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FOIA

 Federal Register / Vol. 73, No. 139 Notices

[Federal Register Volume 77, Number 64 (Tuesday, April 3, 2012)]
[Notices]
[Pages 20104-20122]
From the Federal Register Online via the Government Printing Office [http://www.gpo.gov/]
[FR Doc No: 2012-7950]


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DEPARTMENT OF THE TREASURY

Office of the Comptroller of the Currency


Privacy Act of 1974, as Amended; System of Records

AGENCY: Office of the Comptroller of the Currency, Treasury.

ACTION: Notice of systems of records.

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SUMMARY: In accordance with the requirements of the Privacy Act of 
1974, as amended, 5 U.S.C. 552a, the Office of the Comptroller of the 
Currency, Treasury, is publishing its Privacy Act systems of records.

SUPPLEMENTARY INFORMATION: Pursuant to the Privacy Act of 1974 (5 
U.S.C. 552a) and the Office of Management and Budget (OMB) Circular No. 
A-130, the Comptroller of the Currency (OCC) has completed a review of 
its Privacy Act systems of records notices to identify minor changes 
that will more accurately describe these records.
    This publication incorporates the amendments to Treasury/CC.210--
Bank Securities Dealers System; Treasury/CC.220--Notices of Proposed 
Changes in Employees, Officers and Directors Tracking System (formerly 
Treasury/CC.220--Section 914 Tracking System); and Treasury/CC.600--
Consumer Complaint and Inquiry Information System that were published 
on September 13, 2011, at 76 FR 56501. This publication also 
incorporates the Privacy Act systems of records that were formerly 
Office of Thrift Supervision systems, which the OCC adopted on July 26, 
2011, at 76 FR 44656. Other changes throughout the document are 
editorial in nature and consist principally of revising address 
information and minor editorial changes. The OCC's systems of records 
were last published in their entirety on July 18, 2008, at 73 FR 41402-
01. The OTS' systems of records were last published in their entirety 
on June 29, 2009, at 74 FR 31103.
    The OCC also gives notice that five OTS systems of records have 
been retired. Treasury/OTS.001--Confidential Individual Information 
System and Treasury/OTS.004--Criminal Referral Database, a component of 
Treasury/OTS.001, were retired by OTS in 1999 and the data contained in 
these systems was transferred to encrypted CDs that have been archived. 
Treasury/OTS.005--Employee Counseling Service was a paper-based system 
that was retired by OTS no later than 2000. The records in that system 
were destroyed by OTS. Treasury/OTS.008--Employee Training Database was 
retired by OTS. The data was migrated to the Treasury Learning 
Management System (TLMS). Any data that could not be transferred to 
TLMS was archived. Treasury/OTS.011--Positions/Budget was retired by 
OTS and the data has been archived. The notices pertaining to the five 
systems of records above, are removed from the Department's inventory 
of Privacy Act issuances.
    Department of the Treasury regulations require the Department to 
publish the existence and character of all systems of records every 
three years (31 CFR 1.23(a)(1)). With respect to its inventory of 
Privacy Act systems of records, the OCC has determined that the 
information contained in its systems of records is accurate, timely, 
relevant, complete, and is necessary to maintain the proper performance 
of a documented agency function.

Systems Covered by This Notice

    This notice covers all systems of records adopted by the OCC up to 
September 13, 2011. The systems notices are reprinted in their entirety 
following the Table of Contents.

    Dated: March 28, 2012.
Melissa Hartman,
Deputy Assistant Secretary for Privacy, Transparency and Records.

The Comptroller of the Currency (OCC)

Table of Contents

CC .100--Enforcement Action Report System
CC .110--Reports of Suspicious Activities
CC .120--Bank Fraud Information System
CC .200--Chain Banking Organizations System
CC .210--Bank Securities Dealers System
CC .220--Notices of Proposed Changes in Employees, Officers and 
Directors Tracking System
CC .340--Access Control System
CC .500--Chief Counsel's Management Information System
CC .510--Litigation Information System
CC .600--Consumer Complaint and Inquiry Information System
CC .700--Correspondence Tracking System
OTS .002--Correspondence/Correspondence Tracking
OTS .003--Consumer Complaint
OTS .006--Employee Locator File
OTS .012--Payroll/Personnel Systems & Payroll Records
OTS .013--Mass Communication System
OTS .015--Retiree Billing System
TREASURY/CC .100

System Name:
    Enforcement Action Report System--Treasury/Comptroller.

System Location:
    Office of the Comptroller of the Currency (OCC), Enforcement and

Page 20105

Compliance Division, 250 E Street SW., Washington, DC 20219-0001.

Categories of Individuals Covered by the System:
    Individuals covered by this system are: (1) Current and former 
directors, officers, employees, shareholders, and independent 
contractors of financial institutions who have had enforcement actions 
taken against them by the OCC, the Board of Governors of the Federal 
Reserve System, the Federal Deposit Insurance Corporation, the Office 
of Thrift Supervision, or the National Credit Union Administration;
    (2) Current and former directors, officers, employees, 
shareholders, and independent contractors of financial institutions who 
are the subjects of pending enforcement actions initiated by the OCC; 
and
    (3) Individuals who must obtain the consent of the Federal Deposit 
Insurance Corporation pursuant to 12 U.S.C. 1829 to become or continue 
as an institution-affiliated party within the meaning of 12 U.S.C. 
1813(u) of a federally-insured depository institution, a direct or 
indirect owner or controlling person of such an entity, or a direct or 
indirect participant in the conduct of the affairs of such an entity.

Categories of Records in the System:
    Records maintained in this system may contain the names of 
individuals, their positions or titles with financial institutions, 
descriptions of offenses and enforcement actions, and descriptions of 
offenses requiring Federal Deposit Insurance Corporation approval under 
12 U.S.C. 1829.

Authority for Maintenance of the System:
    12 U.S.C. 1, 27, 481, 1817(j), 1818, 1820, and 1831i.

Purpose:
    This system of records is used by the OCC to monitor enforcement 
actions and to assist it in its regulatory responsibilities, including 
review of the qualifications and fitness of individuals who are or 
propose to become responsible for the business operations of CC-
regulated entities.

Routine Uses of Records Maintained in the System, Including Categories 
of Users and the Purposes of Such Uses:
    Information maintained in this system may be disclosed to:
    (1) An OCC-regulated entity when the information is relevant to the 
entity's operations;
    (2) Third parties to the extent necessary to obtain information 
that is relevant to an examination or investigation;
    (3) The news media in accordance with guidelines contained in 28 
CFR 50.2;
    (4) Appropriate governmental or self-regulatory organizations when 
the OCC determines that the records are relevant and necessary to the 
governmental or self-regulatory organization's regulation or 
supervision of financial service providers, including the review of the 
qualifications and fitness of individuals who are or propose to become 
responsible for the business operations of such providers;
    (5) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (6) A congressional office when the information is relevant to an 
inquiry made at the request of the individual about whom the record is 
maintained;
    (7) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity;
    (8) Third parties when mandated or authorized by statute, or
    (9) 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.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System:
Storage:
    Records maintained in this system are stored electronically.

Retrievability:
    Records maintained in this system may be retrieved by the name of 
an individual covered by the system.

Safeguards:
    Access to electronic records is restricted to authorized personnel 
who have been issued non-transferrable access codes and passwords.

Retention and Disposal:
    Records are retained in accordance with the OCC's records 
management policies and National Archives and Records Administration 
regulations.

System Manager and Address:
    Director, Enforcement and Compliance Division, Law Department, 
Office of the Comptroller of the Currency, 250 E Street SW., 
Washington, DC 20219-0001.

Notification Procedure:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Mailstop 2-3, Office of the Comptroller of the Currency, 250 E Street 
SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix 
J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identity, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

Record Access Procedures:
    See ``Notification Procedure'' above.

Contesting Record Procedures:
    See ``Notification Procedure'' above.

Record Source Categories:
    Non-exempt information maintained in this system is obtained from 
OCC

Page 20106

personnel, OCC-regulated entities, other federal financial regulatory 
agencies, and criminal law enforcement authorities.

Exemptions Claimed for this System:
    Records maintained in this system have been designated as exempt 
from 5 U.S.C. 552a(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). See 31 CFR 1.36.
TREASURY/CC .110

System Name:
    Reports of Suspicious Activities--Treasury/Comptroller.

System Location:
    Office of the Comptroller of the Currency (OCC), Enforcement and 
Compliance Division, 250 E Street SW., Washington, DC 20219-0001. 
Suspicious Activity Reports (SARs) are managed by the Financial Crimes 
Enforcement Network (FinCEN), Department of the Treasury, 2070 Chain 
Bridge Road, Vienna, Virginia 22182, and stored at the IRS Computing 
Center in Detroit, Michigan. Information extracted from or relating to 
SARs or reports of crimes and suspected crimes is maintained in an OCC 
electronic database. This database, as well as the database managed by 
FinCEN, is accessible to designated OCC headquarters and district 
office personnel.

