[Federal Register: June 22, 2009 (Volume 74, Number 118)]
[Notices]
[Page 29532-29536]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr22jn09-125]
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DEPARTMENT OF THE TREASURY
Departmental Offices; Privacy Act of 1974, as Amended
AGENCY: Departmental Offices, Treasury.
ACTION: Notice of Proposed Alterations of a Privacy Act System of
Records.
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SUMMARY: In accordance with the requirements of the Privacy Act of
1974, and the Office of Management and Budget (OMB) Circular A-130 and
Memorandum M-07-16, the Department of the Treasury (Department), Office
of D.C. Pensions gives notice of a proposed altered system of records
entitled, ``D.C. Pensions Retirement Records--Treasury/DO .214.''
DATES: Comments must be received no later than July 22, 2009. The
proposed alteration to the system of records will be effective August
3, 2009 unless the Office of D.C. Pensions receives comments which
would result in a contrary determination.
ADDRESSES: Comments should be sent to Nancy Ostrowski, Director, Office
of D.C. Pensions, Department of the Treasury, 1500 Pennsylvania Avenue,
NW., Washington, DC 20220. The Department will make such comments
available for public inspection and copying in the Department's
Library, Room 1428, Main Treasury Building, 1500 Pennsylvania Avenue,
NW., Washington, DC 20220, on official business days between the hours
of 10 a.m. and 5 p.m. Eastern Time. You can make an appointment to
inspect comments by telephoning (202) 622-0990. All comments, including
attachments and other supporting materials, received are part of the
public record and subject to public disclosure. You should submit only
information that you wish to make available publicly.
FOR FURTHER INFORMATION CONTACT: Nancy Ostrowski, Director, Office of
D.C. Pensions, Department of the Treasury, 1500 Pennsylvania Avenue,
NW., Washington, DC 20220, at 202-622-2214 or via electronic mail at
nancy.ostrowski@do.treas.gov.
SUPPLEMENTARY INFORMATION: Pursuant to the Privacy Act of 1974, and the
Office of Management and Budget (OMB) Circular A-130 and Memorandum M-
07-16, the Office of D.C. Pensions conducted a complete review of its
August 9, 2005, published Privacy Act system of records notice and
identified changes that more accurately describe its records. The
changes throughout the document update the list of records utilized in
the Office of D.C. Pensions as of September 2009.
Under provisions in Title XI of the Balanced Budget Act of 1997, as
amended (the Act), the Secretary of the Treasury (Secretary) assumed
certain responsibilities for a specific population of annuitants under
the following District of Columbia (District) retirement plans: The
Police Officers' and Firefighters' Retirement Plan; the Teachers'
Retirement Plan; and the Judges' Retirement Plan. Specifically, the
Secretary is responsible for administering the retirement benefits
earned by District police officers, firefighters, and teachers based
upon service accrued prior to July 1, 1997; and, retirement benefits
earned by District judges, regardless of when service accrued. These
benefits are described as Federal benefits. The retirement benefits of
District police officers, firefighters, and teachers based upon service
accrued starting July 1, 1997 and going forward, are described as
District benefits.
With regard to the administration of Federal and District benefits,
the
[[Page 29533]]
Department of the Treasury (Department) and the District operate under
a Memorandum of Understanding (MOU). Under the MOU, the District is
responsible for Federal benefits administration duties for current and
former District police officers, firefighters, and teachers, including
their survivors and beneficiaries. The same MOU stipulates that the
Department will provide pension payroll system services to the District
for Federal and District benefit payments. The benefits administration
responsibilities for current and former D.C. Judges, including
survivors and beneficiaries, covered under the District's Judges'
Retirement Plan are performed by the Department's Office of D.C.
Pensions.
For purposes of this Notice--
a. The term ``current police officers, firefighters, teachers and/
or judges'' refers to individuals who are (1) presently working for
(not separated or retired from) the District, and performing service
subject to the Police Officers' and Firefighters', and Teachers'
Retirement Plans; or (2) presently working for (not separated or
retired from) the D.C. Courts, and performing service subject to the
Judges' Retirement Plan entitling them to benefit payments.
b. The term ``former police officers, firefighters, teachers and/or
judges'' refers to individuals who are separated or retired (1) from
the District, and who performed service subject to the Police Officers'
and Firefighters', or Teachers' Retirement Plans; or (2) from the D.C.
