82 FR 44659 - Privacy Act of 1974; Systems of Records

DEPARTMENT OF JUSTICE

Federal Register Volume 82, Issue 184 (September 25, 2017)

Pursuant to the Privacy Act of 1974 and Office of Management and Budget (OMB) Circular No. A-108, notice is hereby given that the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF), a component within the United States Department of Justice (DOJ or Department), proposes to modify a system of records notice titled JUSTICE/ATF-008, ``Regulatory Enforcement Record System.''

[Federal Register Volume 82, Number 184 (Monday, September 25, 2017)]
[Notices]
[Pages 44659-44663]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-20352]


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DEPARTMENT OF JUSTICE

[CPCLO Order No. 009-2017]


Privacy Act of 1974; Systems of Records

AGENCY: Bureau of Alcohol, Tobacco, Firearms and Explosives, United 
States Department of Justice.

ACTION: Notice of a modified system of records.

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SUMMARY: Pursuant to the Privacy Act of 1974 and Office of Management 
and Budget (OMB) Circular No. A-108, notice is hereby given that the 
Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF), a component 
within the United States Department of Justice (DOJ or Department), 
proposes to modify a system of records notice titled JUSTICE/ATF-008, 
``Regulatory Enforcement Record System.''

DATES: In accordance with 5 U.S.C. 552a(e)(4) and (11), this notice is 
effective upon publication, subject to a 30-day notice and comment 
period in which to comment on the routine uses, described below. 
Therefore, please submit any comments by October 25, 2017.

ADDRESSES: The public, OMB, and Congress are invited to submit any 
comments by mail to the United States Department of Justice, Office of 
Privacy and Civil Liberties, ATTN: Privacy Analyst, National Place 
Building, 1331 Pennsylvania Avenue NW., Suite 1000, Washington, DC 
20530; by facsimile at 202-307-0693; or by email at 
[email protected]. To ensure proper handling, please 
reference the above CPCLO Order No. on your correspondence.

FOR FURTHER INFORMATION CONTACT: Peter Chisholm, Acting Chief, 
Disclosure Division, Bureau of Alcohol, Tobacco, Firearms and 
Explosives, 99 New York Avenue NE., Washington, DC 20226, or by 
facsimile at 202-648-9619.

SUPPLEMENTARY INFORMATION: ATF has not changed the maintenance or 
operations of the existing system of records. However, to appropriately 
inform the public on this system of

[[Page 44660]]

records, ATF is updating the system of records notice for JUSTICE/ATF-
008, last published in its entirety in the Federal Register at 68 FR 
3551 (Jan. 24, 2003), and amended at 82 FR 24147 (May 25, 2017). First, 
ATF has made certain editorial changes to this system of records 
notice. These editorial changes include: Updating ATF contact 
information (for example, adding the new ATF Headquarters address and 
Web page information); informing the public of ATF's records control 
schedule change; and making other editorial and conforming changes. 
Some editorial changes have also been made to the routine uses, 
including modifying the Department's model routine uses to more 
accurately describe the agencies or entities that may require 
information from ATF, as well as re-ordering the routine uses to list 
the routine uses unique to this system of records first, followed by 
the Department's model routine uses.
    Second, ATF has made substantive updates to certain sections of 
this system of records notice. These modifications include: Updating 
the listed authorities; updating the security classification; adding to 
the list of system managers; supplementing the purposes for the system 
to more accurately describe why ATF collects, maintains, uses, and 
disseminates regulatory enforcement records; clarifying certain 
descriptions of categories of records, individuals, and sources; and 
revising and adding routine uses to more accurately describe the 
entities to or circumstances under which ATF may disclose regulatory 
information. Examples of these changes include: (1) Adding a routine 
use that allows ATF to disclose information to a licensed industry 
member to verify the validity of a license or permit before the 
distribution of explosives materials, accomplished electronically, 
through an ``EZ-Check'' system, for purposes of enhancing regulatory 
enforcement and public safety as envisioned by the Safe Explosives Act, 
Title XI, Subtitle C, of the Homeland Security Act of 2002, Public Law 
107-296, 116 Stat. 2135, 2280; (2) republishing two breach response 
routine uses consistent with the requirements in OMB Memorandum M-17-
12; (3) adding a routine use that would allow ATF to provide a copy of 
the hearing transcript to the subject of a revocation hearing; and (4) 
adding to the purpose of this system of records, which explains that 
ATF provides verification of suitability, eligibility, or qualification 
of individuals who are engaged or propose to engage in activities 
regulated by ATF. The entire notice is republished for the convenience 
of the public.
    In accordance with 5 U.S.C. 552a(r), ATF has provided a report to 
OMB and to Congress on this notice of a modified system of records.