Categories of Individuals Covered by the System:
    Individuals covered by this system are individuals who have been 
designated as suspects or witnesses in SARs or reports of crimes and 
suspected crimes.

Categories of Records in the System:
    Records maintained in this system may contain the name of the 
entity to which a report pertains, the names of individual suspects and 
witnesses, the types of suspicious activity involved, and the amounts 
of known losses. Other records maintained in this system may contain 
arrest, indictment and conviction information, and information relating 
to administrative actions taken or initiated in connection with 
activities reported in a SAR or a report of crime and suspected crime.

Authority for Maintenance of the System:
    12 U.S.C. 1, 27, 481, 1817(j), 1818, 1820, and 1831i; 31 U.S.C. 
5318.

Purpose:
    This system of records is used by the OCC to monitor criminal law 
enforcement actions taken with respect to known or suspected criminal 
activities affecting OCC-regulated entities. System information is used 
to determine whether matters reported in SARs warrant the OCC's 
supervisory action. Information in this system also may be used for 
other supervisory and licensing purposes, including the review of the 
qualifications and fitness of individuals who are or propose to become 
responsible for the business operations of OCC-regulated entities.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    Information maintained in this system may be disclosed to:
    (1) The Department of Justice through periodic reports containing 
the identities of individuals suspected of having committed violations 
of criminal law;
    (2) An OCC-regulated entity if the SAR relates to that institution;
    (3) Third parties to the extent necessary to obtain information 
that is relevant to an examination or investigation;
    (4) Appropriate governmental or self-regulatory organizations when 
the OCC determines that the records are relevant and necessary to the 
governmental or self-regulatory organization's regulation and 
supervision of financial service providers, including the review of the 
qualifications and fitness of individuals who are or propose to become 
responsible for the business operations of such providers;
    (5) An appropriate governmental, international, tribal, self-
regulatory, or professional organization if the information is relevant 
to a known or suspected violation of a law or licensing standard within 
that organization's jurisdiction;
    (6) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (7) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity;
    (8) Third parties when mandated or authorized by statute, or
    (9) 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.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records maintained in this system are stored electronically.

Retrievability:
    Records maintained in this system may be retrieved by the name of 
an individual covered by the system.

Safeguards:
    Access to electronic records is restricted to authorized personnel 
who have been issued non-transferrable access codes and passwords.

Retention and Disposal:
    Records are retained in accordance with the OCC's records 
management policies and National Archives and Records Administration 
regulations.

System Managers and Address:
    Director, Special Supervision Division, Midsize/Community Bank 
Supervision, Office of the Comptroller of the Currency, 250 E Street 
SW., Washington, DC 20219-0001.

Notification Procedure:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Mailstop 2-3, Office of the Comptroller of the Currency, 250 E Street 
SW., Washington, DC 20219-0001. See 31 CFR part 1, subpart C, Appendix 
J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document

Page 20107

bearing a photograph (such as a passport or identification badge) or 
two items of identification that bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identity, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

Record Access Procedures:
    See ``Notification Procedure'' above.

Contesting Record Procedures:
    See ``Notification Procedure'' above.

Record Source Categories:
    Non-exempt information maintained in this system is obtained from 
CC personnel, OCC-regulated entities, other financial regulatory 
agencies, criminal law enforcement authorities, and FinCEN.

Exemptions Claimed for the System:
    Records in this system have been designated as exempt from 5 U.S.C. 
552a(c)(3) and (4), (d)(1), (2), (3), and (4), (e)(1), (e)(2), (e)(3), 
(e)(4)(G), (H), and (I), (e)(5), and (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/CC .120

System Name:
    Bank Fraud Information System--Treasury/Comptroller.

System Location:
    Office of the Comptroller of the Currency (OCC), Bank Supervision 
Operations, 250 E Street SW., Washington, DC 20219-0001.

Categories of Individuals Covered by the System:
    Individuals covered by this system are those who submit complaints 
or inquiries about fraudulent or suspicious financial instruments or 
transactions or who are the subjects of complaints or inquiries.

Categories of Records in the System:
    Records maintained in this system may contain: The name, address, 
or telephone number of the individual who submitted a complaint or 
inquiry; the name, address, or telephone number of the individual or 
entity who is the subject of a complaint or inquiry; the types of 
activity involved; the date of a complaint or inquiry; and numeric 
codes identifying a complaint or inquiry's nature or source. Supporting 
records may contain correspondence between the OCC and the individual 
or entity submitting a complaint or inquiry, correspondence between the 
OCC and an OCC-regulated entity, or correspondence between the OCC and 
other law enforcement or regulatory bodies. Other records maintained in 
this system may contain arrest, indictment and conviction information, 
and information relating to administrative actions taken or initiated 
in connection with complaints or inquiries.

Authority for Maintenance of the System:
    12 U.S.C. 1, 27, 481, 1817(j), 1818, 1820, and 1831i; 31 U.S.C. 
5318.

Purpose:
    This system of records tracks complaints or inquiries concerning 
fraudulent or suspicious financial instruments and transactions. These 
records assist the OCC in its efforts to protect banks and their 
customers from fraudulent or suspicious banking activities.

Routine Uses of Records Maintained in the System, Including Categories 
of Users and the Purposes of Such Uses:
    Information maintained in this system may be disclosed to:
    (1) An OCC-regulated entity to the extent that such entity is the 
subject of a complaint, inquiry, or fraudulent activity;
    (2) Third parties to the extent necessary to obtain information 
that is relevant to the resolution of a complaint or inquiry, an 
examination, or an investigation;
    (3) Appropriate governmental or self-regulatory organizations when 
the OCC determines that the records are relevant and necessary to the 
governmental or self-regulatory organization's regulation or 
supervision of financial service providers;
    (4) An appropriate governmental, international, tribal, self-
regulatory, or professional organization if the information is relevant 
to a known or suspected violation of a law or licensing standard within 
that organization's jurisdiction;
    (5) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (6) A congressional office when the information is relevant to an 
inquiry made at the request of the individual about whom the record is 
maintained;
    (7) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity;
    (8) Third parties when mandated or authorized by statute, or
    (9) 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.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System:
Storage:
    Records maintained in this system are stored electronically, in 
card files, and in file folders.

Retrievability:
    Records maintained in this system may be retrieved by the name of 
an individual covered by the system.

Safeguards:
    Access to electronic records is restricted to authorized personnel 
who have been issued non-transferrable access codes and passwords. 
Other records are maintained in locked file cabinets or rooms.

Retention and Disposal:
    Records are retained in accordance with the OCC's records 
management policies and National Archives and Records Administration 
regulations.

System Manager and Address:
    Director, Special Supervision, Bank Supervision Operations, Office 
of the Comptroller of the Currency, 250 E Street SW., Washington, DC 
20219-0001.

Notification Procedure:
    An individual wishing to be notified if he or she is named in non-
exempt

Page 20108

records maintained in this system must submit a written request to the 
Freedom of Information Act Officer, Communications Division, Mailstop 
2-3, Office of the Comptroller of the Currency, 250 E Street, SW., 
Washington, DC 20219-0001. See 31 CFR part 1, subpart C, Appendix J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature. Alternatively, identity may be 
established by providing a notarized statement, swearing or affirming 
to an individual's identity, and to the fact that the individual 
understands the penalties provided in 5 U.S.C. 552a(i)(3) for 
requesting or obtaining information under false pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

Record Access Procedures:
    See ``Notification Procedure'' above.

Contesting Record Procedures:
    See ``Notification Procedure'' above.

Record Source Categories:
    Non-exempt information maintained in this system is obtained from 
individuals and entities who submit complaints or inquiries, OCC 
personnel, OCC-regulated entities, criminal law enforcement 
authorities, and governmental or self-regulatory bodies.

Exemptions Claimed for the System:
    Records maintained in this system have been designated as exempt 
from 5 U.S.C. 552a(c)(3) and (4), (d)(1), (2), (3), and (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) and (k)(2). See 31 
CFR 1.36.
TREASURY/CC .200

System Name:
    Chain Banking Organizations System--Treasury/Comptroller.

System Location:
    Office of the Comptroller of the Currency (OCC), Operations Risk 
Policy, 250 E Street, SW., Washington, DC 20219-0001, and the OCC's 
district offices as follows:
    Central District Office, One Financial Place, Suite 2700, 440 South 
LaSalle Street, Chicago, IL 60605-1073;
    Northeastern District Office, 340 Madison Avenue, Fifth Floor, New 
York, NY 10017-2613;
    Southern District Office, 500 North Akard Street, Suite 1600, 
Dallas, TX 75201-3394; and
    Western District Office, 1225 17th Street, Suite 300, Denver, CO 
80202-5534.