Courts, and who performed service subject to the Judges' Retirement
Plan entitling them to benefit payments.
c. The term ``benefit payment(s)'' refers to a/an (1) annuity that
is paid monthly; (2) lump-sum payment of retirement contributions; and/
or (3) lump-sum payment due to a death, made to an eligible recipient.
On May 22, 2007, the Office of Management and Budget (OMB) issued
Memorandum M-07-16 entitled, ``Safeguarding Against and Responding to
the Breach of Personally Identifiable Information.'' It required
agencies to publish the routine use recommended by the President's
Identity Theft Task Force. As part of that effort, the Department
published the notice of the proposed routine use on October 3, 2007, at
72 FR 56434, and it was effective on November 13, 2007. The new routine
use is added as routine use (27).
In addition, two new routine uses are proposed as follows:
(29) To disclose to a surviving spouse, surviving child, dependent
parent, and/or legal guardian information necessary to explain how his/
her survivor benefit was computed; and,
(30) To disclose to a spouse or dependent child (or court-appointed
guardian thereof) of an individual covered by the system, upon request,
whether the individual (a) changed his/her election from a self-and-
family to a self-only health and/or life insurance benefit enrollment;
(b) changed his/her additional survivor benefit election; and/or, (c)
received a lump-sum refund of his/her retirement contributions.
Routine use (7) was changed to include auditors and actuaries; and,
(9) was changed to reference coordination with contract carriers that
provide benefits.
Two routine uses from the August 2005 publication were deleted
(specifically, [11] and [27]) because they were redundant and/or the
practice is no longer applicable.
The report of an altered system of records, as required by 5 U.S.C.
552a(r) of the Privacy Act, has been submitted to the Committee on
Oversight and Government Reform of the House of Representatives; the
Committee on Homeland Security and Governmental Affairs of the Senate;
and the Office of Management and Budget, pursuant to Appendix I to OMB
Circular A-130, ``Federal Agency Responsibilities for Maintaining
Records About Individuals,'' dated November 30, 2000.
The proposed altered system of records entitled, ``D.C. Pensions
Retirement Records--Treasury/DO .214'' is published in its entirety
below.
Dated: June 12, 2009.
Elizabeth Cuffe,
Deputy Assistant Secretary for Privacy and Treasury Records.
Treasury/DO .214
System name:
D.C. Pensions Retirement Records.
System Location:
Office of D.C. Pensions, Department of the Treasury, 1500
Pennsylvania Avenue, NW., Washington, DC 20220. Electronic and paper
records are also located at the District and bureaus of the Department,
including the Bureau of the Public Debt in Parkersburg, WV. In
addition, certain records are located with contractors engaged by the
Department.
Categories of individuals covered by the system:
a. Current and former police officers, firefighters, teachers, and
judges.
b. Surviving spouses, children, and/or dependent parents of current
and former police officers, firefighters, teachers, or judges.
c. Former spouses of current and former police officers,
firefighters, teachers, or judges.
Categories of records in the system:
The categories of records include, but is not limited to,
identifying information such as: Name(s); contact information; Social
Security number; employee identification number; service beginning and
end dates; annuity beginning and end dates; date of birth; sex;
retirement plan; base pay; average base pay; final salary; type(s) of
service and dates used to compute length of service; military base pay
amount; purchase of service calculation and amount; and/or benefit
payment amount(s).
The types of records in the system may be:
a. Documentation comprised of service history/credit, personnel
data, retirement contributions, and/or a refund claim upon which a
benefit payment(s) may be based.
b. Medical records and supporting evidence for disability
retirement applications and continued eligibility, and documentation
regarding the acceptance or rejection.
c. Records submitted by a surviving spouse and/or a child(ren) in
support of claims to a benefit payment(s).
d. Consent forms and other records related to the withholding of
income tax from a benefit payment(s).
e. Retirement applications, including supporting documentation, and
acceptance or denial of such applications.
f. Death claim, including supporting documentation, submitted by a
surviving spouse, child(ren), former spouse, and/or beneficiary, that
is required to determine eligibility for and receipt of a benefit
payment(s), or denial of such claims.
g. Documentation of enrollment and/or change in enrollment for
health and life insurance benefits/eligibility.
h. Designation(s) of a beneficiary(ies) for a life insurance
benefit and/or an unpaid benefit payment.
i. Court orders submitted by former spouses in support of claims to
a benefit payment(s).
j. Records relating to under- and/or over-payments of benefit
payments and other debts arising from the responsibility to administer
the retirement plans for District police officers, firefighters,
teachers, and judges; and, records relating to other Federal debts owed
by recipients of Federal benefit payments.
k. Records relating to bankruptcies, tax levies, and garnishments.
l. Records used to determine a total benefit payment and/or if the
benefit payment is a District or Federal liability.
