Privacy Act of 1974, as Amended; System of Records, 31103-31110 [E9-15230]

Download as PDF Federal Register / Vol. 74, No. 123 / Monday, June 29, 2009 / Notices RECORD ACCESS PROCEDURES: See ‘‘Notification procedure’’ above. RECORD SOURCE CATEGORIES: See ‘‘Notification procedure’’ above. CONTESTING RECORD PROCEDURES: See ‘‘Notification procedure’’ above. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. [FR Doc. E9–15229 Filed 6–26–09; 8:45 am] BILLING CODE 4810–39–P DEPARTMENT OF THE TREASURY Office of Thrift Supervision Privacy Act of 1974, as Amended; System of Records Systems Covered by this Notice Office of Thrift Supervision, Treasury. ACTION: Notice of systems of records. sroberts on PROD1PC70 with NOTICES AGENCY: SUMMARY: In accordance with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a, the Office of Thrift Supervision (OTS), Treasury, is publishing its inventory of 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 OTS 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 also incorporates the alterations to six OTS systems of records published on April 18, 2007, at 72 FR 19580. Other changes throughout the document are editorial in nature and consist principally of changes to system locations (Appendix A) and system manager addresses and or titles in several systems of records. In addition, OTS no longer retrieves records contained in OTS .008—Employee Training Database by social security number. The systems of records notices were last published in their entirety on July 15, 2005, at 70 FR 41085. On May 22, 2007, the Office of Management and Budget (OMB) issued Memorandum M–07–16 entitled ‘‘Safeguarding Against and Responding to the Breach of Personally Identifiable Information.’’ It required agencies to publish the routine use recommended by the President’s Identity Theft Task Force. As part of that effort, the Department of the Treasury (Department) published the notice of the proposed routine use on October 3, 2007, at 72 FR 56434, and it was effective on November 13, 2007. The VerDate Nov<24>2008 19:07 Jun 26, 2009 Jkt 217001 new routine use has been added to each OTS system of records 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)). OTS has leveraged this requirement to incorporate the review of its current holding of personally identifiable information required by M–07–16. With respect to its inventory of Privacy Act systems of records, OTS has determined that the information contained in its systems of records is accurate, timely, relevant, complete, and is the minimum necessary to maintain the proper performance of a documented agency function. This notice covers all systems of records adopted by the Office of Thrift Supervision up to October 24, 2008. The systems notices are reprinted in their entirety following the Table of Contents. Dated: June 23, 2009. Elizabeth Cuffe, Deputy Assistant Secretary for Privacy and Treasury Records. Office of Thrift Supervision Table of Contents OTS .001—Confidential Individual Information System OTS .002—Correspondence/Correspondence Tracking OTS .003—Consumer Complaint OTS .004—Criminal Referral Database OTS .005—Employee Counseling Service OTS .006—Employee Locator File OTS .008—Employee Training Database OTS .011—Positions/Budget OTS .012—Payroll/Personnel Systems & Payroll Records OTS Appendix A— Addresses of OTS Regional Offices TREASURY/OTS .001 SYSTEM NAME: Confidential Individual Information System—Treasury/OTS. SYSTEM LOCATION: Enforcement Division, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552. Computerized records of Suspicious Activity Reports (SAR), with status updates, are managed by FinCEN pursuant to a contractual agreement, and are stored at the Internal Revenue Service’s Computing Center in Detroit, Michigan. Authorized personnel at the Federal financial regulatory agencies have on-line access to the computerized database managed by FinCEN through individual work stations that are linked to the database central computer. PO 00000 Frm 00104 Fmt 4703 Sfmt 4703 31103 CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Directors, officers, employees, agents, borrowers, and persons participating in the conduct of the affairs of entities regulated by OTS who have been involved in suspected criminal activity or suspicious financial transactions and referred to law enforcement officials; and other individuals who have been involved in irregularities, violations of law, or unsafe or unsound practices referenced in documents received by OTS in the exercising of its supervisory functions. These records also contain information concerning individuals who have filed notices of intention to acquire control of a savings association, controlling persons of companies that have applications to acquire control of a savings association, and organizers of savings associations who have sought Federal Savings and Loan Insurance Corporation (FSLIC) or Saving Association Insurance Fund (SAIF) insurance of accounts or Federal charters. CATEGORIES OF RECORDS IN THE SYSTEM: Application information and interagency and intra-agency correspondence, memoranda, and reports. The SAR contains information identifying the financial institution involved, the suspected person, the type of suspicious activity involved, the amount of loss known, and any witnesses. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 12 U.S.C. 1464; 44 U.S.C. 3101. PURPOSE(S): The overall system serves as a central historical OTS repository for investigatory or enforcement information related to the responsibility of OTS to examine and supervise savings associations. It also serves to store information on applicants to acquire, control, or insure a savings association in connection with OTS’s regulatory responsibilities. The system maintained by FinCEN serves as the database for the cooperative storage, retrieval, analysis, and use of information relating to Suspicious Activity Reports made to or by the Federal financial regulatory agencies and FinCEN to various law enforcement agencies for possible criminal, civil or administrative proceedings based on known or suspected violations affecting or involving persons, financial institutions, or other entities under the supervision or jurisdiction of such Federal financial regulatory agencies. E:\FR\FM\29JNN1.SGM 29JNN1 31104 Federal Register / Vol. 74, No. 123 / Monday, June 29, 2009 / Notices efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm. INFORMATION IN THESE RECORDS MAY BE USED TO: sroberts on PROD1PC70 with NOTICES ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: (1) Provide the Department of Justice with periodic reports on the number, amount, individual identity and other details concerning outstanding potential criminal violations of the law that have been referred to the Department; (2) Provide the Federal financial regulatory agencies and FinCEN with information relevant to their operations; (3) Provide information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to the