Categories of Individuals Covered by the System:
    Individuals covered by this system are individuals who directly, 
indirectly, or acting through or in concert with one or more other 
individuals, own or control a chain banking organization. A chain 
banking organization exists when two or more independently chartered 
financial institutions, including at least one OCC-regulated entity, 
are controlled either directly or indirectly by the same individual, 
family, or group of individuals closely associated in their business 
dealings. Control generally exists when the common ownership has the 
ability or power, directly or indirectly, to:
    (1) Control the vote of 25 percent or more of any class of an 
organization's voting securities;
    (2) Control in any manner the election of a majority of the 
directors of an organization; or
    (3) Exercise a controlling influence over the management or 
policies of an organization. A registered multibank holding company and 
its subsidiary banks are not ordinarily considered a chain banking 
group unless the holding company is linked to other banking 
organizations through common control.

Categories of Records in the System:
    Records maintained in this system contain the names of individuals 
who, either alone or in concert with others, own or control a chain 
banking organization. Other information may contain: The name, 
location, charter number, charter type, and date of last examination of 
each organization comprising a chain; the percentage of outstanding 
stock owned or controlled by controlling individuals or groups; and the 
name of any intermediate holding entity and the percentage of such 
entity owned or controlled by the individual or group.

Authority for Maintenance of the System:
    12 U.S.C. 1, 481, 1817(j), and 1820.

Purpose:
    Information maintained in this system is used by the OCC to carry 
out its supervisory responsibilities with respect to national banks and 
District of Columbia banks operating under the OCC's regulatory 
authority, including the coordination of examinations, supervisory 
evaluations and analyses, and administrative enforcement actions with 
other financial regulatory agencies.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    Information maintained in this system may be disclosed to:
    (1) An OCC-regulated entity when information is relevant to the 
entity's operation;
    (2) Appropriate governmental or self-regulatory organizations when 
the OCC determines that the records are relevant and necessary to the 
governmental or self-regulatory organization's regulation or 
supervision of financial service providers;
    (3) An appropriate governmental, tribal, self-regulatory, or 
professional organization if the information is relevant to a known or 
suspected violation of a law or licensing standard within the 
organization's jurisdiction;
    (4) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (5) A Congressional office when the information is relevant to an 
inquiry made at the request of the individual about whom the record is 
maintained;
    (6) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity;
    (7) Third parties when mandated or authorized by statute, or
    (8) 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

Page 20109

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.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records maintained in this system are stored electronically.

Retrievability:
    Records maintained in this system may be retrieved by the name of 
an individual covered by the system.

Safeguards:
    Access to electronic records is restricted to authorized personnel 
who have been issued non-transferrable access codes and passwords.

Retention and Disposal:
    Records are retained in accordance with the OCC's records 
management policies and National Archives and Records Administration 
regulations.

System Manager and Address:
    Director, Operational Risk Policy, Office of the Comptroller of the 
Currency, 250 E Street SW., Washington, DC 20219-0001.

Notification Procedure:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Mailstop 2-3, Office of the Comptroller of the Currency, 250 E Street 
SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix 
J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identity, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

Record Access Procedures:
    See ``Notification Procedure'' above.

Contesting Record Procedures:
    See ``Notification Procedure'' above.

Record Source Categories:
    Information maintained in this system is obtained from OCC 
personnel, other Federal financial regulatory agencies, and individuals 
who file notices of their intention to acquire control over an OCC-
regulated financial institution.

Exemptions Claimed for the System:
    None.
TREASURY/CC .210

System Name:
    Bank Securities Dealers System--Treasury/Comptroller.

System Location:
    Office of the Comptroller of the Currency (OCC), Credit and Market 
Risk, 250 E Street SW., Washington, DC 20219-0001.

Categories of Individuals Covered by the System:
    Individuals covered by this system are individuals who are or seek 
to be associated with a municipal securities dealer or a government 
securities broker/dealer that is a national bank, Federal savings 
association, a District of Columbia savings association operating under 
the OCC's regulatory authority, or a department or division of any such 
bank or savings association in the capacity of a municipal securities 
principal, municipal securities representative, or government 
securities associated person.

Categories of Records in the System:
    Records maintained in this system may contain an individual's name, 
address history, date and place of birth, social security number, 
educational and occupational history, certain professional 
qualifications and testing information, disciplinary history, or 
information about employment termination.

Authority for Maintenance of the System:
    12 U.S.C. 1 (as amended), 481, 1464, 1818, and 1820; 15 U.S.C. 78o-
4, 78o-5, 78q, and 78w.

Purpose:
    This system of records will be used by the OCC to carry out its 
responsibilities under the Federal securities laws relating to the 
professional qualifications and fitness of individuals who engage or 
propose to engage in securities activities on behalf of national banks, 
Federal savings associations, and District of Columbia savings 
associations operating under the OCC's regulatory authority.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such systems:
    Information maintained in this system may be disclosed to:
    (1) An OCC-regulated entity in connection with its filing relating 
to the qualifications and fitness of an individual serving or proposing 
to serve the entity in a securities-related capacity;
    (2) Third parties to the extent needed to obtain additional 
information concerning the professional qualifications and fitness of 
an individual covered by the system;
    (3) Third parties inquiring about the subject of an OCC enforcement 
action;
    (4) Appropriate governmental or self-regulatory organizations when 
the OCC determines that the records are relevant and necessary to the 
governmental or self-regulatory organization's regulation or 
supervision of financial service providers, including the review of the 
qualifications and fitness of individuals who are or propose to become 
involved in the provider's securities business;
    (5) An appropriate governmental, tribal, self-regulatory, or 
professional organization if the information is relevant to a known or 
suspected violation of a law or licensing standard within that 
organization's jurisdiction;
    (6) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (7) A Congressional office when the information is relevant to an 
inquiry made at the request of the individual about whom the record is 
maintained;
    (8) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity;
    (9) Third parties when mandated or authorized by statute, or
    (10) Appropriate agencies, entities, and persons when (a) the 
Department

Page 20110

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.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records maintained in this system are stored electronically and in 
file folders.

Retrievability:
    Records maintained in this system may be retrieved by the name of 
an individual covered by the system.

Safeguards:
    Access to the electronic database is restricted to authorized 
personnel who have been issued non-transferrable access codes and 
passwords. Other records are maintained in locked file cabinets or 
rooms.

Retention and Disposal:
    Records are retained in accordance with the OCC's records 
management policies and National Archives and Records Administration 
regulations.

System Manager and Address:
    Deputy Comptroller, Credit and Market Risk, Office of the 
Comptroller of the Currency, 250 E Street SW., Washington, DC 20219-
0001.

Notification Procedure:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to Freedom of Information Act Officer, Communications Division, 
Mailstop 2-3, Office of the Comptroller of the Currency, 250 E Street 
SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix 
J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identity, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

Record Access Procedures:
    See ``Notification Procedure'' above.

Contesting Record Procedures:
    See ``Notification Procedure'' above.

Record Source Categories:
    Information maintained in this system is obtained from OCC-
regulated entities that are: Municipal securities dealers and/or 
government securities brokers/dealers; individuals who are or propose 
to become municipal securities principals, municipal securities 
representatives, or government securities associated persons; or 
governmental and self-regulatory organizations that regulate the 
securities industry.

Exemptions Claimed for the System:
    None.
TREASURY/CC .220

System Name:
    Notices of Proposed Changes in Employees, Officers and Directors 
Tracking System--Treasury/Comptroller.

System Location:
    Office of the Comptroller of the Currency (OCC), Special 
Supervision, 250 E Street SW., Washington, DC 20219-0001.

