive Order 13224.
The supplementation identification
information for the individual is as
follows:
Individual
1. JIM’ALE, Ahmed Nur Ali (a.k.a.
JIMALE, Ahmad Ali; a.k.a. JIM’ALE,
Ahmad Nur Ali; a.k.a. JIMALE, Ahmed
Ali; a.k.a. JIMALE, Shaykh Ahmed Nur;
a.k.a. JIMALE, Sheikh Ahmed; a.k.a.
JUMALE, Ahmed Ali; a.k.a. JUMALE,
Ahmed Nur; a.k.a. JUMALI, Ahmed
Ali), P.O. Box 3312, Dubai, United Arab
Emirates; Mogadishu, Somalia; Djibouti,
Djibouti; DOB 20 May 1954; POB Eilbur,
Somalia; nationality Somalia; citizen
Somalia; alt. citizen Djibouti; Passport
A0181988 (Somalia) issued 01 Oct 2001
expires 23 Jan 2011; Additional
Djiboutian passport issued in 2010.
(individual) [SDGT].
Dated: September 25, 2012.
Adam J. Szubin,
Director, Office of Foreign Assets Control.
[FR Doc. 2012–23980 Filed 9–28–12; 8:45 am]
BILLING CODE 4810–AL–P
DEPARTMENT OF THE TREASURY
Internal Revenue Service
Proposed Collection; Comment
Request for Information Collection
Tools
Internal Revenue Service (IRS),
Treasury.
ACTION: Notice and request for
comments.
AGENCY:
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
SUMMARY:
E:\FR\FM\01OCN1.SGM
01OCN1
]]>Agencies
[Federal Register Volume 77, Number 190 (Monday, October 1, 2012)]
[Notices]
[Pages 60014-60022]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-24017]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF THE TREASURY
Financial Crimes Enforcement Network
Privacy Act of 1974, as Amended; System of Records Notice
AGENCY: Financial Crimes Enforcement Network (FinCEN), Treasury.
ACTION: Notice of alterations of three Privacy Act systems of records.
-----------------------------------------------------------------------
SUMMARY: In accordance with the Privacy Act of 1974, as amended, the
Financial Crimes Enforcement Network (``FinCEN''), Department of the
Treasury (``Treasury''), gives notice of proposed alterations to three
existing systems of records entitled ``Treasury/FinCEN .001--FinCEN
Investigations and Examinations System (the ``Investigations and
Examinations System''),'' ``Treasury/FinCEN .002--Suspicious Activity
Report System (the ``SAR System''),'' and ``Treasury/FinCEN .003--Bank
Secrecy Act Reports System (the ``BSA System'').'' The systems of
records were last published in their entirety on July 21, 2008, at 73
FR 42406, 73 FR 42407, and 73 FR 42409, respectively.
DATES: Comments must be received no later than October 31, 2012. This
altered system of records will be effective November 5, 2012 unless the
Department receives comments which would result in a contrary
determination.
ADDRESSES: Written comments should be submitted to: Office of Chief
Counsel, Financial Crimes Enforcement Network, Department of the
Treasury, P.O. Box 39, Vienna, VA 22183-0039, Attention: Revisions to
PA System of Records-Comments. Comments also may be submitted be
electronic mail to the following Internet address:
[[Page 60015]]
regcomments@fincen.gov, with the above caption in the body of the text.
Inspection of comments: Comments are available on
www.regulations.gov and are posted when received. Comments may be
inspected at FinCEN between 10 a.m. and 4 p.m., in the FinCEN Reading
Room, Vienna, VA. Persons wishing to inspect the comments submitted
must request an appointment with the Disclosure Officer by telephoning
(703) 905-5034 (not a toll-free call).
FOR FURTHER INFORMATION CONTACT: Office of Chief Counsel, FinCEN, at
(703) 905-3590 (not a toll-free call).
SUPPLEMENTARY INFORMATION: FinCEN has conducted a review of its Privacy
Act systems of records for compliance with the Privacy Act (5 U.S.C.
552a) and with Appendix 1 to OMB Circular A-130, ``Federal Agency
Responsibilities for Maintaining Records About Individuals,'' dated
November 30, 2000, and is proposing to alter three of its current
systems of records. FinCEN has a legal requirement to publish such
notices.