Peter A. Winn,
Acting Chief Privacy and Civil Liberties Officer, United States 
Department of Justice.
JUSTICE/ATF-008

SYSTEM NAME AND NUMBER:
    Regulatory Enforcement Record System, JUSTICE/ATF-008.

SECURITY CLASSIFICATION:
    Sensitive But Unclassified Information and/or Controlled 
Unclassified Information.

SYSTEM LOCATION:
    Bureau of Alcohol, Tobacco, Firearms and Explosives, 99 New York 
Avenue NE., Washington, DC 20226. Components of this system of records 
are also geographically dispersed throughout ATF's district offices, 
field offices, and the Martinsburg, West Virginia location. A list of 
field offices is available on ATF's Web site at https://www.atf.gov/contact/atf-field-divisions, or by writing to the Chief, Disclosure 
Division, 99 New York Avenue NE., 4.E-301, Washington, DC 20226. A list 
of offices at the Martinsburg, West Virginia location is available on 
ATF's Web site at https://www.atf.gov/contact/licensing-and-other-services or by writing to the Chief, Disclosure Division, 99 New York 
Avenue NE., 4.E-301, Washington, DC 20226.

SYSTEM MANAGER(S):
    Assistant Director, Enforcement and Program Services; Assistant 
Director, Field Operations; and Assistant Director, Science & 
Technology, Bureau of Alcohol, Tobacco, Firearms and Explosives, 99 New 
York Avenue NE., Washington, DC 20226.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    (1) 26 U.S.C. 7011; (2) 18 U.S.C. 923(a); (3) 18 U.S.C. 923(b); (4) 
18 U.S.C. 843(a); (5) 22 U.S.C. 2278; (6) 26 U.S.C. 6001; (7) 26 U.S.C. 
6011(a); (8) 26 U.S.C. 6201; (9) 26 U.S.C. 7122; (10) 18 U.S.C. 843(d); 
(11) 18 U.S.C. 923(f); (12) Pub. L. 107-296, 116 Stat. 2135; (13) 18 
U.S.C. 845; and (14) 18 U.S.C. 925.

PURPOSE(S) OF THE SYSTEM:
    The purpose of this system is to determine suitability, 
eligibility, or qualifications of individuals who are engaged or 
propose to engage in activities regulated by ATF; provide verification 
of suitability, eligibility, or qualification of individuals who are 
engaged or propose to engage in activities regulated by ATF; achieve 
compliance with laws under ATF's jurisdiction; interact with Federal, 
state, local, tribal, and foreign government agencies or associations 
with regard to industrial development, revenue protection, public 
health and safety, ecology, and other areas of joint jurisdictional 
concern. When a criminal investigation results in a compilation of 
information contained in this system of records, the information shall 
be transferred to the ATF's Criminal Investigation Report System and 
become part of that system for all purposes of the Privacy Act of 1974.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who have been issued permits or licenses, have filed 
applications with ATF, have registered with ATF, have been granted or 
applied for relief from federal firearms or explosives disabilities to 
restore firearms or explosives privileges, or are responsible persons 
or employees of a licensee or permittee to the extent that the records 
concern private individuals or entrepreneurs, including, but not 
limited to: (a) Explosives licensees, permittees, employees, and 
responsible persons; (b) Claimants for refund of taxes; (c) Federal 
Firearms Licensees, employees and responsible persons; (d) Collectors 
of firearms or ammunition; (e) Importers of firearms or ammunition; (f) 
Users of explosive materials; and (g) Applicants who have been denied 
employment with licensed possessors or permittees of explosive 
materials.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records containing investigative material compiled for law 
enforcement purposes which may consist of the following: (1) Abstracts 
of offers in compromise; (2) Administrative law judge decisions; (3) 
Assessment records, including: (a) Notices of proposed assessments, (b) 
notices of shortages or losses, (c) notices to the Internal Revenue 
Service to assess taxes, (d) recommendation for assessments; (4) Claim 
records, including: (a) Claims, (b) letters of claim rejection, (c) 
sample reports, (d) supporting data, (e) vouchers and schedules of 
payment; (5) Comments on proposed rulemakings; (6) Complaints from 
third parties; (7) Correspondence concerning records in this system and 
related matters; (8) Financial statements; (9) Inspection and 
investigation reports; (10) Joint demands on principals and sureties 
for payment of excise tax liabilities; (11) Letters of reprimand; (12) 
Lists of permittees and licensees; (13) Lists of officers, directors