Categories of Individuals Covered by the System:
    Individuals covered by this system are those who are named in 
notices filed: (1) under 12 CFR 5.51 as proposed directors or senior 
executive officers of a national bank, or federal branches of foreign 
banks (Section 5.51-regulated entities) when the entities:
    (a) Have a composite rating of 4 or 5 under the Uniform Financial 
Institutions Rating System;
    (b) Are subject to cease and desist orders, consent orders, or 
formal written agreements, unless otherwise informed in writing by the 
OCC;
    (c) Have been determined, in writing, by the OCC to be in 
``troubled condition;''
    (d) Are not in compliance with minimum capital requirements 
prescribed under 12 CFR Part 3; or
    (e) Have been advised by the OCC, in connection with its review of 
an entity's capital restoration plan, that such filings are 
appropriate.
    (2) Under 12 CFR 5.20(g)(2) as proposed officers or directors of 
national banks (Section 5.20(g)(2) entities) for a two-year period from 
the date they commence business.
    (3) under 12 CFR 163, Subpart H (previously 12 CFR 563, Subpart H) 
as proposed directors or senior executive officers of Federal savings 
associations (Part 163, Subpart H entities) when the entities:
    (a) Are not in compliance with minimum capital requirements 
prescribed under 12 CFR 167 (previously 12 CFR 567);
    (b) Have a composite rating of 4 or 5 under the Uniform Financial 
Institutions Rating system;
    (c) Are subject to capital directives, cease and desist orders, 
consent orders, formal written agreements, or prompt corrective action 
directives relating to the safety and soundness or financial viability 
of the federal savings association, unless otherwise informed I writing 
by the OCC;
    (d) Have been determined in writing by the OCC to be in ``troubled 
condition;'' or
    (e) Have been advised by the OCC, in connection with its review of 
an entity's capital restoration plan required by 12 U.S.C. 1831o, that 
such notice is required.
    (4) pursuant to 12 U.S.C. 1818(b) as proposed employees of national 
banks, Federal savings associations or any other entity subject to the 
OCC's jurisdiction (1818(b) entities), other than employees covered by 
12 CFR 5.51 or 12 CFR 163, Subpart H, when required to do so pursuant 
to 12 U.S.C. 1818(b).''

Categories of Records in the System:
    Records maintained in this electronic database may contain: the 
names, charter numbers, and locations of the OCC-regulated entities 
that have submitted notices; the names, addresses, dates of birth, and 
social security numbers of individuals proposed as either directors or 
senior executive

Page 20111

officers; and the actions taken by the OCC in connection with these 
notices.

Authority for Maintenance of the System:
    12 U.S.C. 1 (as amended), 27, 93a, 481, 1464, 1817(j), 1818, 1820, 
and 1831i.

Purpose:
    Information maintained in this system is used by the OCC to carry 
out its statutory and other regulatory responsibilities, including 
other reviews of the qualifications and fitness of individuals who 
propose to become responsible for the business operations of OCC-
regulated entities.

Routine Uses of Records Maintained in The System, including Categories 
of Users and the Purposes of Such Uses:
    Information maintained in this system may be disclosed to:
    (1) An Section 5.51 entity, a Section 5.20(g)(2) entity, a Part 
163, Subpart H entity, or a Section 1818(b) entity in connection with 
review and action on a notice filed by that entity;
    (2) Third parties to the extent necessary to obtain information 
that is pertinent to the OCC's review and action on a notice received 
under any authority cited herein;
    (3) Appropriate governmental or self-regulatory organizations when 
the OCC determines that the records are relevant and necessary to the 
governmental or self-regulatory organization's regulation or 
supervision of financial service providers, including the review of the 
qualifications and fitness of individuals who are or propose to become 
responsible for the business operations of such providers;
    (4) An appropriate governmental, tribal, self-regulatory, or 
professional organization if the information is relevant to a known or 
suspected violation of a law or licensing standard within that 
organization's jurisdiction;
    (5) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (6) A congressional office when the information is relevant to an 
inquiry made at the request of the individual about whom the record is 
maintained;
    (7) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity;
    (8) Third parties when mandated or authorized by statute, or
    (9) 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.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System:
Storage:
    Records maintained in this system are stored electronically.

Retrievability:
    Records maintained in this system may be retrieved by the name of 
an individual covered by the system.

Safeguards:
    Access to electronic records is restricted to authorized personnel 
who have been issued non-transferrable access codes and passwords.

Retention and Disposal:
    Records are retained in accordance with the OCC's records 
management policies and National Archives and Records Administration 
regulations.

System Manager and Address:
    Deputy Comptroller, Special Supervision, Bank Supervision 
Operations, Office of the Comptroller of the Currency, 250 E Street 
SW., Washington, DC 20219-0001.

Notification Procedure:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Mailstop 2-3, Office of the Comptroller of the Currency, 250 E Street 
SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix 
J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document).
    An individual seeking notification in person must establish his or 
her identity by providing proof in the form of a single official 
document bearing a photograph (such as a passport or identification 
badge) or two items of identification that bear both a name and 
signature. Alternatively, identity may be established by providing a 
notarized statement, swearing or affirming to an individual's identity, 
and to the fact that the individual understands the penalties provided 
in 5 U.S.C. 552a(i)(3) for requesting or obtaining information under 
false pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

Record Access Procedures:
    See ``Notification Procedure'' above.

Contesting Record Procedures:
    See ``Notification Procedure'' above.

Record Source Categories:
    Information maintained in this system is obtained from OCC-
regulated entities, individuals named in notices filed pursuant to 5 
CFR 5.51, Federal or State financial regulatory agencies, criminal law 
enforcement authorities, credit bureaus, and OCC personnel.

Exemptions Claimed for the System:
    Records maintained in this system have been designated as exempt 
from 5 U.S.C. 552a(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.
TREASURY/CC 340

System Name:
    Access Control System--Treasury/Comptroller.

System Location:
    Office of the Comptroller of the Currency (OCC), Security Office, 
Office of Management, 250 E Street SW., Washington, DC 20219-001.

Categories of Individuals Covered by the System:
    Individuals covered by this system are OCC employees, contractors, 
agents, and volunteers who have been issued an OCC identification card.

Categories of Records in the System:
    Records maintained in this system may contain an individual's name, 
location information, picture, and

Page 20112

authorizations to use the OCC's fitness facility or its headquarters 
parking garage, if applicable. This system of records also may contain 
time records of entrances and exits and attempted entrances and exits 
of OCC premises.

Authority for Maintenance of the System:
    12 U.S.C. 1, 481, and 482; 5 U.S.C. 301.

Purpose:
    The OCC has an access control system linked to identification cards 
which limits access to its premises to authorized individuals and 
records the time that individuals are on the premises. This system of 
records is used to assist the OCC in maintaining the security of its 
premises and to permit the OCC to identify individuals on its premises 
at particular times.

Routine Uses of Records Maintained in the System, Including Categories 
of Users and the Purposes of Such Uses:
    Information maintained in this system may be disclosed to:
    (1) Third parties to the extent necessary to obtain information 
that is relevant to an investigation concerning access to or the 
security of the OCC's premises;
    (2) An appropriate governmental authority if the information is 
relevant to a known or suspected violation of a law within that 
organization's jurisdiction;
    (3) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (4) A congressional office when the information is relevant to an 
inquiry made at the request of the individual about whom the record is 
maintained;
    (5) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity;
    (6) Third parties when mandated or authorized by statute, or
    (7) 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.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System:
Storage:
    Records maintained in this system are stored electronically and in 
file folders.

Retrievability:
    Records maintained in this system may be retrieved by the name of 
an individual covered by the system.

Safeguards:
    Access to electronic records is restricted to authorized personnel 
who have been issued non-transferrable access codes and passwords. 
Other records are maintained in locked file cabinets or rooms.

Retention and Disposal:
    Records are retained in accordance with the OCC's records 
Management policies and National Archives and Records Administration 
regulations.

System Manager and Address:
    Assistant Director for Critical Infrastructure Protection and 
Security (CIPS), Office of the Comptroller of the Currency, 250 E 
Street SW., Washington, DC 20219-0001.

Notification Procedure:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Mailstop 2-3, Office of the Comptroller of the Currency, 250 E Street 
SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix 
J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identity, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

Record Access Procedures:
    See ``Notification Procedure'' above.

Contesting Record Procedures:
    See ``Notification Procedure'' above.

Record Source Categories:
    Information maintained in this system is obtained from individuals 
and the OCC's official personnel records. Information concerning entry 
and exit of OCC premises is obtained from identification card scanners.

Exemptions Claimed for the System:
    None.
TREASURY/CC .500

System Name:
    Chief Counsel's Management Information System--Treasury/
Comptroller.

System Location:
    Office of the Comptroller of the Currency (OCC), Office of Chief 
Counsel, 250 E Street SW., Washington, DC 20219-0001.

Categories of Individuals Covered by the System:
    Individuals covered by the system are: Individuals who have 
requested information or action from the OCC; parties or witnesses in 
civil proceedings or administrative actions; individuals who have 
submitted requests for testimony and/or production of documents 
pursuant to 12 CFR part 4, Subpart C; individuals who have been the 
subjects of administrative actions or investigations initiated by the 
OCC, including current or former shareholders, directors, officers, 
employees and agents of OCC-regulated entities, current, former, or 
potential bank customers, and OCC employees.

Categories of Records in the System:
    Records maintained in this system may contain the names of: Banks; 
requestors; parties; witnesses; current or former shareholders; 
directors, officers,

Page 20113

employees and agents of OCC-regulated entities; current, former or 
potential bank customers; and current or former OCC employees. These 
records contain summarized information concerning the description and 
status of Law Department work assignments. Supporting records may 
include pleadings and discovery materials generated in connection with 
civil proceedings or administrative actions, and correspondence or 
memoranda related to work assignments.