investigation; (4) Provide information or records to any appropriate governmental agency or self-regulatory organization 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, policy, or license; (5) Disclose, when considered appropriate, information to a bar association, or other professional organizations performing similar functions, for possible disciplinary action; (6) Disclose information, when appropriate, to international and foreign governmental authorities in accordance with law and formal or informal international agreements; (7) Provide information to any person with whom OTS contracts to reproduce, by typing, photocopying or other means, any record within this system for use by OTS and its staff in connection with their official duties, or to any person who is utilized by OTS to perform clerical or stenographic functions relating to the official business of OTS; (8) 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 VerDate Nov<24>2008 19:07 Jun 26, 2009 Jkt 217001 STORAGE: EXEMPTIONS CLAIMED FOR THE SYSTEM: This system is exempt from 5 U.S.C. 552a(c)(3), (c)(4), (d)(1), (d)(2), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (f) and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). See 31 CFR 1.36. Records are maintained on electronic media and in paper files. TREASURY/OTS .002 RETRIEVABILITY: Computer output and file folders are retrievable by indexes of data fields, including name of financial institution and individual’s name. Correspondence/Correspondence Tracking. SYSTEM LOCATION: SAFEGUARDS: Paper files are stored in lockable metal file cabinets with access limited to authorized individuals. Computer disks maintained at OTS are accessed only by authorized personnel. The database maintained by FinCEN complies with applicable security requirements of the Department of the Treasury. On-line access to the information in the database is limited to authorized individuals, and each individual has been issued a nontransferable identifier or password. RETENTION AND DISPOSAL: Records are periodically updated to reflect changes and maintained as long as needed. Records are eligible to be destroyed after 15 years. SYSTEM MANAGER(S) AND ADDRESSES: Deputy Chief Counsel, Enforcement, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552. NOTIFICATION PROCEDURE: The system is exempt from notification and record-access requirements and requirements that an individual be permitted to contest its contents under 5 U.S.C. 552a(j)(2) and (k)(2) as relating to investigatory material compiled for law enforcement purposes. RECORD ACCESS PROCEDURE: See ‘‘Notification procedure’’ above. CONTESTING RECORD PROCEDURES: See ‘‘Notification procedure’’ above. RECORD SOURCE CATEGORIES: Suspicious activity reports and related historical information and updating forms compiled by financial institutions, OTS, and other Federal financial regulatory agencies for law enforcement purposes. OTS will also include information from applicants, inter-agency and intra-agency correspondence, memoranda, and reports. PO 00000 Frm 00105 Fmt 4703 Sfmt 4703 SYSTEM NAME: Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552. 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 E:\FR\FM\29JNN1.SGM 29JNN1 Federal Register / Vol. 74, No. 123 / Monday, June 29, 2009 / Notices 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. 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: NOTIFICATION PROCEDURE: Individuals wishing to be notified if they are named in this system or to gain access to records maintained in the system must submit a written request that (1) identifies the record system; (2) identifies the category and type of records sought; and (3) provides (i) a signature, (ii) an address, and (iii) one other item of identification such as a photocopy of a driver’s license or other official document bearing the individual’s signature. See 31 CFR part 1, subpart C, Appendix L. Address inquiries to FOIA Office, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552. RECORDS ACCESS PROCEDURE: 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 STORAGE: SYSTEM NAME: Records are maintained in electronic media and in paper files. RETRIEVABILITY: Records are maintained by name of individual; assignment control number. SAFEGUARDS: sroberts on PROD1PC70 with NOTICES 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 noncongressional correspondence are retained for two (2) years after the Director’s term. Computerized records relating to congressional VerDate Nov<24>2008 19:07 Jun 26, 2009 Jkt 217001 Consumer Complaint System. SYSTEM LOCATION: Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552. See Appendix A for appropriate local addresses of OTS Regional Offices. 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 PO 00000 Frm 00106 Fmt 4703 Sfmt 4703 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. Managing Director, External Affairs, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, DISPOSING OF RECORDS IN THE SYSTEM: 31105 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 E:\FR\FM\29JNN1.SGM 29JNN1 31106 Federal Register / Vol. 74, No. 123 / Monday, June 29, 2009 / Notices 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. 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. Records are maintained in paper files and on electronic media. SYSTEM NAME: Criminal Referral Database. RETRIEVABILITY: SYSTEM LOCATION: Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552. See Appendix A for appropriate local addresses of OTS Regional Offices. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Individuals suspected of having committed crime(s) and individuals indicted or convicted of crime(s) against or involving savings associations prior to 1996. CATEGORIES OF RECORDS IN THE SYSTEM: Criminal referrals. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 12 U.S.C. 1464; 44 U.S.C. 3101. This system lists matters referred to the Department of Justice for possible criminal proceedings. Director, Consumer and Community Affairs, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552. INFORMATION IN THESE RECORDS MAY BE USED TO: sroberts on PROD1PC70 with NOTICES RECORD ACCESS PROCEDURES: See ‘‘Notification procedure’’ above. VerDate Nov<24>2008 20:04 Jun 26, 2009 Jkt 217001 Records are filed by name of individual, savings institution or referral control number. SAFEGUARDS: Paper records are maintained in locked file cabinets. 