[[Page 29534]]
m. Correspondence received from current and former police officers,
firefighters, teachers, and judges; including their surviving spouses,
children, former spouses, dependent parents, and/or beneficiaries.
n. Records relating to time served on behalf of a recognized labor
organization.
o. Records relating to benefit payment enrollment and/or change to
enrollment for direct deposit to an individual's financial institution.
Authority for maintenance of the system:
Title XI, Subtitle A, Chapters 1 through 9, and Subtitle C, Chapter
4, Subchapter B of the Balanced Budget Act of 1997 (as amended), Public
Law 105-33.
Purpose(s):
These records may provide information on which to base
determinations of (1) eligibility for, and computation of, benefit
payments; (2) direct deposit elections into a financial institution;
(3) eligibility and premiums for health insurance and group life
insurance; (4) withholding of income taxes; (5) under- or over-payments
to recipients of a benefit payment, and for overpayments, the
recipient's ability to repay the overpayment; (6) Federal payment made
from the General Fund to the District of Columbia Pension Fund and the
District of Columbia Judicial Retirement and Survivors Annuity Fund;
(7) impact to the Funds due to proposed Federal and/or District
legislative changes; and (8) District or Federal liability for benefit
payments to former District police officers, firefighters, and
teachers, including survivors and dependents, who are receiving a
Federal and/or District benefit.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and the information in these records may be used:
1. To disclose pertinent information to the appropriate Federal,
State, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order, where
the Department becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation.
2. To disclose information to a Federal agency, in response to its
request in connection with the hiring or retention of an employee, the
issuance of a security clearance, the conducting of a suitability or
security investigation of an individual, the classifying of jobs, the
letting of a contract, or the issuance of a license, grant, or other
benefit by the requesting agency, to the extent that the information is
relevant and necessary to the requesting agency's decision on the
matter.
3. To provide information to a congressional office from the record
of an individual in response to an inquiry from that congressional
office made at the request of that individual.
4. To disclose information to another Federal agency, to a court,
or a party in litigation before a court or in an administrative
proceeding being conducted by a Federal agency, when the Federal
Government is a party to the judicial or administrative proceeding. In
those cases where the Federal Government is not a party to the
proceeding, records may be disclosed if a subpoena has been signed by a
judge.
5. To disclose information to the National Archives and Records
Administration for use in records management inspections and its role
as an Archivist.
6. To disclose information to the Department of Justice, or in a
proceeding before a court, adjudicative body, or other administrative
body before which the Department is authorized to appear, when:
(A) The Department or any component thereof;
(B) Any employee of the Department in his or her official capacity;
(C) Any employee of the Department in his or her individual
capacity where the Department of Justice or the Department has agreed
to represent the employee;
(D) The United States, when the Department determines that
litigation is likely to affect the Department or any of its components;
or
(E) The Federal funds established by the Act to pay benefit
payments is a party to litigation or has an interest in such
litigation, and the use of such records by the Department of Justice or
the Department is deemed by the Department of Justice or the Department
to be relevant and necessary to the litigation provided that the
disclosure is compatible with the purpose for which records were
collected.
7. To disclose information to contractors, subcontractors,
financial agents, grantees, auditors, actuaries, or volunteers
performing or working on a contract, service, grant, cooperative
agreement, or job for the Department, including the District.
8. To disclose information needed to adjudicate a claim for benefit
payments or information needed to conduct an analytical study of
benefits being paid under such programs as: Social Security
Administration's Old Age, Survivor, and Disability Insurance and
Medical Programs; military retired pay programs; and Federal civilian
employee retirement programs (Civil Service Retirement System, Federal
Employees Retirement System, and other Federal retirement systems).