Authority for Maintenance of the System:
    12 U.S.C. 1, 93(d) (second), 481, 1818, and 1820.

Purpose:
    This system of records is used to track the progress and 
disposition of OCC Law Department work assignments.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    Information maintained in this system may be disclosed to:
    (1) An OCC-regulated entity involved in an assigned matter;
    (2) Third parties to the extent necessary to obtain information 
that is relevant to the resolution of an assigned matter;
    (3) The news media in accordance with guidelines contained in 28 
CFR 50.2;
    (4) Appropriate governmental or self-regulatory organizations when 
the OCC determines that the records are relevant and necessary to the 
governmental or self-regulatory organization's regulation or 
supervision of financial service providers;
    (5) An appropriate governmental, tribal, self-regulatory, or 
professional organization if the information is relevant to a known or 
suspected violation of a law or licensing standard within that 
organization's jurisdiction;
    (6) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (7) A Congressional office when the information is relevant to an 
inquiry made at the request of the individual about whom the record is 
maintained;
    (8) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity;
    (9) Third parties when mandated or authorized by statute, or
    (10) 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.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records maintained in this system are stored electronically and in 
file folders.

Retrievability:
    Records maintained in this system may be retrieved by the name of 
an individual covered by the system.

Safeguards:
    Access to electronic records is restricted to authorized personnel 
who have been issued non-transferrable access codes and passwords. 
Other records are maintained in locked file cabinets or rooms.

Retention and Disposal:
    Records are retained in accordance with the OCC's records 
management policies and National Archives and Records Administration 
regulations.

System Manager and Address:
    Executive Assistant to the Chief Counsel, Law Department, Office of 
the Comptroller of the Currency, 250 E Street SW., Washington, DC 
20219-0001.

Notification Procedure:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Mailstop 2-3, Office of the Comptroller of the Currency, 250 E Street 
SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix 
J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identity, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

Record Access Procedures:
    See ``Notification Procedure'' above.

Contesting Record Procedures:
    See ``Notification Procedure'' above.

Record Source Categories:
    Non-exempt information maintained in this system is obtained from 
individuals who request information or action from the OCC, individuals 
who are involved in legal proceedings in which the OCC is a party or 
has an interest, OCC personnel, and OCC-regulated entities and other 
entities, including governmental, tribal, self-regulatory, and 
professional organizations.

Exemptions Claimed for the System:
    Records maintained in this system have been designated as exempt 
from 5 U.S.C. 552a(c)(3) and (4), (d)(1), (2), (3), and (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) and (k)(2). See 31 
CFR 1.36.
TREASURY/CC .510

System Name:
    Litigation Information System--Treasury/Comptroller.

System Location:
    Office of the Comptroller of the Currency (OCC), Office of Chief 
Counsel, Litigation Division, 250 E Street SW., Washington, DC 20219-
0001.

Page 20114

Categories of Individuals Covered by the System:
    Individuals covered by the system are parties or witnesses in civil 
proceedings or administrative actions, and individuals who have 
submitted requests for testimony or the production of documents 
pursuant to 12 CFR part 4, Subpart C.

Categories of Records in the System:
    Records maintained in this system are those generated in connection 
with civil proceedings or administrative actions, such as discovery 
materials, evidentiary materials, transcripts of testimony, pleadings, 
memoranda, correspondence, and requests for information pursuant to 12 
CFR part 4, Subpart C.

Authority for Maintenance of the System:
    12 U.S.C. 1, 93(d) (second), 481, 1818, and 1820.

Purpose:
    This system of records is used by the OCC in representing its 
interests in legal actions and proceedings in which the OCC, its 
employees, or the United States is a party or has an interest.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    Information maintained in this system may be disclosed to:
    (1) Third parties to the extent necessary to obtain information 
that is relevant to the subject matter of civil proceedings or 
administrative actions involving the OCC;
    (2) The news media in accordance with guidelines contained in 28 
CFR 50.2;
    (3) Appropriate governmental or self-regulatory organizations when 
the OCC determines that the records are relevant and necessary to the 
governmental or self-regulatory organization's regulation or 
supervision of financial service providers;
    (4) An appropriate governmental, tribal, self-regulatory, or 
professional organization if the information is relevant to a known or 
suspected violation of a law or licensing standard within that 
organization's jurisdiction;
    (5) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (6) A Congressional office when the information is relevant to an 
inquiry made at the request of the individual about whom the record is 
maintained;
    (7) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity;
    (8) Third parties when mandated or authorized by statute, or
    (9) 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.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records maintained in this system are stored electronically and in 
file folders.

Retrievability:
    Records maintained in this system may be retrieved by the name of 
an individual covered by the system.

Safeguards:
    System records are maintained in locked file cabinets or rooms and 
in electronic format on secure drives and media.

Retention and Disposal:
    Records are retained in accordance with the OCC's records 
management policies and National Archives and Records Administration 
regulations.

System Manager and Address:
    Director, Litigation Division, Law Department, Office of the 
Comptroller of the Currency, 250 E Street, SW., Washington, DC 20219-
0001.

Notification Procedure:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Mailstop 2-3, Office of the Comptroller of the Currency, 250 E Street, 
SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix 
J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identity, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

Record Access Procedures:
    See ``Notification Procedure'' above.

Contesting Record Procedures:
    See ``Notification Procedure'' above.

Record Source Categories:
    Non-exempt information maintained in this system is obtained from: 
Individuals or entities involved in legal proceedings in which the OCC 
is a party or has an interest; OCC-regulated entities; and 
governmental, tribal, self-regulatory or professional organizations.

Exemptions Claimed for the System:
    Records maintained in this system have been designated as exempt 
from 5 U.S.C. 552a(c)(3) and (4), (d)(1), (2), (3), and (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) and (k)(2). See 31 
CFR 1.36.
TREASURY/CC .600

System Name:
    Consumer Complaint and Inquiry Information System--Treasury/
Comptroller.

System Location:
    Office of the Comptroller of the Currency (OCC), Customer 
Assistance Group, 1301 McKinney Street, Suite 3450, Houston, TX 77010-
3034.

Page 20115

Categories of Individuals Covered by the System:
    Individuals covered by this system are individuals who submit 
complaints or inquiries about national banks, Federal Savings 
Associations, District of Columbia savings associations operating under 
OCC's regulatory authority, federal branches and agencies of foreign 
banks, or subsidiaries of any such entity (OCC-regulated entities), and 
other entities that the OCC does not regulate. This includes 
individuals who file complaints and inquiries directly with the OCC or 
through other parties, such as attorneys, members of Congress, or other 
governmental organizations.

Categories of Records in the System:
    Records maintained in this system may contain: The name and address 
of the individual who submitted the complaint or inquiry; when 
applicable, the name of the individual or organization referring a 
matter; the name of the entity that is the subject of the complaint or 
inquiry; the date of the incoming correspondence and its receipt; 
numeric codes identifying the complaint or inquiry's nature, source, 
and resolution; the OCC office and personnel assigned to review the 
correspondence; the status of the review; the resolution date; and, 
when applicable, the amount of reimbursement. Supporting records may 
contain correspondence between the OCC and the individual submitting 
the complaint or inquiry, correspondence between the OCC and the 
regulated entity, and correspondence between the OCC and other law 
enforcement or regulatory bodies.

Authority for Maintenance of the System:
    12 U.S.C. 1 (as amended), 481, 1464 and 1820; 15 U.S.C. 41 et seq.

Purpose:
    This system of records is used to administer the OCC's Customer 
Assistance Program and to track the processing and resolution of 
complaints and inquiries.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    Information maintained in this system may be disclosed to:
    (1) An OCC-regulated entity that is the subject of a complaint or 
inquiry;
    (2) Third parties to the extent necessary to obtain information 
that is relevant to the resolution of a complaint or inquiry;
    (3) The appropriate governmental, tribal, self-regulatory or 
professional organization if that organization has jurisdiction over 
the subject matter of the complaint or inquiry, or the entity that is 
the subject of the complaint or inquiry;
    (4) An appropriate governmental, tribal, self-regulatory, or 
professional organization if the information is relevant to a known or 
suspected violation of a law or licensing standard within that 
organization's jurisdiction;
    (5) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (6) A Congressional office or appropriate governmental or tribal 
organization when the information is relevant to a complaint or inquiry 
referred to the OCC by that office or organization on behalf of the 
individual about whom the information is maintained;
    (7) An appropriate governmental or tribal organization in 
communication with the OCC about a complaint or inquiry the 
organization has received concerning the actions of an OCC-regulated 
entity. Information that may be disclosed under this routine use will 
ordinarily consist of a description of the conclusion made by the OCC 
concerning the actions of such an entity and the corrective action 
taken, if any;
    (8) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity;
    (9) Third parties when mandated or authorized by statute, or
    (10) 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.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records maintained in this system are stored electronically and in 
file folders.