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and principal stockholders; (14) Mailing lists and addressograph 
plates; (15) Notices of delinquent reports; (16) Offers in compromise; 
(17) Operation records, including: (a) Operating reports, (b) reports 
of required inventories, (c) reports of thefts or losses of firearms, 
(d) reports of thefts of explosive materials, (e) transaction records, 
(f) transaction reports; (18) Orders of revocation, suspension or 
annulment of permits or licenses; (19) ATF Office of Chief Counsel 
memoranda and opinions; (20) Reports of violations; (21) Permit status 
records; (22) Qualifying and background records, including: (a) Access 
authorizations, (b) advertisement records, (c) applications, (d) bonds, 
(e) business histories, (f) criminal records, (g) diagrams of premises, 
(h) educational histories, (i) employment histories, (j) environmental 
records, (k) financial data, (l) formula approvals, (m) label 
approvals, (n) licenses, (o) notices, (p) permits, (q) personal 
references, (r) plant profiles, (s) plant capacities, (t) plats and 
plans, (u) registrations, (v) sample reports, (w) signature 
authorities, (x) special permissions and authorizations, (y) statements 
of process; (23) Show cause orders; (24) Tax records, including: (a) 
Control cards relating to periodic payment and prepayment of taxes, (b) 
excise and special tax returns, (c) notices of tax discrepancy or 
adjustment; (25) Explosive license or permit denials; and (26) Lists of 
applicants for relief from federal firearms or explosives disabilities 
and those granted such relief.