The systems of records contain information collected under the
statutory authority of the Bank Secrecy Act, Title I and II of Public
Law 91-508, as amended, and codified at 12 U.S.C. 1829b, 12 U.S.C.
1951-1959, and 31 U.S.C. 5311-5314, 5316-5332, or any other authority
exercised by FinCEN to compel the reporting of records, such as section
104(e) of the Comprehensive Iran Sanctions, Accountability, and
Divestment Act of 2010, Public Law 111-195. These systems of records
may also include information or records that contribute to effective
law enforcement and regulation of financial institutions and non-
financial trades or businesses, including, but not limited to, subject
files on individuals, corporations, and other legal entities. The Bank
Secrecy Act authorizes the Secretary of the Treasury, inter alia, to
require financial institutions and individuals to keep records and file
reports that are determined to have a high degree of usefulness in
criminal, tax, and regulatory matters, or in the conduct of
intelligence or counter-intelligence activities to protect against
international terrorism, and to implement counter-money laundering
programs and compliance procedures. The regulations implementing Title
II of the Bank Secrecy Act appear at 31 CFR chapter X. The Secretary
delegated his authority to administer the Bank Secrecy Act to the
Director of FinCEN.
Suspicious transaction reporting is required by regulations issued
by FinCEN and the supervisory agencies that examine and regulate the
safety and soundness of financial institutions, namely the Board of
Governors of the Federal Reserve System, the Office of the Comptroller
of the Currency, the Federal Deposit Insurance Corporation, and the
National Credit Union Administration (collectively, the ``Federal
Supervisory Agencies'').\1\ The requirements of FinCEN and the Federal
Supervisory Agencies create an integrated system for reporting
suspicious activity and known or suspected crimes. Under these
requirements, financial institutions file a single uniform Suspicious
Activity Report (a ``SAR'') with FinCEN. Prior to the development of
the integrated SAR filing system, a financial institution reporting a
known or suspected violation of law was required to file multiple
copies of criminal referral forms with its Federal Supervisory Agency
and Federal law enforcement agencies. Each Federal Supervisory Agency
had promulgated a different form. Under the current system, a financial
institution meets its obligation to report a known or suspected
violation of law by filing one copy of a SAR with FinCEN.
In the course of its review, FinCEN identified a number of non-
substantive, clarifying revisions to the SAR System's system of records
notice as part of its negotiations on the improvements being made to
the data base storing the information contained in FinCEN's systems of
records (the ``FinCEN Data Base''), and access and use issues with the
Federal Supervisory Agencies. The Federal Supervisory Agencies have
indicated broad acceptance of this package of revisions, and have
committed to consider harmonizing their own systems of records notices
referencing SARs with FinCEN's SAR System notice language, as revised
in this notice. To the extent different systems of records notices
attempt to communicate the same point, they should use broadly
identical language. As a result, a number of the revisions to the SAR
System notice are appropriate, and have been adopted in the
Investigations and Examinations System notice and the BSA Reports
System notice. Additional clarifying revisions have been made to the
Investigations and Examinations System notice and the BSA Reports
System notice with respect to language that has no direct parallel in
the FinCEN SAR System notice.
---------------------------------------------------------------------------
\1\ For purposes of this notice, the term ``Financial
Supervisory Agencies'' also includes the now defunct Office of
Thrift Supervision (``OTS'') to the extent that the SAR System
includes information from reports filed pursuant to rules issued by
the OTS.
---------------------------------------------------------------------------
Consequently, these system notices contain a number of proposed
revisions that modify the 2008 FinCEN Privacy Act systems of records
notices. Most of these revisions are non-substantive clarifications.
FinCEN is legally permitted to make all of these non-substantive
revisions set forth in the systems of records notices published below.
The revisions to the SAR System notice, as a whole, have been discussed
with the Federal Supervisory Agencies and would form a generally
acceptable base from which to work towards the goal of a single,
uniform federal government standard for public notice of the use of
SARs. The non-substantive revisions to the Investigations and
Examinations System notice and the BSA Reports System notice generally
make those notices more consistent with the SAR System notice, thus
producing a clearer and a more accurate reflection of FinCEN's actual
practices.