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 job-related purpose. RETENTION AND DISPOSAL: Records are maintained in paper form as long as needed for the purpose for which the information was collected. Records will then be disposed of in accordance with applicable law. SYSTEM MANAGER(S) AND ADDRESS: PURPOSE(S): ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES: Individuals wishing to be notified if they are named in this system or to gain access to records maintained in the system must submit a written request that (1) identifies the record system; (2) identifies the category and type of records sought; and (3) provides (i) a signature, (ii) an address, and (iii) one other item of identification such as a photocopy of a driver’s license or other official document bearing the individual’s signature. See 31 CFR part 1, subpart C, Appendix L. Address inquiries to FOIA Office, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: TREASURY/OTS .004 SYSTEM MANAGER(S) AND ADDRESS: NOTIFICATION PROCEDURE: 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. (1) 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; (2) 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 PO 00000 Frm 00107 Fmt 4703 Sfmt 4703 Deputy Chief Counsel, Enforcement, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552. NOTIFICATION PROCEDURE: This system is exempt from notification and record-access requirements and requirements that an individual be permitted to contest its contents under 5 U.S.C. 552a(j)(2) and (k)(2) as relating to investigatory material compiled for law enforcement purposes. RECORDS ACCESS PROCEDURE: See ‘‘Notification procedure’’ above. CONTESTING RECORD PROCEDURES: See ‘‘Notification procedure’’ above. RECORD SOURCE CATEGORIES: Criminal Referral forms compiled for law enforcement purposes. EXEMPTIONS CLAIMED FOR THE SYSTEM: This system is exempt from 5 U.S.C. 552a(c)(3), (c)(4), (d)(1), (d)(2), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (f) and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). See 31 CFR 1.36. E:\FR\FM\29JNN1.SGM 29JNN1 Federal Register / Vol. 74, No. 123 / Monday, June 29, 2009 / Notices TREASURY/OTS .005 RETRIEVABILITY: SYSTEM NAME: Records are retrieved by a number assigned to employee. Employee Counseling Services. SAFEGUARDS: SYSTEM LOCATION: Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552. See Appendix A for appropriate local addresses of OTS Regional Offices. RETENTION AND DISPOSAL: Employees who seek counseling services. CATEGORIES OF RECORDS IN THE SYSTEM: SYSTEM MANAGER(S) AND ADDRESS: Counseling records. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: PURPOSE(S): To provide a history and record of the employee counseling session(s) and to assist the counselor in identifying and resolving employee problem(s). ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES: sroberts on PROD1PC70 with NOTICES (1) This system will have minimal effect on individual privacy because access is limited to the employee counseling program counselor. Under special and emergency circumstances records may be released to medical personnel, research personnel, and as a result of a court order. (2) Information in these records may be used to 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. VerDate Nov<24>2008 19:07 Jun 26, 2009 Jkt 217001 EAP Counselor, 1849 C Street, NW., Room 2453, Washington, DC 20240. NOTIFICATION PROCEDURE: 5 U.S.C. 301, 44 U.S.C. 3101. Individuals wishing to be notified if they are named in this system or to gain access to records maintained in the system must submit a written request that (1) identifies the record system; (2) identifies the category and type of records sought; and (3) provides (i) a signature, (ii) an address, and (iii) one other item of identification such as a photocopy of a driver’s license or other official document bearing the individual’s signature. See 31 CFR part 1, subpart C, Appendix L. Address inquiries to FOIA Office, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552. RECORD ACCESS PROCEDURES: See ‘‘Notification procedure’’ above. CONTESTING RECORD PROCEDURES: See ‘‘Notification procedure’’ above. RECORD SOURCE CATEGORIES: Employees and counselors. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. TREASURY/OTS .006 SYSTEM NAME: Employee Locator File. SYSTEM LOCATION: Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552. See Appendix A for appropriate local addresses of OTS Regional Offices. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: All current employees of the OTS and persons whose employment have been terminated within the last six months. CATEGORIES OF RECORDS IN THE SYSTEM: Employee’s name, present address, telephone number, and the name, address, and telephone number of PO 00000 Frm 00108 another person to notify in case of emergency. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 5 U.S.C. 301, 44 U.S.C. 3101. Records are maintained in locked file cabinet. Access is limited to the employee counselor. Records are retained and disposed of in accordance with the appropriate National Archives and Records Administration General Records Schedules. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: 31107 Fmt 4703 Sfmt 4703 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. E:\FR\FM\29JNN1.SGM 29JNN1 31108 Federal Register / Vol. 74, No. 123 / Monday, June 29, 2009 / Notices 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. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: All employees of the Office of Thrift Supervision. CATEGORIES OF RECORDS IN THE SYSTEM: Individual employee records are maintained by name, course taken, employee identification number, social security number, position, division, and manager name. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 5 U.S.C. 301 and 44 U.S.C. 3101. PURPOSE(S): To maintain necessary information on training taken by employees through internal and external sources. RETENTION AND DISPOSAL: Records are maintained until termination of employee’s employment with OTS. After termination, records are retained for six months then destroyed. 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: SYSTEM MANAGER(S) AND ADDRESS: Assistant Managing Director, HR Programs and Services, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552. NOTIFICATION PROCEDURE: Individuals wishing to be notified if they are named in this system or to gain access to records maintained in the system must submit a written request that (1) identifies the record system; (2) identifies the category and type of records sought; and (3) provides (i) a signature, (ii) an address, and (iii) one other item of identification such as a photocopy of a driver’s license or other official document bearing the individual’s signature. See 31 CFR part 1, subpart C, Appendix L. Address inquiries to FOIA Office, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552. 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. sroberts on PROD1PC70 with NOTICES TREASURY/OTS .008 SYSTEM NAME: Employee Training Database. SYSTEM LOCATION: Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552. VerDate Nov<24>2008 19:07 Jun 26, 2009 Jkt 217001 (1) 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; (2) 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; (3) Disclose 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 PO 00000 Frm 00109 Fmt 4703 Sfmt 4703 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 individual name, course completed, employee identification number, job code, and office code. SAFEGUARDS: Access to computerized records is limited, through use of a password, to those persons whose official duties require access. 