RECORD SOURCE CATEGORIES:
    Examples include: (1) Acquaintances; (2) ATF personnel; (3) 
Business and professional associates; (4) Creditors; (5) Criminal 
records; (6) Financial institutions; (7) Former employers; (8) Internal 
Revenue Service; (9) Military records; (10) Physicians, Psychiatrists, 
and other medical professionals; (11) The subject individual; (12) 
References; (13) Police reports; (14) Witnesses; (15) Federal, state, 
local, tribal, and foreign law enforcement agencies; (16) Federal, 
state, local, tribal, and foreign regulatory agencies; (17) ATF Office 
of Chief Counsel memoranda and opinions; (18) Field investigation 
reports; and (19) Third parties.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b), all or a portion of the records or information contained in 
this system of records may be disclosed as a routine use pursuant to 5 
U.S.C. 552a(b)(3) under the circumstances or for the purposes described 
below, to the extent such disclosures are compatible with the purposes 
for which the information was collected:
    A. To Federal, state, local, territorial, tribal, foreign, or 
international licensing agencies or associations which require 
information concerning: (1) The suitability or eligibility of an 
individual for a license or permit; (2) an individual's status 
regarding relief from federal firearms or explosives disabilities; (3) 
whether the issuance of a license or permit to import, manufacture, 
deal in, or purchase explosives would be in violation of federal or 
state law or regulation; and (4) whether to add to, delete from, 
revise, or update information previously provided from this record 
system.
    B. To individuals and organizations for ATF to obtain or verify 
information pertinent to ATF's decision to grant, deny, or revoke a 
license or permit, or pertinent to an ongoing investigation or 
inspection.
    C. To a licensed industry member to verify the validity of a 
license or permit before the distribution of explosives materials.
    D. To individuals who are the subject of a license revocation 
hearing in order to obtain a copy of the hearing transcript.
    E. To employees of the Department of the Treasury, Alcohol and 
Tobacco Tax and Trade Bureau, when necessary to accomplish a DOJ or 
Treasury function related to this system of records.
    F. To an organization or individual in either the public or private 
sector where there is reason to believe the recipient is or could 
become the target of a particular criminal activity or conspiracy, to 
the extent the information is relevant to the protection of life or 
property.
    G. To national and international intelligence gathering 
organizations for the purpose of identifying individuals suspected of 
terrorism or criminal activities or convicted of crimes.
    H. To any agency, organization, or individual for the purpose of 
performing authorized audit or oversight operations of ATF and meeting 
related reporting requirements.
    I. Where a record, either alone or in conjunction with other 
information, indicates a violation or potential violation of law--
criminal, civil, or regulatory in nature--the relevant records may be 
referred to the appropriate federal, state, local, territorial, tribal, 
or foreign law enforcement authority or other appropriate entity 
charged with the responsibility for investigating or prosecuting such 
violation or charged with enforcing or implementing such law.
    J. To complainants and/or victims to the extent necessary to 
provide such persons with information and explanations concerning the 
progress and/or results of the investigation or case arising from the 
matters of which they complained and/or of which they were a victim.
    K. In an appropriate proceeding before a court, grand jury, or 
administrative or adjudicative body, when the Department of Justice 
determines that the records are arguably relevant to the proceeding; or 
in an appropriate proceeding before an administrative or adjudicative 
body when the adjudicator determines the records to be relevant to the 
proceeding.
    L. To an actual or potential party to litigation or the party's 
authorized representative for the purpose of negotiation or discussion 
of such matters as settlement, plea bargaining, or in informal 
discovery proceedings.
    M. To the news media and the public, including disclosures pursuant 
to 28 CFR 50.2, unless it is determined that release of the specific 
information in the context of a particular case would constitute an 
unwarranted invasion of personal privacy.
    N. To contractors, grantees, experts, consultants, students, and 
others performing or working on a contract, service, grant, cooperative 
agreement, or other assignment for the federal government, when 
necessary to accomplish an agency function related to this system of 
records.
    O. To appropriate officials and employees of a Federal agency or 
entity, including the White House, that require information relevant to 
a decision concerning the hiring, appointment, or retention of an 
employee; the assignment, detail, or deployment of an employee; the 
issuance, renewal, suspension, or revocation of a security clearance; 
the execution of a security or suitability investigation; the letting 
of a contract; the classification of a job; or the issuance of a grant 
or benefit.
    P. To a former employee of the Department for purposes of: 
responding to an official inquiry by a federal, state, local, tribal, 
territorial, foreign and international government entity or 
professional licensing authority, in accordance with applicable 
Department regulations; or facilitating communications with a former 
employee that may be necessary for personnel-related or other official 
purposes where the Department requires information and/or consultation

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assistance from the former employee regarding a matter within that 
person's former area of responsibility.
    Q. To a Member of Congress or staff acting upon the Member's behalf 
when the Member or staff requests the information on behalf of, and at 
the request of, the individual who is the subject of the record.
    R. To the National Archives and Records Administration for purposes 
of records management inspections conducted under the authority of 44 
U.S.C. 2904 and 2906.
    S. To appropriate agencies, entities, and persons when (1) the 
Department suspects or has confirmed that there has been a breach of 
the system of records; (2) the Department has determined that as a 
result of the suspected or confirmed breach there is a risk of harm to 
individuals, the Department (including its information systems, 
programs, and operations), the Federal Government, or national 
security; and (3) the disclosure made to such agencies, entities, and 
persons is reasonably necessary to assist in connection with the 
Department efforts to respond to the suspected or confirmed breach or 
to prevent, minimize, or remedy such harm.
    T. To another Federal agency or Federal entity, when the Department 
determines that information from this system of records is reasonably 
necessary to assist the recipient agency or entity in (1) responding to 
a suspected or confirmed breach or (2) preventing, minimizing, or 
remedying the risk of harm to individuals, the recipient agency or 
entity (including its information systems, programs, and operations), 
the Federal Government, or national security, resulting from a 
suspected or confirmed breach.
    U. To such recipients and under such circumstances and procedures 
as are mandated by federal statute or treaty.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Active records are stored in file folders in secure filing 
cabinets. Inactive records are stored in file folders at Federal 
Records Centers. Records or portions of records are also stored in 
electronic media.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records are retrieved by name, permit or license number, by 
document locator number, or by employer identification number (EIN).