One new routine use is being proposed for the FinCEN .001--FinCEN
Investigations and Examinations System notice as follows:
(10) Disclose information or records to any person with whom
FinCEN, Enterprise Computing Center Detroit (ECCD), Enterprise
Computing Center Martinsburg (ECCM),\2\ or a FinCEN Investigations and
Examinations System User \3\ contracts to provide consulting, data
processing, clerical, secretarial, or other services relating to the
official programs and operations of FinCEN, ECCD, ECCM, or the FinCEN
Investigations and Examinations System User.
---------------------------------------------------------------------------
\2\ ``ECCD'' and ``ECCM'' are the IRS data processing sites that
provide data processing services to FinCEN, as identified under the
header ``System Location'' in each system of records notice.
\3\ A FinCEN Investigations and Examinations System User is an
agency or organization that has been granted access to the
information in this system.
This routine use is compatible with the purpose for which the records
are collected because such disclosures will enable FinCEN to better
administer the information it maintains and may facilitate the use of
information in accordance with applicable laws and regulations. FinCEN
believes that this routine use is implicit in the other routine uses
for this notice, but nevertheless is seeking to explicitly add it for
the sake of clarity. Other routine uses for this notice would be
revised in ways that do not increase the availability of records or
---------------------------------------------------------------------------
amend the manner in which the records may be used.
[[Page 60016]]
There are no new routine uses being proposed for the FinCEN .002--
SAR System notice. The revised routine uses that are being proposed for
this notice do not increase the availability of records in that system
or amend the manner in which the records may be used. The proposed SAR
System notice would delete the routine use relating to the disclosure
of SARs to bar associations and other professional organizations, to
better reflect FinCEN's actual practice and to conform the SAR System
notice withFinCEN's other systems notices.
The new or revised routine uses for the FinCEN .003--BSA Report
System notice are as follows:
(1) Provide information or records, electronically or manually, to
a BSA Report System User if relevant to the enforcement, regulatory,
and supervisory programs and operations of that user;
(2) Provide a BSA Report System User, and if applicable the unit
within an Executive Department to which the BSA Report System User
reports, with reports that indicate the number, amount, individual
identity of participants, and other details concerning events or
activities that have been the subject of a BSA Report;
* * * * *
(5) Provide information or records, when appropriate, to an
international authority or foreign government in accordance with law
and bilateral or multilateral international agreements;
* * * * *
(7) Disclose the existence, but not necessarily the content, of
information or records pertaining to an investigation by a BSA Report
System User, on behalf of and with the approval of that BSA Report
System User, to another BSA Report System User, when FinCEN determines
that such disclosure furthers the coordinated analysis and tracking of
information among BSA Report System Users;
* * * * *
(11) Provide information or records to the United States
Intelligence Community, within the meaning of Executive Order 12333
(December 4, 1981) as amended, to further those agencies' efforts with
respect to national security consistent with applicable law; and
* * * * *
(13) Disclose information or records to any person with whom
FinCEN, ECCD, ECCM, or a BSA Report System User contracts to provide
consulting, data processing, clerical, secretarial, or other services
relating to the official programs and operations of FinCEN, ECCD, ECCM,
or the BSA Report System User.
These routine uses are compatible with the purpose for which the
records are collected because such disclosures will enable FinCEN to
better administer the information it maintains and may facilitate the
use of the information in accordance with applicable laws and
regulations. FinCEN believes that these routine uses are implicit in
the other routine uses for this notice, but nevertheless is seeking to
explicitly add them for the sake of clarity. Other routine uses for
this notice would be revised in ways that do not increase the
availability of records or amend the manner in which the records may be
used.
Information in the systems of records may be retrieved by personal
identifier. The Privacy Act of 1974 requires the Treasury to give
general notice, and opportunity to comment, to the public when making
substantive changes to these Systems. Although revisions to these
systems of records notices are non-substantive, they are numerous. As a
result, FinCEN is providing notice and public comment opportunity. The
notices were last published in their entirety on July 21, 2008,
beginning at 73 FR 42405.
For the reasons set forth above, FinCEN proposes to alter the
FinCEN Investigations and Examinations System, the SAR System, and the
BSA System, as follows:
Treasury/FinCEN.001
SYSTEM NAME:
FinCEN Investigations and Examinations System--Treasury/FinCEN.