9. To disclose to the U.S. Office of Personnel Management (OPM) and
to the District, information necessary to verify the election,
declination, or waiver of regular and/or optional life insurance
coverage, or coordinate with contract carriers the benefit provisions
of such coverage.
10. To disclose to health insurance carriers contracting with OPM
to provide a health benefits plan under the Federal Employees Health
Benefits Program or health insurance carriers contracting with the
District to provide a health benefits plan under the health benefits
program for District employees, Social Security numbers and other
information necessary to identify enrollment in a plan, to verify
eligibility for payment of a claim for health benefits, or to carry out
the coordination for benefits provisions of such contracts.
11. To disclose to any person possibly entitled to a benefit
payment in accordance with the applicable order of precedence or to an
executor of a deceased person's estate, information that is contained
in the record of a deceased current or former police officer,
firefighter, teacher, or judge to assist in properly determining the
eligibility and amount of a benefit payment to a surviving recipient,
or information that results from such determination.
12. To disclose to any person who is legally responsible for the
care of an individual to whom a record pertains, or who otherwise has
an existing, facially-valid Power of Attorney, including care of an
individual who is mentally incompetent or under other legal disability,
information necessary to assure application or payment of benefits to
which the individual may be entitled.
13. To disclose to the Parent Locator Service of the Department of
Health and Human Services, upon its request, the present address of an
individual covered by the system needed for enforcing child support
obligations of such individual.
14. In connection with an examination ordered by the District or
the Department under:
(A) Medical examination procedures; or
(B) Involuntary disability retirement procedures to disclose to the
representative of an employee, notices,
[[Page 29535]]
decisions, other written communications, or any other pertinent medical
evidence other than medical evidence about which a prudent physician
would hesitate to inform the individual; such medical evidence will be
disclosed only to a licensed physician, designated in writing for that
purpose by the individual or his or her representative. The physician
must be capable of explaining the contents of the medical record(s) to
the individual and be willing to provide the entire record(s) to the
individual.
15. To disclose information to any source from which the Department
seeks additional information that is relevant to a determination of an
individual's eligibility for, or entitlement to, coverage under the
applicable retirement, life insurance, and health benefits program, to
the extent necessary to obtain the information requested.
16. To disclose information to the Office of Management and Budget
at any stage of the legislative coordination and clearance process in
connection with private relief legislation as set forth in OMB Circular
No. A-19.
17. To disclose to an agency responsible for the collection of
income taxes the information required by an agreement authorized by law
to implement voluntary income tax withholdings from benefit payments.
18. To disclose to the Social Security Administration the names and
Social Security numbers of individuals covered by the system when
necessary to determine: (1) Their vital status as shown in the Social
Security Master Records; and (2) whether retirees receiving benefit
payments under the District's retirement plan for police officers and
firefighters with post-1956 military service credit are eligible for or
are receiving old age or survivors benefits under section 202 of the
Social Security Act based upon their wages and self-employment income.
19. To disclose to Federal, State, and local government agencies
information to help eliminate fraud and abuse in a benefits program
administered by a requesting Federal, State, or local government
agency; to ensure compliance with Federal, State, and local government
tax obligations by persons receiving benefits payments; and/or to
collect debts and overpayments owed to the requesting Federal, State,
or local government agency.
20. To disclose to a Federal agency, or a person or an organization
under contract with a Federal agency to render collection services for
a Federal agency as permitted by law, in response to a written request
from the head of the agency or his designee, or from the debt
collection contractor, data concerning an individual owing a debt to
the Federal Government.
21. To disclose, as permitted by law, information to a State court
or administrative agency in connection with a garnishment, attachment,
or similar proceeding to enforce alimony or a child support obligation.
22. To disclose information necessary to locate individuals who are
owed money or property by a Federal, State or local government agency,
or by a financial institution or similar institution, to the government
agency owing or otherwise responsible for the money or property (or its
agent).
23. To disclose information necessary in connection with the review
of a disputed claim for health benefits to a health plan provider
participating in the Federal Employees Health Benefits Program or the
health benefits program for employees of the District, and to a program
enrollee or covered family member or an enrollee or covered family
member's authorized representative.