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, Professional Development, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552. NOTIFICATION PROCEDURE: Individuals wishing to be notified if they are named in this system or to gain access to records maintained in the system must submit a written request that (1) identifies the record system; (2) identifies the category and type of records sought; and (3) provides (i) a signature, (ii) an address, and (iii) one other item of identification such as a photocopy of a driver’s license or other official document bearing the individual’s signature. See 31 CFR part 1, subpart C, Appendix L. Address inquiries to FOIA Office, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552. RECORD ACCESS PROCEDURES: See ‘‘Notification procedure’’ above. CONTESTING RECORD PROCEDURES: See ‘‘Notification procedure’’ above. RECORD SOURCE CATEGORIES: Personnel records and individual development plans completed by employee and supervisor. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. TREASURY/OTS .011 SYSTEM NAME: Positions/Budget. SYSTEM LOCATION: Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552. See E:\FR\FM\29JNN1.SGM 29JNN1 Federal Register / Vol. 74, No. 123 / Monday, June 29, 2009 / Notices Appendix A for appropriate local addresses of OTS Regional Offices. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: All current employees of the Office of Thrift Supervision. CATEGORIES OF RECORDS IN THE SYSTEM: Individual employee records are kept by office and agency as follows: Name, title, entered on duty date, service computation date, occupation series, social security number, grade, current salary, location of employee, date of last promotion, and eligibility for promotion. Records are kept for each office (and, where appropriate, for the agency) on number of vacancies, authorized position ceilings, and number of employees. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 5 U.S.C. 301, 44 U.S.C. 3101. PURPOSE(S): The system allows the OTS Budget Division the ability to track positions by Office to assure that assigned Full-Time Equivalent ceilings are not exceeded and remain within the limits set by the Director of OTS. The system also provides information to each office which can be used in developing their calendar year compensation budget. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES: sroberts on PROD1PC70 with NOTICES INFORMATION IN THESE RECORDS MAY BE USED TO: (1) 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; (2) 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; (3) 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 VerDate Nov<24>2008 19:07 Jun 26, 2009 Jkt 217001 appropriate representation in legal proceedings; (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. 31109 photocopy of a driver’s license or other official document bearing the individual’s signature. See 31 CFR part 1, subpart C, Appendix L. Address inquiries to FOIA Office, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552. RECORD ACCESS PROCEDURES: See ‘‘Notification procedure’’ above. CONTESTING RECORD PROCEDURES: See ‘‘Notification procedure’’ above. RECORD SOURCE CATEGORIES: Personnel records. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. TREASURY/OTS .012 SYSTEM NAME: Payroll/Personnel System & Payroll Records. SYSTEM LOCATION: STORAGE: Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552. See Appendix A for appropriate local addresses of OTS Regional Offices. Records are maintained in paper files and on electronic media. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, DISPOSING OF RECORDS IN THE SYSTEM: RETRIEVABILITY: Records are filed by name of individual. CATEGORIES OF RECORDS IN THE SYSTEM: SAFEGUARDS: Paper records are maintained in file folders in secured areas. 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 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 General Records Schedules. SYSTEM MANAGER(S) AND ADDRESS: Deputy Chief Finance Officer, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552. NOTIFICATION PROCEDURE: Individuals wishing to be notified if they are named in this system or to gain access to records maintained in the system must submit a written request that (1) identifies the record system; (2) identifies the category and type of records sought; and (3) provides (i) a signature, (ii) an address, and (iii) one other item of identification such as a PO 00000 Frm 00110 All current OTS employees and all former employees of OTS, within the past three years. Fmt 4703 Sfmt 4703 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 AllotmentFinancial 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): Provides all the key personnel and payroll data for each employee which is E:\FR\FM\29JNN1.SGM 29JNN1 31110 Federal Register / Vol. 74, No. 123 / Monday, June 29, 2009 / Notices required for a variety of payroll and personnel functions. sroberts on PROD1PC70 with NOTICES 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 VerDate Nov<24>2008 20:04 Jun 26, 2009 Jkt 217001 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. 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 Frm 00111 SYSTEM MANAGER(S) AND ADDRESS: Deputy Chief Finance Officer, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552. NOTIFICATION PROCEDURE: Individuals wishing to be notified if they are named in this system or to gain access to records maintained in the system must submit a written request that (1) identifies the record system; (2) identifies the category and type of records sought; and (3) provides (i) a signature, (ii) an address, and (iii) one other item of identification such as a photocopy of a driver’s license or other official document bearing the individual’s signature. See 31 CFR part 1, subpart C, Appendix L. Address inquiries to FOIA Office, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552. 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. OTS APPENDIX A—Addresses of Office of Thrift Supervision Regional Offices (1) Northeast Region: Harborside Financial Center Plaza Five, Suite 1600, Jersey City, NJ 07311. (2) Southeast Region: 1475 Peachtree Street, NE., Atlanta, GA 30309. (3) Central Region: 1 South Wacker Drive, Suite 2000, Chicago, IL 60606. (4) Midwest Region: 225 E. John Carpenter Freeway, Suite 500, Irving, TX 75062–2326. (5) West Region: Office of Thrift Supervision, Pacific Plaza, 2001 Junipero Serra Boulevard, Suite 650, Daly City, CA 94014–3897. [FR Doc. E9–15230 Filed 6–26–09; 8:45 am] BILLING CODE 6720–01–P SAFEGUARDS: PO 00000 and Records Administration Approved Records Schedules. Fmt 4703 Sfmt 4703 DEPARTMENT OF VETERANS AFFAIRS [OMB Control No. 2900–0427] Proposed Information Collection (Former POW Medical History); Comment Request AGENCY: Veterans Health Administration, Department of Veterans Affairs. ACTION: Notice. E:\FR\FM\29JNN1.SGM 29JNN1