Retrievability:
    Records maintained in this system may be retrieved by the name of 
an individual covered by the system.

Safeguards:
    Access to electronic records is restricted to authorized personnel 
who have been issued non-transferrable access codes and passwords. 
Other records are maintained in locked file cabinets or rooms.

Retention and Disposal:
    Records are retained in accordance with the OCC's records 
management policies and National Archives and Records Administration 
regulations.

System Manager and Address:
    Director for Ombudsman Operation, CAG Remedy System Owner, Office 
of the Comptroller of the Currency, 250 E Street SW., Washington, DC 
20219-0001.

Notification Procedure:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Mailstop 2-3, Office of the Comptroller of the Currency, 250 E Street, 
SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix 
J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identity, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.
    Additional documentation establishing identity or qualification for

Page 20116

notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

Record Access Procedures:
    See ``Notification Procedure'' above.

Contesting Record Procedures:
    See ``Notification Procedure'' above.

Record Source Categories:
    Non-exempt information maintained in this system is obtained from 
individuals and entities filing complaints and inquiries, other 
governmental authorities, and OCC-regulated entities that are the 
subjects of complaints and inquiries.

Exemptions Claimed for the System:
    Records maintained in this system have been designated as exempt 
from 5 U.S.C. 552a(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). See 31 CFR 1.36.
TREASURY/CC .700

System Name:
    Correspondence Tracking System--Treasury/Comptroller.

System Location:
    Office of the Comptroller of the Currency (OCC), Office of Chief 
Counsel, 250 E Street, SW., Washington, DC 20219-0001. Components of 
this record system are maintained in the Comptroller of the Currency's 
Office and the Chief Counsel's Office.

Categories of Individuals Covered by the System:
    Individuals covered by this system are those whose correspondence 
is submitted to the Comptroller of the Currency or the Chief Counsel.

Categories of Records in the System:
    Records maintained in this system may contain the names of 
individuals who correspond with the OCC, information concerning the 
subject matter of the correspondence, correspondence disposition 
information, correspondence tracking dates, and internal office 
assignment information. Supporting records may contain correspondence 
between the OCC and the individual.

Authority for Maintenance of the System:
    12 U.S.C. 1; 5 U.S.C. 301.

Purpose:
    This system of records is used by the OCC to track the Comptroller 
of the Currency's or the Chief Counsel's correspondence, including the 
progress and disposition of the OCC's response.

Routine Uses of Records Maintained in the System, Including Categories 
of Users and the Purposes of Such Uses:
    Information maintained in this system may be disclosed to:
    (1) The OCC-regulated entity involved in correspondence;
    (2) Third parties to the extent necessary to obtain information 
that is relevant to the response;
    (3) Appropriate governmental or self-regulatory organizations when 
the OCC determines that the records are relevant and necessary to the 
governmental or self-regulatory organization's regulation or 
supervision of financial service providers;
    (4) An appropriate governmental, tribal, self-regulatory, or 
professional organization if the information is relevant to a known or 
suspected violation of a law or licensing standard within that 
organization's jurisdiction;
    (5) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (6) A congressional office when the information is relevant to an 
inquiry made at the request of the individual about whom the record is 
maintained;
    (7) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity;
    (8) Third parties when mandated or authorized by statute, or
    (9) 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.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System:
Storage:
    Records maintained in this system are stored electronically and in 
file folders.

Retrievability:
    Records maintained in this system may be retrieved by the name of 
an individual covered by the system.

Safeguards:
    Access to electronic records is restricted to authorized personnel 
who have been issued non-transferable access codes and passwords. Other 
records are maintained in locked file cabinets or rooms.

Retention and Disposal:
    Electronic and other records are retained in accordance with the 
OCC's records management policies and National Archives and Records 
Administration regulations.

System Managers and Addresses:
    Executive Assistant to the Comptroller, Office of the Comptroller 
of the Currency, 250 E Street SW., Washington, DC 20219-0001. Special 
Assistant to the Chief Counsel, Office of the Comptroller of the 
Currency, 250 E Street SW., Washington, DC 20219-0001.

Notification Procedure:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Mailstop 2-3, Office of the Comptroller of the Currency, 250 E Street 
SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix 
J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature (such as credit cards). Alternatively, 
identity may be established by providing a notarized statement, 
swearing or affirming to an individual's identity, and to the fact that 
the individual understands the penalties

Page 20117

provided in 5 U.S.C. 552a(i)(3) for requesting or obtaining information 
under false pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

Record Access Procedures:
    See ``Notification Procedure'' above.

Contesting Record Procedures:
    See ``Notification Procedure'' above.

Record Source Categories:
    Information maintained in this system is obtained from individuals 
who submit correspondence and OCC personnel.

Exemptions Claimed for the System:
    None.
TREASURY/OTS .002

System name:
    Correspondence/Correspondence Tracking.

System location:
    Office of the Comptroller of the Currency, 250 E Street SW., 
Washington, DC 20219.

Categories of individuals covered by the system:
    White House and Executive Office of the President officials, 
Members of Congress, Treasury Department officials, the general public, 
and businesses.

Categories of records in the system:
    Incoming correspondence addressed to the Director of OTS, letters 
from members of Congress transmitting letters from constituents or 
making inquiries, OTS responses, OTS memoranda and notes used to 
prepare responses, and information concerning internal office 
assignments, processing, and responses to the correspondence.

Purpose(s):
    To maintain written records of correspondence addressed to the 
Director of OTS and congressional correspondence; to track the progress 
of the response; and to document the completion of the response to the 
incoming correspondence.

Routine uses of records maintained in the system, including categories 
of users and the purpose of such uses:
    Information in these records may be used to:
    (1) Make disclosures to a congressional office from the records of 
an individual in response to an inquiry made at the request of the 
individual to whom the record pertains;
    (2) Disclose information to the appropriate governmental agency 
charged with the responsibility of administering law or investigating 
or prosecuting violations of law or charged with enforcing or 
implementing a statute, rule, regulation, order, or license;
    (3) Disclose information in civil, criminal, administrative or 
arbitration proceedings before a court, magistrate, administrative or 
arbitration tribunal, in the course of pre-trial discovery, motions, 
trial, appellate review, or in settlement negotiations, when OTS, the 
Director of OTS, an OTS employee, the Department of the Treasury, the 
Secretary of the Treasury, or the United States is a party or has an 
interest in or is likely to be affected by such proceeding and an OTS 
attorney determines that the information is arguably relevant to that 
proceeding;
    (4) Disclose relevant information to the Department of Justice, 
private counsel, or an insurance carrier for the purpose of defending 
an action or seeking legal advice, to assure that the agency and its 
employees receive appropriate representation in legal proceedings;
    (5) Disclose information to the 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.

Policies and practices for storing, retrieving, accessing, retaining, 
disposing of records in the system:
Storage:
    Records are maintained in electronic media and in paper files.

Retrievability:
    Records are maintained by name of individual; assignment control 
number.

Safeguards:
    Access to paper records is limited to authorized personnel with a 
direct need to know. Some paper records are maintained in locked file 
cabinets in a secured office with access limited to those personnel 
whose official duties require access. Access to computerized records is 
limited, through the use of a password, to those whose official duties 
require access.

Retention and disposal:
    Computerized records relating to non-congressional correspondence 
are retained for two (2) years after the Director's term. Computerized 
records relating to congressional correspondence are kept permanently. 
Paper records are retained for two (2) years after the Director's or 
member of Congress' term, then transferred directly to the National 
Archives.

System manager(s) and address:
    Executive Assistant to the Comptroller, Office of the Comptroller 
of the Currency, 250 E Street SW., Washington, DC 20219-0001. Special 
Assistant to the Chief Counsel, Office of the Comptroller of the 
Currency, 250 E Street SW., Washington, DC 20219-0001.

Notification Procedure:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Mailstop 2-3, Office of the Comptroller of the Currency, 250 E Street 
SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix 
J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identity, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.

Page 20118

    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

Record Access Procedures:
    See ``Notification Procedure'' above.

Contesting Record Procedures:
    See ``Notification Procedure'' above.

Record source categories:
    Congressional letters and responses from a Member of Congress and/
or a constituent.

Exemptions claimed for the system:
    None.
TREASURY/OTS .003

System name:
    OTS Consumer Complaint System.

System location:
    Office of the Comptroller of the Currency, 250 E St. SW., 
Washington, DC, 20219.