SYSTEM LOCATION:
The Internal Revenue Service Enterprise Computing Center Detroit
(ECCD), 985 Michigan Avenue, Detroit, Michigan 48226-1129; Internal
Revenue Service Enterprise Computing Center Martinsburg (ECCM), 295
Murall Drive, Kearneysville, West Virginia, 25436; Bureau of the Public
Debt, P.O. Box 7015, Parkersburg, West Virginia, 26106-7015; and
Financial Crimes Enforcement Network (FinCEN), P.O. Box 39, Vienna,
Virginia 22183-0039.
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 and regulation of financial institutions 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 or any other
authority exercised by FinCEN to compel the reporting of records;
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. Records include
queries and the results of queries made by FinCEN customers (see
discussions of SAR System Users and BSA Report System Users in the
system of records notices for Suspicious Activity Reporting System--
Treasury/FinCEN.002 and Bank Secrecy Act Reports System--Treasury/
FinCEN.003, respectively), and by FinCEN employees on behalf of
investigatory agencies, financial intelligence units, other FinCEN
customers, and FinCEN itself. Authority for maintenance of the system:
5 U.S.C. 301, 31 U.S.C. 5311-5314, 5316-5332; 31 U.S.C. 310; 31 CFR
chapter X; Pub. L. 111-195, 124 Stat. 1312; Treasury Department Order
180-01 (September 26, 2002).
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 investigations and proceedings, including examinations,
and to support the conduct of
[[Page 60017]]
intelligence or counterintelligence activities, including analysis, to
protect against international terrorism. A FinCEN Investigations and
Examinations System User is an agency or organization that has been
granted access to the information in this system.
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;
(8) Provide information or records to the United States
Intelligence Community, within the meaning of Executive Order 12333
(December 4, 1981) as amended, to further those agencies' efforts with
respect to national security consistent with applicable law;
(9) Disclose information or records to any person with whom FinCEN,
ECCD, ECCM, or a FinCEN Investigations and Examinations System User
contracts to provide consulting, data processing, clerical, secretarial
functions, and other services relating to the official programs and
operations of FinCEN, ECCD, ECCM, or the FinCEN Investigations and
Examinations System User; and
(10) To appropriate agencies, entities, and persons when (a) FinCEN
suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) FinCEN
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 FinCEN 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 FinCEN's efforts to
respond to the suspected or confirmed compromise and prevent, minimize,
or remedy such harm.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Magnetic media and other electronic format and on hard paper copy.
RETRIEVABILITY:
By name, address, or other unique identifier.
SAFEGUARDS:
Electronic records are password protected. Records are maintained
in buildings subject to 24-hour security. Access controls will not be
less than those provided by Treasury security requirements. Access to
individuals is granted based on roles and responsibilities.
RETENTION AND DISPOSAL:
FinCEN personnel review records in this system each time a record
is retrieved and on a periodic basis to see whether it should be
retained or modified. Records in this system are updated periodically
to reflect disposition of records in accordance with applicable law and
record retention schedules.
SYSTEM MANAGER(S) AND ADDRESSES:
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), (k)(1), and (k)(2).
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.
Pursuant to the provisions of 5 U.S.C. 552a(j)(2), (k)(1), 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), (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 Enterprise Computing Center Detroit
(ECCD), 985 Michigan Avenue, Detroit, Michigan 48226-1129; Internal
Revenue Service Enterprise Computing Center Martinsburg (ECCM), 295
Murall Drive, Kearneysville, West Virginia, 25436; Bureau of the Public
Debt, P.O. Box 7015, Parkersburg, West Virginia, 26106-7015; and
Financial Crimes Enforcement Network (FinCEN), P.O. Box 39, Vienna,
Virginia 22183-0039.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
The SAR System contains information from forms including, but not
limited to: Form TD F 90-22.47 (Suspicious Activity Report by
Depository Institutions)--to be replaced by FinCEN 111; FinCEN 101
(Suspicious Activity Report by the Securities and Futures Industries);
FinCEN 102 (Suspicious Activity Report by Casinos and Card Clubs)--
formerly TD F 90-22.49; FinCEN 109 (Suspicious Activity Report by Money
Services Business)--formerly TD F 90-22.56. The SAR System also will
contain information from Form 111 (Bank Secrecy Act (BSA) Suspicious
Activity Report), after that unified form for reporting suspicious
activity is made effective. Information on these forms concerns:
(1) Individuals who or entities that are known or suspected
perpetrators of a known or suspected criminal violation, or pattern of
criminal violations,
[[Page 60018]]
committed or attempted against a financial institution, or participants
in a transaction or transactions conducted through the financial
institution, that have been reported by the financial institution,
either voluntarily, or because such a report is required under the
rules of FinCEN and/or the rules of one or more of the Federal
Supervisory Agencies.