Agencies

[Federal Register Volume 74, Number 123 (Monday, June 29, 2009)]
[Notices]
[Pages 31103-31110]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-15230]


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DEPARTMENT OF THE TREASURY

Office of Thrift Supervision


Privacy Act of 1974, as Amended; System of Records

AGENCY: Office of Thrift Supervision, 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 Thrift Supervision 
(OTS), Treasury, is publishing its inventory of 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 OTS 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 also incorporates the 
alterations to six OTS systems of records published on April 18, 2007, 
at 72 FR 19580.
    Other changes throughout the document are editorial in nature and 
consist principally of changes to system locations (Appendix A) and 
system manager addresses and or titles in several systems of records. 
In addition, OTS no longer retrieves records contained in OTS .008--
Employee Training Database by social security number. The systems of 
records notices were last published in their entirety on July 15, 2005, 
at 70 FR 41085.
    On May 22, 2007, the Office of Management and Budget (OMB) issued 
Memorandum M-07-16 entitled ``Safeguarding Against and Responding to 
the Breach of Personally Identifiable Information.'' It required 
agencies to publish the routine use recommended by the President's 
Identity Theft Task Force. As part of that effort, the Department of 
the Treasury (Department) published the notice of the proposed routine 
use on October 3, 2007, at 72 FR 56434, and it was effective on 
November 13, 2007. The new routine use has been added to each OTS 
system of records 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)). OTS has leveraged this requirement to 
incorporate the review of its current holding of personally 
identifiable information required by M-07-16. With respect to its 
inventory of Privacy Act systems of records, OTS has determined that 
the information contained in its systems of records is accurate, 
timely, relevant, complete, and is the minimum 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 Office of 
Thrift Supervision up to October 24, 2008. The systems notices are 
reprinted in their entirety following the Table of Contents.

    Dated: June 23, 2009.
Elizabeth Cuffe,
Deputy Assistant Secretary for Privacy and Treasury Records.

Office of Thrift Supervision

Table of Contents

OTS .001--Confidential Individual Information System
OTS .002--Correspondence/Correspondence Tracking
OTS .003--Consumer Complaint
OTS .004--Criminal Referral Database
OTS .005--Employee Counseling Service
OTS .006--Employee Locator File
OTS .008--Employee Training Database
OTS .011--Positions/Budget
OTS .012--Payroll/Personnel Systems & Payroll Records
OTS Appendix A-- Addresses of OTS Regional Offices
TREASURY/OTS .001

System name:
    Confidential Individual Information System--Treasury/OTS.

System location:
    Enforcement Division, Office of Thrift Supervision, 1700 G Street, 
NW., Washington, DC 20552. Computerized records of Suspicious Activity 
Reports (SAR), with status updates, are managed by FinCEN pursuant to a 
contractual agreement, and are stored at the Internal Revenue Service's 
Computing Center in Detroit, Michigan. Authorized personnel at the 
Federal financial regulatory agencies have on-line access to the 
computerized database managed by FinCEN through individual work 
stations that are linked to the database central computer.

