[Federal Register: July 18, 2008 (Volume 73, Number 139)]
[Notices]
[Page 41402-41414]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr18jy08-135]
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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 amendment to Treasury/CC.600--
Consumer Complaint and Inquiry Information System that was published on
October 18, 2006, at 71 FR 61538. Other changes throughout the document
are editorial in nature and consist principally of revising address
information and minor editorial changes. The systems of records were
last published in their entirety on July 11, 2005, at 70 FR 39853-
39864.
On May 22, 2007, the Office of Management and Budget (OMB) issued
Memorandum M-07-16 entitled ``Safeguarding Against and Responding to
the Breach of Personally Identifiable Information.'' It required
agencies to publish a routine use providing for a breach remediation as
recommended by the President's Identity Theft Task Force. As part of
that effort, the Department published a notice of a proposed routine
use on October 3, 2007, at 72 FR 56434, and it was effective on
November 13, 2007. The new routine use has been added and is reflected
in each OCC systems of records notices below.
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
June 3, 2008. The systems notices are reprinted in their entirety
following the Table of Contents.
Dated: July 11, 2008.
Elizabeth Cuffe,
Deputy Assistant Secretary for Privacy and Treasury 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--Section 914 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
[[Page 41403]]
Treasury/Comptroller .100
System Name:
Enforcement Action Report System--Treasury/Comptroller.
System Location:
Office of the Comptroller of the Currency (OCC), Enforcement and
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 Disclosure Officer, Communications Division, 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
[[Page 41404]]
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 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/Comptroller .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 Disclosure Officer, Communications Division, Office of the
Comptroller of the Currency, 250 E Street, SW., Washington, DC 20219-
0001. See 31 CFR part 1, subpart C, Appendix J.
[[Page 41405]]
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
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/Comptroller .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
[[Page 41406]]
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, D.C.
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 Disclosure Officer, Communications Division, 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/Comptroller .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
[[Page 41407]]
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, 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 Disclosure Officer, Communications Division, 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/Comptroller .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, a District of
Columbia bank operating under the OCC's regulatory authority, or a
department or division of any such bank 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, 481, 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
and District of Columbia banks 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;
[[Page 41408]]
(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 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 the Disclosure Officer, Communications Division, 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/Comptroller .220
System Name:
Section 914 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 under 12 CFR 5.51 as proposed directors or senior
executive officers of national banks, District of Columbia banks
operating under the OCC's regulatory authority, or federal branches of
foreign banks (OCC-regulated entities). OCC-regulated entities file
notices if they:
(1) Have a composite rating of 4 or 5 under the Uniform Financial
Institutions Rating System;
(2) Are subject to cease and desist orders, consent orders, or
formal written agreements;
(3) Have been determined by the OCC to be in ``troubled
condition;''
(4) Are not in compliance with minimum capital requirements
prescribed under 12 CFR Part 3; or
(5) Have been advised by the OCC, in connection with its review of
an entity's capital restoration plan, that such filings are
appropriate.
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 pursuant to 5 CFR 5.51; the names,
addresses, dates of birth, and social security numbers of individuals
proposed as either directors or senior executive officers; and the
actions taken by the OCC in connection with these notices.
Authority for Maintenance of the System:
12 U.S.C. 1, 27, 93a, 481, 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 OCC-regulated entity in connection with review and action on
a notice filed by that entity pursuant to 12 CFR 5.51;
(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 12 CFR 5.51;
(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
[[Page 41409]]
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:
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 records maintained in this system must submit a written request
to the Disclosure Officer, Communications Division, 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.
552a(k)(2). See 31 CFR 1.36.
Treasury/Comptroller .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 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 electronic security 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
[[Page 41410]]
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 Disclosure Officer, Communications Division, 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/Comptroller .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, 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
[[Page 41411]]
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 Disclosure Officer, Communications Division, 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/Comptroller .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.
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;
[[Page 41412]]
(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 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.
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 Disclosure Officer, Communications Division, 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/Comptroller .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.
Categories of Individuals Covered by the System:
Individuals covered by this system are individuals who submit
complaints or inquiries about national banks, District of Columbia
banks 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.
[[Page 41413]]
Authority for Maintenance of the System:
12 U.S.C. 1, 481, 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:
Ombudsman, Office of the Comptroller of the Currency, 1301 McKinney
Street, Suite 3450, Houston, TX 77010-3034.
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 Disclosure Officer, Communications Division, 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 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/Comptroller .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.
[[Page 41414]]
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 Disclosure Officer, Communications Division, 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 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.
[FR Doc. E8-16462 Filed 7-17-08; 8:45 am]
BILLING CODE 4810-33-P