(2) Individuals who 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 or 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
Public Law 91-508, as amended, codified at 12 U.S.C. 1829b, 12 U.S.C.
1951-1959, and 31 U.S.C. 5311-5314, 5316-5332 (the BSA); (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; or
(d) the transaction involves use of the financial institution to
facilitate criminal activity;
(3) Individuals who are directors, officers, employees, agents, or
otherwise affiliated with a financial institution;
(4) Individuals who 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 or 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,
an insurance company, and a casino) on a Suspicious Activity Report
(SAR) that is filed voluntarily or as required by FinCEN, one or more
of the Federal Supervisory Agencies, and/or 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, or organizations
that, based on credible evidence, are suspected of engaging in
terrorist or other criminal activities, including information provided
to FinCEN from financial institutions regarding such individuals,
entities, or organizations. SARs contain information about the
categories of persons or entities specified in ``Categories of
Individuals Covered by the System.'' Authority for maintenance of the
system:The SAR System is established and maintained in accordance with
31 U.S.C. 5318(g); 31 U.S.C. 321; and 31 U.S.C. 310; 31 CFR chapter X;
Treasury Department Order 180-01 (September 26, 2002).
PURPOSE(S):
The SAR 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,
certain of their affiliates, and certain other financial institutions.
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. 31 U.S.C.
5318(g)(4)(B), which specifically requires that the agency designated
as the repository for SARs refer those reports to appropriate law
enforcement, supervisory and intelligence agencies, and 31 U.S.C. 5319
and 31 U.S.C. 310, which require or permit the distribution of reports
filed under the Bank Secrecy Act to federal, state and local agencies
that engage in criminal, regulatory and tax investigations and
proceedings, agencies that engage in intelligence and
counterintelligence activities, including analysis, to protect against
international terrorism, certain self-regulatory organizations,
appropriate foreign agencies, and foreign financial intelligence units.
A SAR System User is an agency or organization that has been granted
access to the information in this system. SAR System Users include the
Federal Supervisory Agencies, Federal law enforcement agencies
(including the Federal Bureau of Investigation, the Internal Revenue
Service, the United States Secret Service, United States Customs and
Border Protection, United States Immigration and Customs Enforcement,
the Drug Enforcement Administration, and the Bureau of Alcohol,
Tobacco, Firearms and Explosives), appropriate federal agency Inspector
General Offices having criminal law enforcement powers under the
Inspector General Act of 1978 or comparable authority, the Executive
Office of the United States Attorneys and the Offices of the 93 United
States Attorneys, the Securities and Exchange Commission (SEC), the
Commodity Futures Trading Commission (CFTC), the Federal Trade
Commission, the Intelligence Community, federal agencies conducting or
supporting national security background investigations under Executive
Order 12968 as amended, the Government Accountability Office, State
financial institution supervisory and regulatory agencies, State tax
agencies, State and local law enforcement agencies, and self-regulatory
organizations authorized by the SEC and CFTC.