Categories of individuals covered by the system:
    Directors, officers, employees, agents, borrowers, and persons 
participating in the conduct of the affairs of entities regulated by 
OTS who have been involved in suspected criminal activity or suspicious 
financial transactions and referred to law enforcement officials; and 
other individuals who have been involved in irregularities, violations 
of law, or unsafe or unsound practices referenced in documents received 
by OTS in the exercising of its supervisory functions.
    These records also contain information concerning individuals who 
have filed notices of intention to acquire control of a savings 
association, controlling persons of companies that have applications to 
acquire control of a savings association, and organizers of savings 
associations who have sought Federal Savings and Loan Insurance 
Corporation (FSLIC) or Saving Association Insurance Fund (SAIF) 
insurance of accounts or Federal charters.

Categories of records in the system:
    Application information and inter-agency and intra-agency 
correspondence, memoranda, and reports. The SAR contains information 
identifying the financial institution involved, the suspected person, 
the type of suspicious activity involved, the amount of loss known, and 
any witnesses.

Authority for maintenance of the system:
    12 U.S.C. 1464; 44 U.S.C. 3101.

Purpose(s):
    The overall system serves as a central historical OTS repository 
for investigatory or enforcement information related to the 
responsibility of OTS to examine and supervise savings associations. It 
also serves to store information on applicants to acquire, control, or 
insure a savings association in connection with OTS's regulatory 
responsibilities.
    The system maintained by FinCEN serves as the database for the 
cooperative storage, retrieval, analysis, and use of information 
relating to Suspicious Activity Reports made to or by the Federal 
financial regulatory agencies and FinCEN to various law enforcement 
agencies for possible criminal, civil or administrative proceedings 
based on known or suspected violations affecting or involving persons, 
financial institutions, or other entities under the supervision or 
jurisdiction of such Federal financial regulatory agencies.

[[Page 31104]]

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
Information in these records may be used to:
    (1) Provide the Department of Justice with periodic reports on the 
number, amount, individual identity and other details concerning 
outstanding potential criminal violations of the law that have been 
referred to the Department;
    (2) Provide the Federal financial regulatory agencies and FinCEN 
with information relevant to their operations;
    (3) Provide information to third parties during the course of an 
investigation to the extent necessary to obtain information pertinent 
to the investigation;
    (4) Provide information or records to any appropriate governmental 
agency or self-regulatory organization 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, policy, or license;
    (5) Disclose, when considered appropriate, information to a bar 
association, or other professional organizations performing similar 
functions, for possible disciplinary action;
    (6) Disclose information, when appropriate, to international and 
foreign governmental authorities in accordance with law and formal or 
informal international agreements;
    (7) Provide information to any person with whom OTS contracts to 
reproduce, by typing, photocopying or other means, any record within 
this system for use by OTS and its staff in connection with their 
official duties, or to any person who is utilized by OTS to perform 
clerical or stenographic functions relating to the official business of 
OTS;
    (8) 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 on electronic media and in paper files.

Retrievability:
    Computer output and file folders are retrievable by indexes of data 
fields, including name of financial institution and individual's name.

Safeguards:
    Paper files are stored in lockable metal file cabinets with access 
limited to authorized individuals. Computer disks maintained at OTS are 
accessed only by authorized personnel. The database maintained by 
FinCEN complies with applicable security requirements of the Department 
of the Treasury. On-line access to the information in the database is 
limited to authorized individuals, and each individual has been issued 
a non-transferable identifier or password.

Retention and disposal:
    Records are periodically updated to reflect changes and maintained 
as long as needed. Records are eligible to be destroyed after 15 years.

System manager(s) and addresses:
    Deputy Chief Counsel, Enforcement, Office of Thrift Supervision, 
1700 G Street, NW., Washington, DC 20552.

Notification procedure:
    The system is exempt from notification and record-access 
requirements and requirements that an individual be permitted to 
contest its contents under 5 U.S.C. 552a(j)(2) and (k)(2) as relating 
to investigatory material compiled for law enforcement purposes.

Record access procedure:
    See ``Notification procedure'' above.

Contesting record procedures:
    See ``Notification procedure'' above.

Record source categories:
    Suspicious activity reports and related historical information and 
updating forms compiled by financial institutions, OTS, and other 
Federal financial regulatory agencies for law enforcement purposes. OTS 
will also include information from applicants, inter-agency and intra-
agency correspondence, memoranda, and reports.

Exemptions claimed for the system:
    This system is exempt from 5 U.S.C. 552a(c)(3), (c)(4), (d)(1), 
(d)(2), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), 
(e)(4)(I), (e)(5), (e)(8), (f) and (g) of the Privacy Act pursuant to 5 
U.S.C. 552a(j)(2) and (k)(2). See 31 CFR 1.36.
TREASURY/OTS .002

System name:
    Correspondence/Correspondence Tracking.

System location:
    Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 
20552.

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

[[Page 31105]]

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:
    Managing Director, External Affairs, Office of Thrift Supervision, 
1700 G Street, NW., Washington, DC 20552.