Categories of individuals covered by the system:
    Persons who submit inquiries or complaints concerning Federally 
insured depository institutions, service corporations, and 
subsidiaries.

Categories of records in the system:
    Consumer's name, savings association's docket number, case number 
as designated by a Consumer Complaint Case number. Within these 
categories of records, the following information may be obtained: 
consumer's address, source of inquiry or complaint, nature of the 
inquiry or complaint, nature of the inquiry or complaint designated by 
instrument and complaint code, information on the investigation and 
resolution of inquiries and complaints.

Authority for maintenance of the system:
    15 U.S.C. 57a(f), 5 U.S.C. 301.

Purpose(s).
    OTS uses this system to track individual complaints and to provide 
additional information about each institution's compliance with 
regulatory requirements.

Routine uses of records maintained in the system, including categories 
of users and the purpose of such uses:
    Information in these records may be used to:
    (1) Disclose information to officials of regulated savings 
associations in connection with the investigation and resolution of 
complaints and inquiries;
    (2) Make relevant information available to appropriate law 
enforcement agencies or authorities in connection with the 
investigation and/or prosecution of alleged civil, criminal, and 
administrative violations;
    (3) Disclose information to a congressional office in response to 
an inquiry made at the request of the individual to whom the record 
pertains;
    (4) Disclose information to other Federal and nonfederal 
governmental supervisory or regulatory authorities when the subject 
matter is within such other agency's jurisdiction;
    (5) Disclose information in civil, criminal, administrative or 
arbitration proceedings before a court, magistrate, administrative or 
arbitration tribunal, in the course of pre-trial discovery, motions, 
trial, appellate review, or in settlement negotiations, when OTS, the 
Director of OTS, an OTS employee, the Department of the Treasury, the 
Secretary of the Treasury, or the United States is a party or has an 
interest in or is likely to be affected by such proceeding and an OTS 
attorney determines that the information is arguably relevant to that 
proceeding;
    (6) Disclose relevant information to the Department of Justice, 
private counsel, or an insurance carrier for the purpose of defending 
an action or seeking legal advice, to assure that the agency and its 
employees receive appropriate representation in legal proceedings;
    (7) Disclose information to the 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.

Policies and practices for storing, retrieving, accessing, retaining, 
disposing of records in the system:
Storage:
    Records are maintained in paper files and on electronic media.

Retrievability:
    By name of individual, complaint case number, savings association 
name, docket number, region complaint code, instrument code, source 
code, or by some combination thereof.

Safeguards:
    Paper records are maintained in locked file cabinets with access 
limited to those personnel whose official duties require access. Access 
to computerized records is limited, through use of the system 
passwords, to those whose official duties require access.

Retention and disposal:
    Active paper files are maintained until the case is closed. Closed 
files are retained six (6) years then destroyed.

System manager(s) and address:
    Ombudsman, Office of the Comptroller of the Currency, 250 E St. 
SW., Washington, DC 20219.

Notification procedure:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Mailstop 2-3, Office of the Comptroller of the Currency, 250 E Street 
SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix 
J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identity, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

Record Access Procedures:
    See ``Notification Procedure'' above.

Page 20119

Contesting Record Procedures:
    See ``Notification Procedure'' above.

Record source categories:
    Inquirer or complainant (or his or her representative which may 
include a member of Congress or an attorney); savings association 
officials and employees; compliance/safety and soundness examiner(s); 
and other supervisory records.

Exemptions claimed for the system:
    None.
TREASURY/OTS .006

System name:
    Employee Locator File.

System location:
    Office of the Comptroller of the Currency, 250 E Street SW., 
Washington, DC 20219.

Categories of individuals covered by the system:
    Employees of the former OTS and persons whose employment has been 
terminated within the last six months. This system is being maintained 
by the OCC for historical purposes. The OCC will not be adding any 
records to the system.

Categories of records in the system:
    Employee's name, present address, telephone number, and the name, 
address, and telephone number of another person to notify in case of 
emergency.

Authority for maintenance of the system:
    5 U.S.C. 301, 44 U.S.C. 3101.

Purpose(s):
    This system provides current information on employee's address and 
emergency contact person.

Routine uses of records maintained in the system, including categories 
of users and the purpose of such uses:
    Information in these records may be used to:
    (1) Disclose information to a congressional office in response to 
an inquiry made at the request of the individual to whom the record 
pertains;
    (2) Provide information to medical personnel in case of an 
emergency;
    (3) Disclose information in civil, criminal, administrative or 
arbitration proceedings before a court, magistrate, administrative or 
arbitration tribunal, in the course of pre-trial discovery, motions, 
trial, appellate review, or in settlement negotiations, when OTS, the 
Director of OTS, an OTS employee, the Department of the Treasury, the 
Secretary of the Treasury, or the United States is a party or has an 
interest in or is likely to be affected by such proceeding and an OTS 
attorney determines that the information is arguably relevant to that 
proceeding;
    (4) Disclose relevant information to the Department of Justice, 
private counsel, or an insurance carrier for the purpose of defending 
an action or seeking legal advice, to assure that the agency and its 
employees receive appropriate representation in legal proceedings;
    (5) Disclose information to the 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.

Policies and practices for storing, retrieving, accessing, retaining, 
disposing of records in the system:
Storage:
    Records are maintained on electronic media.

Retrievability:
    Records are filed by name of individual.

Safeguards:
    System access is limited to those personnel whose official duties 
require such access and who have a need to know information in a record 
for a particular job-related purpose. Access to computerized records is 
limited, through use of a password, to those whose official duties 
require access.

Retention and disposal:
    Records are maintained until termination of employee's employment 
with OTS. After termination, records are retained for six months then 
destroyed.

System manager(s) and address:
    Director for Thrift Supervision Application Delivery, 400 7th 
Street SW., Washington, DC 20024

Notification procedure:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Mailstop 2-3, Office of the Comptroller of the Currency, 250 E Street 
SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix 
J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identity, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

Record Access Procedures:
    See ``Notification Procedure'' above.

Contesting Record Procedures:
    See ``Notification Procedure'' above.

Record source categories:
    The individual whose record is being maintained.

Exemptions claimed for the system:
    None.
TREASURY/OTS .012

System name:
    Payroll/Personnel System & Payroll Records.

System location:
    Office of the Comptroller of the Currency, 250 E Street SW., 
Washington, DC 20219.

Categories of individuals covered by the system:
    This is a legacy OTS system. It contains information about 
individuals

Page 20120

who were formerly employed by the OTS and may or may not now be 
employed by the OCC. The records being maintained are available for 
read access only and for historical purposes.

Categories of records in the system:
    Information pertaining to (1) employee status, grade, salary, pay 
plan, hours worked, hours of leave taken and earned, hourly rate, gross 
pay, taxes, deductions, net pay, location, and payroll history; (2) 
employee's residence, office, social security number, and address; (3) 
Personnel actions (SF-50), State employees' withholding exemption 
certificates, Federal employees' withholding allowance certificates 
(W4), Bond Allotment File (SF-1192), Federal Employee's Group Life 
Insurance (SF-2810 and 2811), Savings Allotment-Financial Institutions, 
Address File (OTS Form 108), Union Dues Allotment, time and attendance 
reports, individual retirement records (SF-2806), Combined Federal 
Campaign allotment, direct deposit, health benefits, and thrift 
investment elections to either the Federal Thrift Savings Plan (TSP-1) 
or OTS's Financial Institutions Thrift Plan (FITP-107 and K 1-2).

Authority for maintenance of the system:
    5 U.S.C. 301, 44 U.S.C. 3101.

Purpose(s):
    Provided all the key personnel and payroll data for each employee 
which is required for a variety of payroll and personnel functions.