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
a SAR System User relevant to the enforcement, regulatory, and
supervisory programs and operations of that User;
(2) Provide a SAR System User, and if applicable the unit within an
Executive Department to which the SAR System User reports, with reports
that indicate the number, amount,
[[Page 60019]]
individual identity, and other details concerning potential violations
of law that have been the subject of SARs;
(3) Provide information or records to any appropriately authorized
domestic governmental agency or self-regulatory organization charged
with the responsibility of administering law, investigating or
prosecuting violations of law, enforcing or implementing a statute,
rule, regulation, order, or policy, or issuing a license, security
clearance, contract, grant, or benefit, when relevant to the
responsibilities of that agency or organization;
(4) Provide information or records to any appropriately authorized
non-United States governmental agency charged with the responsibility
of administering law, investigating or prosecuting violations of law,
enforcing or implementing a statute, rule, regulation, order, or
policy, when relevant to the responsibilities of that agency;
(5) Provide information or records, when appropriate, to an
international authority or foreign government in accordance with law
and bilateral or multilateral international agreements;
(6) Disclose the existence, but not necessarily the content, of
information or records pertaining to an investigation by a SAR System
User, on behalf of and with the approval of that SAR System User, to
another SAR System User, when FinCEN determines that such disclosure
furthers the coordinated analysis and tracking of information among SAR
System Users;
(7) Provide information or records to the Department of Justice, or
in a proceeding before a court, adjudicative body, or other
administrative body before which a SAR System User is authorized to
appear, when: (a) Any of the following is a party to litigation or has
an interest in litigation: (i) the SAR System User or any component
thereof, or (ii) any employee of the SAR System User in his or her
official capacity, or (iii) any employee of the SAR System User where
the Department of Justice or the SAR System User has agreed to
represent the employee, or (iv) the United States; and (b) the SAR
System User determines that litigation is likely to affect the SAR
System User or any of its components; (c) the SAR System User deems the
use of such records by the Department of Justice or 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;
(8) 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;
(9) In accordance with Executive Order 12968 (August 2, 1995) as
amended, provide information or records to any appropriate government
authority to determine eligibility for access to classified information
to the extent relevant for matters that are by statute permissible
subjects of inquiry;
(10) Provide information or records to the United States
Intelligence Community, within the meaning of Executive Order 12333
(December 4, 1981) as amended, to further those agencies' efforts with
respect to national security in a manner consistent with applicable law
and in the conduct of intelligence or counterintelligence activities,
including analysis, to protect against international terrorism;
(11) Furnish analytic and statistical reports to government
agencies and the public providing information derived from SARs in a
form in which individual identities are not revealed;
(12) Disclose information or records to any person with whom
FinCEN, ECCD, ECCM, or a SAR System User contracts to provide
consulting, data processing, clerical, secretarial, or other services
relating to the official programs and operations of FinCEN, ECCD, ECCM,
or the SAR System User; and
(13) Disclose information to appropriate agencies, entities, and
persons when (a) FinCEN suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) FinCEN 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 FinCEN 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 FinCEN's efforts to respond to the suspected or confirmed
compromise and prevent, minimize, or remedy such harm.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in magnetic media and other electronic
format and on hard paper copy.
RETRIEVABILITY:
Data in the SAR System may be retrieved by particular data fields
(e.g., 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:
Electronic records are password protected. Records are maintained
in buildings subject to 24-hour security. Access controls will not be
less than those provided by Treasury security requirements. Access to
individuals is granted based on roles and responsibilities.
RETENTION AND DISPOSAL:
Records in this system will be updated periodically to reflect new
filings, amendments to existing filings, and disposition of records in
accordance with applicable law and record retention schedules.
SYSTEM MANAGER 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 Enterprise Computing
Center Detroit, 985 Michigan Avenue, Detroit, Michigan 48226-1129 and
Director, IRS Enterprise Computing Center Martinsburg, 295 Murall
Drive, Kearneysville, West Virginia, 25436.
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 government 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.
[[Page 60020]]
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. Treasury/FinCEN.003
SYSTEM NAME:
Bank Secrecy Act Reports System (the ``BSA System'')--Treasury/
FinCEN.
SYSTEM LOCATION:
Currency and Banking Retrieval System, Internal Revenue Service
Enterprise Computing Center Detroit (ECCD), 985 Michigan Avenue,
Detroit, Michigan 48226-1129; Internal Revenue Service Enterprise
Computing Center Martinsburg (ECCM), 295 Murall Drive, Kearneysville,
West Virginia, 25436; Bureau of the Public Debt, P.O. Box 7015,
Parkersburg, West Virginia, 26106-7015; Treasury Enforcement
Communications System, United States Customs and Border Protection,
Newington, 7681 Boston Boulevard, Springfield, Virginia 22153-3140; and
Financial Crimes Enforcement Network (FinCEN), P.O. Box 39, Vienna,
Virginia 22183-0039.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
See persons identified in the reports specified below under
``Categories of Records in the System.'' Specifically, the BSA System
contains information from forms including, but not limited to: FinCEN
Form 104 (Currency Transaction Report)--formerly IRS Form 4789; FinCEN
Form 103 (Currency Transaction Report by Casinos)-- formerly IRS Form
8362; FinCEN Form 103N-rescinded 1/7/07 (Currency Transaction Report by
Casinos-Nevada)--formerly IRS Form 8852; FinCEN Form 8300 (Report of
Cash Payments Over $10,000 Received in a Trade or Business)--formerly
IRS Form 8300; FinCEN Form 105 (Report of International Transportation
of Currency or Monetary Instruments)--formerly Customs Form 4790;
Treasury Form TDF 90-22.1 (Report of Foreign Bank and Financial
Accounts); FinCEN Form 110 (Designation of Exempt Person)--formerly
Treasury Form TDF 90-22.53; and FinCEN Form 107 (Registration of Money
Services Businesses)--formerly Treasury Form TDF 90-22.55 (collectively
BSA Reports); and Form 112 (Bank Secrecy Act Currency Transaction
Report), after that unified form reporting transactions in currency is
made effective.