Notification procedure:
    Individuals wishing to be notified if they are named in this system 
or to gain access to records maintained in the system must submit a 
written request that (1) identifies the record system; (2) identifies 
the category and type of records sought; and (3) provides (i) a 
signature, (ii) an address, and (iii) one other item of identification 
such as a photocopy of a driver's license or other official document 
bearing the individual's signature. See 31 CFR part 1, subpart C, 
Appendix L. Address inquiries to FOIA Office, Office of Thrift 
Supervision, 1700 G Street, NW., Washington, DC 20552.

Records access procedure:
    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:
    Consumer Complaint System.

System location:
    Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 
20552. See Appendix A for appropriate local addresses of OTS Regional 
Offices.

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

[[Page 31106]]

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:
    Director, Consumer and Community Affairs, Office of Thrift 
Supervision, 1700 G Street, NW., Washington, DC 20552.

Notification procedure:
    Individuals wishing to be notified if they are named in this system 
or to gain access to records maintained in the system must submit a 
written request that (1) identifies the record system; (2) identifies 
the category and type of records sought; and (3) provides (i) a 
signature, (ii) an address, and (iii) one other item of identification 
such as a photocopy of a driver's license or other official document 
bearing the individual's signature. See 31 CFR part 1, subpart C, 
Appendix L. Address inquiries to FOIA Office, Office of Thrift 
Supervision, 1700 G Street, NW., Washington, DC 20552.

Record access procedures:
    See ``Notification procedure'' above.

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 .004

System name:
    Criminal Referral Database.

System location:
    Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 
20552. See Appendix A for appropriate local addresses of OTS Regional 
Offices.

Categories of individuals covered by the system:
    Individuals suspected of having committed crime(s) and individuals 
indicted or convicted of crime(s) against or involving savings 
associations prior to 1996.

Categories of records in the system:
    Criminal referrals.

Authority for maintenance of the system:
    12 U.S.C. 1464; 44 U.S.C. 3101.

Purpose(s):
    This system lists matters referred to the Department of Justice for 
possible criminal proceedings.

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 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;
    (2) 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:
    Records are filed by name of individual, savings institution or 
referral control number.

Safeguards:
    Paper records are maintained in locked file cabinets. 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 job-related 
purpose.

Retention and disposal:
    Records are maintained in paper form as long as needed for the 
purpose for which the information was collected. Records will then be 
disposed of in accordance with applicable law.

System manager(s) and address:
    Deputy Chief Counsel, Enforcement, Office of Thrift Supervision, 
1700 G Street, NW., Washington, DC 20552.

Notification procedure:
    This system is exempt from notification and record-access 
requirements and requirements that an individual be permitted to 
contest its contents under 5 U.S.C. 552a(j)(2) and (k)(2) as relating 
to investigatory material compiled for law enforcement purposes.

Records access procedure:
    See ``Notification procedure'' above.

Contesting record procedures:
    See ``Notification procedure'' above.

Record source categories:
    Criminal Referral forms compiled for law enforcement purposes.

Exemptions claimed for the system:
    This system is exempt from 5 U.S.C. 552a(c)(3), (c)(4), (d)(1), 
(d)(2), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), 
(e)(4)(I), (e)(5), (e)(8), (f) and (g) of the Privacy Act pursuant to 5 
U.S.C. 552a(j)(2) and (k)(2). See 31 CFR 1.36.

[[Page 31107]]

TREASURY/OTS .005

System name:
    Employee Counseling Services.

System location:
    Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 
20552. See Appendix A for appropriate local addresses of OTS Regional 
Offices.

Categories of individuals covered by the system:
    Employees who seek counseling services.

Categories of records in the system:
    Counseling records.

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

Purpose(s):
    To provide a history and record of the employee counseling 
session(s) and to assist the counselor in identifying and resolving 
employee problem(s).

Routine uses of records maintained in the system, including categories 
of users and the purpose of such uses:
    (1) This system will have minimal effect on individual privacy 
because access is limited to the employee counseling program counselor. 
Under special and emergency circumstances records may be released to 
medical personnel, research personnel, and as a result of a court 
order.
    (2) Information in these records may be used to 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.

Retrievability:
    Records are retrieved by a number assigned to employee.

Safeguards:
    Records are maintained in locked file cabinet. Access is limited to 
the employee counselor.

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

System manager(s) and address:
    EAP Counselor, 1849 C Street, NW., Room 2453, Washington, DC 20240.

Notification procedure:
    Individuals wishing to be notified if they are named in this system 
or to gain access to records maintained in the system must submit a 
written request that (1) identifies the record system; (2) identifies 
the category and type of records sought; and (3) provides (i) a 
signature, (ii) an address, and (iii) one other item of identification 
such as a photocopy of a driver's license or other official document 
bearing the individual's signature. See 31 CFR part 1, subpart C, 
Appendix L. Address inquiries to FOIA Office, Office of Thrift 
Supervision, 1700 G Street, NW., Washington, DC 20552.

Record access procedures:
    See ``Notification procedure'' above.

Contesting record procedures:
    See ``Notification procedure'' above.

Record source categories:
    Employees and counselors.

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

System name:
    Employee Locator File.

System location:
    Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 
20552. See Appendix A for appropriate local addresses of OTS Regional 
Offices.