Routine uses of records maintained in the system, including categories 
of users and the purpose of such uses:
    (1) In the event that records maintained in this system of records 
indicate a violation or potential violation of law, whether civil, 
criminal or regulatory in nature, and whether arising by general 
statute or particular program statute, or by regulation, rule or order 
pursuant thereto, the relevant records in the system of records may be 
referred, as a routine use, to the appropriate agency, whether Federal, 
State, local, or foreign, charged with the responsibility of 
implementing the statute, or rule or regulation or order issued 
pursuant thereto.
    (2) A record from this system may be disclosed to other Federal 
agencies and the Office of Personnel Management if necessary for or 
regarding the payment of salaries and expenses incident to employment 
at the Office of Thrift Supervision or other Federal employment, or the 
vesting, computation, and payment of retirement or disability benefits.
    (3) A record from this system may be disclosed if necessary to 
support the assessment, computation, and collection of Federal, State, 
and local taxes, in accordance with established procedures.
    (4) Disclosure of information may be made to a congressional office 
in response to an inquiry made at the request of the individual to whom 
the record pertains.
    (5) Records from this system may be disclosed to the Office of 
Child Support Enforcement, Administration for Children and Families, 
Department of Health and Human Services, for the purpose of locating 
individuals to establish paternity, establishing and modifying orders 
of child support, identifying sources of income, and for other support 
enforcement actions as required by the Personal Responsibility and Work 
Opportunity Reconciliation Act (Welfare Reform Law, Pub. L. 104-193).
    (6) Information from these records may be disclosed in civil, 
criminal, administrative or arbitration proceedings before a court, 
magistrate, administrative or arbitration tribunal, in the course of 
pre-trial discovery, motions, trial, appellate review, or in settlement 
negotiations, when OTS, the Director of OTS, an OTS employee, the 
Department of the Treasury, the Secretary of the Treasury, or the 
United States is a party or has an interest in or is likely to be 
affected by such proceeding and an OTS attorney determines that the 
information is arguably relevant to that proceeding.
    (7) Relevant information may be disclosed to the Department of 
Justice, private counsel, or an insurance carrier for the purpose of 
defending an action or seeking legal advice, to assure that the agency 
and its employees receive appropriate representation in legal 
proceedings.
    (8) Information may be disclosed to respond to State and local 
authorities in connection with garnishment proceedings;
    (9) Information may be disclosed to private creditors for the 
purpose of garnishment of wages of an employee if the debt has been 
reduced to a judgment.
    (10) Information may be disclosed to the 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.

Policies and practices for storing, retrieving, accessing, retaining, 
disposing of records in the system:
Storage:
    Records are maintained on electronic media, microfiche, and in 
paper files.

Retrievability:
    Records are filed by individual name, social security number and by 
office.

Safeguards:
    Paper and microfiche records are maintained in secured offices and 
access is limited to personnel whose official duties require such 
access and who have a need to know the information in a record for a 
particular job-related purpose. Access to computerized records is 
limited, through the use of a password, to those whose official duties 
require access.

Retention and disposal:
    Records are retained and disposed of in accordance with National 
Archives and Records Administration Approved Records Schedules.

System manager(s) and address:
    Director for Accounting, Office of the Comptroller of the Currency, 
250 E Street SW., Washington, DC 20219.

Notification procedure:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Mailstop 2-3, Office of the Comptroller of the Currency, 250 E Street 
SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix 
J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport

Page 20121

or identification badge) or two items of identification that bear both 
a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identity, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

Record Access Procedures:
    See ``Notification Procedure'' above.

Contesting Record Procedures:
    See ``Notification Procedure'' above.

Record source categories:
    Personnel and payroll records of current and former employees.

Exemptions claimed for the system:
    None.
TREASURY/OTS .013

System Name:
    Mass Communication System.

System Location:
    The system is hosted at a contractor site in Burbank, California. 
The address of the contractor may be obtained by writing to the system 
manager below.

Categories of Individuals Covered:
    All employees of The Office of the Comptroller of the Currency.

Categories of Records in the System:
    Employee's name, home phone number, personal cell phone number, 
personal email address, official business phone number, official 
business email address, official business cell phone number.

Authority for Maintenance of the System:
    Executive Order 12148, Federal Emergency Management.

Purpose:
    The OCC Security Office will use the Mass Communication System to 
communicate with OCC personnel during and after local, regional or 
national emergency events, communicate with staff during and after 
security incidents, disseminate time sensitive information to staff, 
provide Human Resources and OCC Leadership with employee accountability 
status during emergency events, and conduct communication tests. The 
system is a managed service that is hosted at a contractor site. The 
system will allow Security staff and other authorized individuals to 
send messages to the OCC workforce and receive confirmation back from 
staff in order to help senior management assess the availability of 
staff during times of emergency. Employees have the right to decline to 
provide personal information, however, their official business contact 
information is entered into the system through an automated upload.

Routine Uses of Records Maintained in the system, including categories 
of users and the purpose of such uses:
    Information in these records may be used to:
    (1) Make disclosures to a congressional office from the records of 
an individual in response to an inquiry made at the request of the 
individual to whom the record pertains;
    (2) Representatives of the National Archives and Records 
Administration (NARA) who are conducting records management inspections 
under authority of 44 U.S.C. 2904 and 2906.
    (3) A contractor for the purpose of full filling a contract, 
compiling, organizing, analyzing, programming, or otherwise refining 
records to accomplish an agency function subject to the same 
limitations applicable to U.S. Department of Treasury officers and 
employees under the Privacy Act.
    (4) Disclose information to the 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.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System:
Storage:
    Records are maintained in electronic format at the service 
provider's site.

Retrievability:
    Records are retrieved by OCC office and individual name.

Safeguards:
    Safeguards in place to prevent misuse of data include: role-based 
user access, the use of user ID and authorization code to access the 
Web site, monitoring of application access and database access, 
encryption of passwords stored in the database, and physical access 
controls to the building housing the system.

Retention and Disposal:
    Records are retained and disposed of in accordance with National 
Archives and Records Administration General Records Schedules.

System Manager(s) and Address:
    Assistant Director of Critical Infrastructure Protection & 
Security, 250 E St. SW., Washington, DC 20219.

Notification procedure:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Mailstop 2-3, Office of the Comptroller of the Currency, 250 E Street 
SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix 
J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identity, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

Record Access Procedures:
    See ``Notification Procedure'' above.

Page 20122

Contesting Record Procedures:
    See ``Notification Procedure'' above.

Record Source Categories:
    Non-exempt information maintained in this system is obtained from 
OCC personnel, OCC-regulated entities, other federal financial 
regulatory agencies, and criminal law enforcement authorities.

Exemptions claimed for the system:
    None.
TREASURY/OTS .015

System Name:
    Retiree Billing System.

System Location:
    Office of the Comptroller of the Currency, 250 E St. SW., 
Washington, DC 20219.

Categories of Individuals Covered:
    Former OTS Financial Institutions Retirement Fund (FIRF) retirees 
and OTS employees retiring under the Civil Service Retirement System or 
the Federal Employees Retirement System and who participate in the OTS-
sponsored life insurance plan.

Categories of Records in the System:
    Former OTS employee retirees' names, home phone numbers, mailing 
addresses, email addresses, and bank account numbers.

Authority for Maintenance of the System:
    Title 12 U.S.C. 1462a (h).

Purpose:
    The OTS Retiree Billing system was used to bill insurance premiums 
to both Financial Institutions Retirement Fund (FIRF) employees and 
employees who retired from OTS and had the OTS sponsored life 
insurance. The system is used by Payroll Accounting Specialists in the 
Human Resources office. Retiree name and bank account information was 
shared with the Financial Management Services (FMS), which is another 
bureau of the Treasury Department, so that retirees could be properly 
billed for health/insurance premiums. FMS provided Automated Clearing 
House (ACH) debit services on behalf of OTS; OTS provides FMS with 
retiree information so that FMS could perform a debit on the bank 
account of the retiree for the funds owed to OTS and deposit the money 
into an OTS account. This system is now maintained only for historical 
search purposes.

Routine Uses of Records Maintained in the system, including categories 
of users and the purpose of such uses:
    Information in these records may be used to:
    (1) Make disclosures to a congressional office from the records of 
an individual in response to an inquiry made at the request of the 
individual to whom the record pertains;
    (2) Representatives of the National Archives and Records 
Administration (NARA) who are conducting records management inspections 
under authority of 44 U.S.C. 2904 and 2906.
    (3) A contractor for the purpose of full filling a contract, 
compiling, organizing, analyzing, programming, or otherwise refining 
records to accomplish an agency function subject to the same 
limitations applicable to U.S. Department of Treasury officers and 
employees under the Privacy Act.
    (4) Disclose information to the 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.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System:
Storage:
    Records are maintained in electronic and paper format.

Retrievability:
    Records are retrieved by retirees' names or social security 
numbers.

Safeguards:
    Safeguards in place to prevent misuse of data include: role-based 
user access, the use of userid and authorization code to access the 
system, and locking paper files when not in use.

Retention and Disposal:
    Records are retained and disposed of in accordance with National 
Archives and Records Administration General Records Schedules.

System Manager(s) and Address:
    Director, Compensation and Benefits, Office of Human Resources, 250 
E St. SW., Washington, DC 20219.

Notification procedure:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Mailstop 2-3, Office of the Comptroller of the Currency, 250 E Street 
SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix 
J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identity, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

Record Access Procedures:
    See ``Notification Procedure'' above.

Contesting Record Procedures:
    See ``Notification Procedure'' above.

Record source categories:
    OTS retirees and OTS payroll and personnel systems.

Exemptions claimed for the system:
    None.

[FR Doc. 2012-7950 Filed 4-2-12; 8:45 am]
BILLING CODE 4810-33-P


Last Updated: 4/3/2012 3:45 PM

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