Information on these forms concerns: (1) Individuals or entities
filing the reports; (2) individuals or entities that are the subjects
of these reports; (3) individuals or entities that are participants in
reportable transactions; (4) individuals who are directors, officers,
employees, agents, or otherwise affiliated with a financial
institution; (5) individuals or entities names as preparers of any such
report; (6) individuals named as the owners of monetary instruments;
and (7) individuals named as owners of financial accounts.
CATEGORIES OF RECORDS IN THE SYSTEM:
The BSA System contains information or reports filed under the Bank
Secrecy Act and its implementing regulations (31 CFR chapter X)
including, but not limited to, reports made on FinCEN Form 104
(Currency Transaction Report); FinCEN Form 103 (Currency Transaction
Report by Casinos); FinCEN Form 103N (Currency Transaction Report by
Casinos-Nevada); 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); FinCEN Form 110 (Designation of Exempt Person); and FinCEN
Form 107 (Registration of Money Services Businesses) (collectively BSA
Reports). The BSA System also will contain information from Form 112
(Bank Secrecy Act Currency Transaction Report), after that unified form
reporting transactions in currency is made effective. These reports
include names of financial institutions (including, but not limited to,
depository institutions, money services businesses, broker-dealers in
securities, insurance companies, and casinos), individuals and other
entities filing the reports, names of financial institutions,
individuals and entities that are the subjects of the reports, names of
the owners of monetary instruments, account numbers, addresses, dates
of birth and other personal identifiers, and the amounts of funds,
currency or other monetary instruments that are associated with
transactions, events, circumstances or decisions that trigger reporting
requirements. (This system does not include Suspicious Activity
Reports. Those reports are included in another system of records,
``Suspicious Activity Reporting System--Treasury/FinCEN.002'').
Authority for maintenance of the system: The BSA Report System is
established and maintained in accordance with 12 U.S.C. 1829b and 1951-
1959; 31 U.S.C. 5311-5314, 5316-5332; 5 U.S.C. 301; 31 U.S.C. 310; 31
CFR chapter X; Treasury Department Order 180-01 (September 26, 2002).
PURPOSE(S):
The Bank Secrecy Act, codified at 12 U.S.C. 1829b and 1951-1959 and
31 U.S.C. 5311-5314, 5316-5332 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
investigations and examinations, or in the conduct of intelligence or
counterintelligence activities, including analysis, to protect against
international terrorism. The Secretary's authority has been implemented
through regulations promulgated at 31 CFR chapter X. The purpose of
this system of records is to maintain the information contained in the
reports required under these regulations. This information is
distributed to federal, state and local agencies that engage in
criminal, regulatory and tax investigations and proceedings, agencies
that engage in intelligence and counterintelligence activities, certain
self-regulatory organizations, appropriate foreign agencies, and
foreign financial intelligence units. A BSA Report Systems User is an
agency or organization that has been granted access to the information
in this system. BSA Report System Users include the Federal Supervisory
Agencies, Federal law enforcement agencies (including the Federal
Bureau of Investigation, the Internal Revenue Service, the United
States Secret Service, United States Customs and Border Protection,
United States Immigration and Customs Enforcement, the Drug Enforcement
Administration, and the Bureau of Alcohol, Tobacco, Firearms and
Explosives), appropriate federal agency Inspector General Offices
having criminal law enforcement powers under the Inspector General Act
of 1978 or comparable authority, the Executive Office of the United
States Attorneys and the Offices of the 93 United States Attorneys, the
Securities and Exchange Commission (SEC), the Commodity Futures Trading
Commission (CFTC), the Federal Trade Commission, the Intelligence
Community, federal agencies conducting or supporting national security
background investigations under Executive Order 12968 as amended, the
Government Accountability Office, State financial institution
supervisory and regulatory agencies, State tax agencies, State and
local law enforcement agencies, and self-regulatory organizations
authorized by the SEC and CFTC.