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Records are retained in accordance with General Records Schedule 
numbers 4.1, 4.2, and 4.3 issued by the National Archives and Records 
Administration, and the Bureau of Alcohol, Tobacco, Firearms and 
Explosives Records Control Schedule and disposed of by shredding, 
burning or degaussing.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Direct access is limited to personnel in the Department of Justice 
with need for the records in the performance of their official duty. 
Records are transmitted to routine users on a need to know basis or 
where a right to access is established and to others upon verification 
of the substance and propriety of the request. These records are stored 
in restricted-access areas in lockable metal file cabinets in rooms 
locked during non-duty hours. The records stored in electronic media 
are access controlled and password protected.

RECORD ACCESS PROCEDURES:
    All requests for access to records must be in writing and should be 
addressed to the Disclosure Division, Privacy Act Request, Bureau of 
Alcohol, Tobacco, Firearms and Explosives, 99 New York Avenue NE., 4.E-
301, Washington, DC 20226. The envelope and letter should be clearly 
marked ``Privacy Act Access Request.'' The request must describe the 
records sought in sufficient detail to enable Department personnel to 
locate them with a reasonable amount of effort. The request must 
include a general description of the records sought and must include 
the requester's full name, current address, and date and place of 
birth. The request must be signed and either notarized or submitted 
under penalty of perjury. Some information may be exempt from the 
access provisions as described in the ``EXEMPTIONS PROMULGATED FOR THE 
SYSTEM'' paragraph, below. An individual who is the subject of a record 
in this system of records may access those records that are not exempt 
from access. A determination as to whether a record may be accessed 
will be made at the time a request is received.
    Although no specific form is required, you may obtain forms for 
this purpose from the FOIA/Privacy Act Mail Referral Unit, United 
States Department of Justice, 950 Pennsylvania Avenue NW., Washington, 
DC 20530, or on the Department of Justice Web site at https://www.justice.gov/oip/submit-and-track-request-or-appeal.
    More information regarding the Department's procedures for 
accessing records in accordance with the Privacy Act can be found at 28 
CFR part 16 subpart D, ``Protection of Privacy and Access to Individual 
Records Under the Privacy Act of 1974.''

CONTESTING RECORD PROCEDURES:
    Individuals seeking to contest or amend records maintained in this 
system of records must direct their requests to the address indicated 
in the ``RECORD ACCESS PROCEDURES'' paragraph, above. All requests to 
contest or amend records must be in writing and the envelope and letter 
should be clearly marked ``Privacy Act Amendment Request.'' All 
requests must state clearly and concisely what record is being 
contested, the reasons for contesting it, and the proposed amendment to 
the record. Some information is not subject to amendment, such as tax 
return information. Some information may be exempt from the amendment 
provisions as described in the ``EXEMPTIONS PROMULGATED FOR THE 
SYSTEM'' paragraph, below. An individual who is the subject of a record 
in this system of records may contest or amend those records that are 
not exempt. A determination of whether a record is exempt from the 
amendment provisions will be made after a request is received.
    More information regarding ATF's procedures for amending or 
contesting records in accordance with the Privacy Act can be found at 
28 CFR 16.46, ``Requests for Amendment or Correction of Records.''

NOTIFICATION PROCEDURES:
    Individuals may be notified if a record in this system of records 
pertains to them when the individuals request information utilizing the 
same procedures as those identified in the ``RECORD ACCESS PROCEDURES'' 
paragraph, above.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    The Attorney General has exempted this system from subsections 
(c)(3), (d)(1), (2), (3) and (4), (e)(1), (e)(4)(G), (H), and (I) and 
(f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2). The exemptions 
will be applied only to the extent that the information in the system 
is subject to exemption pursuant to 5 U.S.C. 552a(k)(2). Rules have 
been published in the Federal Register at 68 FR 19148 (April 18, 2003), 
and promulgated at 28 CFR 16.106, in accordance with the requirements 
of 5 U.S.C. 553(b), (c) and (e).

HISTORY:
    68 FR 3551, 558 (January 24, 2003): Last published in full;
    72 FR 3410 (January 25, 2007): Added one routine; and

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    82 FR 24147 (May 25, 2017): Rescinded 72 FR 3410 and added two 
routine uses.

[FR Doc. 2017-20352 Filed 9-22-17; 8:45 am]
 BILLING CODE 4410-CW-P