24. To disclose information to another Federal agency for the
purpose of effecting administrative or salary offset against a person
employed by that agency, or who is receiving or eligible to receive
benefit payments from the agency when the Department as a creditor has
a claim against that person relating to benefit payments.
25. To disclose information concerning delinquent debts relating to
benefit payments to other Federal agencies for the purpose of barring
delinquent debtors from obtaining Federal loans or loan insurance
guarantees pursuant to 31 U.S.C. 3720B.
26. To disclose to State and local governments information used for
collecting delinquent debts relating to benefit payments.
27. To appropriate agencies, entities, and persons when (a) the
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
28. To disclose to a former spouse information necessary to explain
how his/her former spouse's benefit was computed.
29. To disclose to a surviving spouse, surviving child, dependent
parent, and/or legal guardian information necessary to explain how his/
her survivor benefit was computed.
30. To disclose to a spouse or dependent child (or court-appointed
guardian thereof) of an individual covered by the system, upon request,
whether the individual a) changed his/her election from a self-and-
family to a self-only health and/or life insurance benefit enrollment,
b) changed his/her additional survivor benefit election, and/or c)
received a lump-sum refund of his/her retirement contributions.
Disclosures to consumer reporting agencies:
Pursuant to 5 U.S.C. 552a(b)(12), disclosures may be made from this
system to consumer reporting agencies in accordance with 31 U.S.C.
3711(e).
Policies and practices for storing, retrieving, safeguarding, retaining
and disposing of records in the system: Storage:
These records are maintained in hard copy and in an electronic
format, including (but not limited to) on magnetic tapes, disks,
microfiche.
Retrievability:
These records are retrieved by various combinations of name; date-
of-birth; Social Security number; and/or an automatically assigned,
system generated number of the individual to whom they pertain.
Safeguards:
Paper records are kept in lockable metal file cabinets or in a
secured facility with access limited to those persons whose official
duties require access. Data in electronic format is encrypted or
password protected. Personnel screening and training are employed to
prevent unauthorized disclosure.
Retention and disposal:
Records on a claim for retirement, including salary and service
history, survivor annuity elections, and tax and other withholdings are
destroyed after 115 years from the date of the former police officer's,
firefighter's, teacher's or judge's birth; or 30 years after the date
of his/her death, if no application for benefits is received. If a
survivor or former spouse receives a benefit payment, such record is
destroyed after
[[Page 29536]]
his/her death. All other records covered by this system may be
destroyed in accordance with approved District and Department
guidelines. Paper records are destroyed by shredding or burning.
Records in electronic media are electronically erased using accepted
techniques.
System manager(s) and address:
Director, Office of D.C. Pensions, U.S. Department of the Treasury,
Washington, DC 20220.
Notification procedure:
Individuals seeking notification and access to any record contained
in the system of records, or seeking to contest its contents, should
contact the system manager. Individuals must furnish the following
information for their records to be located and identified:
a. Name, including all former names.
b. Date of birth.
c. Social Security number.
d. Signature.
e. Contact information.
Individuals requesting amendment of their records must also follow
the Department's Privacy Act regulations regarding verification of
identity and amendment of records (31 CFR part 1 subpart C, appendix
A).
Record access procedure:
See ``Notification procedure,'' above.
Contesting record procedure:
See ``Notification procedure,'' above.
Record source categories:
The information in this system is obtained from:
a. The individual to whom the information pertains.
b. District pay, leave, and allowance records.
c. Health benefits and life insurance plan systems records
maintained by the Office of Personnel Management, the District, and
health and life insurance carriers.
d. Federal civilian retirement systems.
e. Military retired pay system records.
f. Social Security Old Age, Survivor, and Disability Insurance and
Medicare Programs.
g. Official personnel folders.
h. The individual's co-workers and supervisors.
i. Physicians who have examined or treated the individual.
j. Surviving spouse, child(ren), former spouse(s), and/or dependent
parent of the individual to whom the information pertains.
k. State courts or support enforcement agencies.
l. Credit bureaus and financial institutions.
m. Government Offices of the District of Columbia, including the
D.C. Retirement Board.
n. The General Services Administration National Payroll Center.
o. Educational institutions.
Exemptions claimed for the system:
None.
[FR Doc. E9-14579 Filed 6-19-09; 8:45 am]
BILLING CODE 4810-94-P