[[Page 60021]]
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) Provide information or records, electronically or manually, to
a BSA Report System User relevant to the enforcement, regulatory, and
supervisory programs and operations of that User;
(2) Provide a BSA Report System User, and if applicable the unit
within an Executive Department to which the BSA Report System User
reports, with reports that indicate the number, amount, individual
identity of participants, and other details concerning events or
activities that have been the subject of a BSA Report;
(3) Provide information or records to any appropriately authorized
domestic governmental agency or self-regulatory organization charged
with the responsibility of administering law, investigating or
prosecuting violations of law, enforcing or implementing a statute,
rule, regulation, order, or policy, or issuing a license, contract,
grant, or other benefit when relevant to the responsibilities of that
agency or organization;
(4) Provide information or records to any appropriately authorized
non-United States governmental agency charged with the responsibility
of administering law, investigating or prosecuting violations of law,
enforcing or implementing a statute, rule, regulation, order, or
policy, when relevant to the responsibilities of that agency;
(5) Provide information or records, when appropriate, to an
international authority or foreign government in accordance with law
and bilateral or multilateral international agreements;
(6) 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;
(7) Disclose the existence, but not necessarily the content, of
information or records pertaining to an investigation by a BSA Report
System User, on behalf of and with the approval of that BSA Report
System User, to another BSA Report System User, when FinCEN determines
that such disclosure furthers the coordinated analysis and tracking of
information among BSA Report System Users;
(8) 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;
(9) Provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation;
(10) In accordance with Executive Order 12968 (August 2, 1995) as
amended, provide information or records to any appropriate government
authority to determine eligibility for access to classified information
to the extent relevant for matters that are by statute permissible
subjects of inquiry;
(11) Provide information or records to the United States
Intelligence Community, within the meaning of Executive Order 12333
(December 4, 1981) as amended, to further those agencies' efforts with
respect to national security in a manner consistent with applicable
law, and in the conduct of intelligence or counterintelligence
activities, including analysis, to protect against international
terrorism;
(12) 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;
(13) Disclose information or records to any person with whom
FinCEN, ECCD, ECCM, or a BSA Report System User contracts to provide
consulting, data processing, clerical, secretarial, or other services
relating to the official programs and operations of FinCEN, ECCD, ECCM,
or the BSA Report System User;
(14) Disclose to the public information about Money Services
Businesses that have registered with FinCEN pursuant to 31 CFR
1022.380, other than information that consists of trade secrets, or
that is privileged and confidential commercial or financial
information; and
(15) Disclose information to appropriate agencies, entities, and
persons when (a) FinCEN suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) FinCEN 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 FinCEN 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 FinCEN's efforts to respond to the suspected or confirmed
compromise and prevent, minimize, or remedy such harm.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in magnetic media and other electronic
format and on hard paper copy.
RETRIEVABILITY:
By name and other unique identifier.
SAFEGUARDS:
Electronic records are password protected. Records are maintained
in buildings subject to 24-hour security. Access controls will not be
less than those provided by Treasury security requirements. Access to
individuals is granted based on roles and responsibilities.
RETENTION AND DISPOSAL:
Records in this system will be updated periodically to reflect new
filings, amendments to existing filings, and disposition of records in
accordance with applicable law and record retention schedules.
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 Enterprise Computing
Center Detroit, 985 Michigan Avenue, Detroit, Michigan 48226-1129,
Director, IRS Enterprise Computing Center Martinsburg, 295 Murall
Drive, Kearneysville, West Virginia, 25436. 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:
Records in this system may be provided by or obtained from:
Individuals; financial institutions and
[[Page 60022]]
certain of their affiliates; Federal Supervisory Agencies; State
financial institution supervisory agencies; domestic or foreign
government 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.
Dated: September 10, 2012.
Melissa Hartman,
Deputy Assistant Secretary for Privacy, Transparency, and Records.
[FR Doc. 2012-24017 Filed 9-28-12; 8:45 am]
BILLING CODE 4810-02-P