Categories of individuals covered by the system:
    All current employees of the OTS and persons whose employment have 
been terminated within the last six months.

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.

[[Page 31108]]

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:
    Assistant Managing Director, HR Programs and Services, Office of 
Thrift Supervision, 1700 G Street, NW., Washington, DC 20552.

Notification procedure:
    Individuals wishing to be notified if they are named in this system 
or to gain access to records maintained in the system must submit a 
written request that (1) identifies the record system; (2) identifies 
the category and type of records sought; and (3) provides (i) a 
signature, (ii) an address, and (iii) one other item of identification 
such as a photocopy of a driver's license or other official document 
bearing the individual's signature. See 31 CFR part 1, subpart C, 
Appendix L. Address inquiries to FOIA Office, Office of Thrift 
Supervision, 1700 G Street, NW., Washington, DC 20552.

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 .008

System name:
    Employee Training Database.

System location:
    Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 
20552.

Categories of individuals covered by the system:
    All employees of the Office of Thrift Supervision.

Categories of records in the system:
    Individual employee records are maintained by name, course taken, 
employee identification number, social security number, position, 
division, and manager name.

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

Purpose(s):
    To maintain necessary information on training taken by employees 
through internal and external sources.

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 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;
    (2) 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;
    (3) Disclose 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 individual name, course completed, employee 
identification number, job code, and office code.

Safeguards:
    Access to computerized records is limited, through use of a 
password, to those persons whose official duties require access.

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, Professional Development, Office of Thrift Supervision, 
1700 G Street, NW., Washington, DC 20552.

Notification procedure:
    Individuals wishing to be notified if they are named in this system 
or to gain access to records maintained in the system must submit a 
written request that (1) identifies the record system; (2) identifies 
the category and type of records sought; and (3) provides (i) a 
signature, (ii) an address, and (iii) one other item of identification 
such as a photocopy of a driver's license or other official document 
bearing the individual's signature. See 31 CFR part 1, subpart C, 
Appendix L. Address inquiries to FOIA Office, Office of Thrift 
Supervision, 1700 G Street, NW., Washington, DC 20552.

Record access procedures:
    See ``Notification procedure'' above.

Contesting record procedures:
    See ``Notification procedure'' above.

Record source categories:
    Personnel records and individual development plans completed by 
employee and supervisor.

Exemptions claimed for the system:
    None.
TREASURY/OTS .011

System name:
    Positions/Budget.

System location:
    Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 
20552. See

[[Page 31109]]

Appendix A for appropriate local addresses of OTS Regional Offices.

Categories of individuals covered by the system:
    All current employees of the Office of Thrift Supervision.

Categories of records in the system:
    Individual employee records are kept by office and agency as 
follows: Name, title, entered on duty date, service computation date, 
occupation series, social security number, grade, current salary, 
location of employee, date of last promotion, and eligibility for 
promotion. Records are kept for each office (and, where appropriate, 
for the agency) on number of vacancies, authorized position ceilings, 
and number of employees.

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

Purpose(s):
    The system allows the OTS Budget Division the ability to track 
positions by Office to assure that assigned Full-Time Equivalent 
ceilings are not exceeded and remain within the limits set by the 
Director of OTS. The system also provides information to each office 
which can be used in developing their calendar year compensation 
budget.

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 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;
    (2) 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;
    (3) 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;
    (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, 
disposing of records in the system:
Storage:
    Records are maintained in paper files and on electronic media.

Retrievability:
    Records are filed by name of individual.

Safeguards:
    Paper records are maintained in file folders in secured areas. 
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 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 General Records Schedules.

System manager(s) and address:
    Deputy Chief Finance Officer, Office of Thrift Supervision, 1700 G 
Street, NW., Washington, DC 20552.

Notification procedure:
    Individuals wishing to be notified if they are named in this system 
or to gain access to records maintained in the system must submit a 
written request that (1) identifies the record system; (2) identifies 
the category and type of records sought; and (3) provides (i) a 
signature, (ii) an address, and (iii) one other item of identification 
such as a photocopy of a driver's license or other official document 
bearing the individual's signature. See 31 CFR part 1, subpart C, 
Appendix L. Address inquiries to FOIA Office, Office of Thrift 
Supervision, 1700 G Street, NW., Washington, DC 20552.

Record access procedures:
    See ``Notification procedure'' above.

Contesting record procedures:
    See ``Notification procedure'' above.

Record source categories:
    Personnel records.

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

System name:
    Payroll/Personnel System & Payroll Records.

System location:
    Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 
20552. See Appendix A for appropriate local addresses of OTS Regional 
Offices.

Categories of individuals covered by the system:
    All current OTS employees and all former employees of OTS, within 
the past three years.

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):
    Provides all the key personnel and payroll data for each employee 
which is

[[Page 31110]]

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:
    Deputy Chief Finance Officer, Office of Thrift Supervision, 1700 G 
Street, NW., Washington, DC 20552.

Notification procedure:
    Individuals wishing to be notified if they are named in this system 
or to gain access to records maintained in the system must submit a 
written request that (1) identifies the record system; (2) identifies 
the category and type of records sought; and (3) provides (i) a 
signature, (ii) an address, and (iii) one other item of identification 
such as a photocopy of a driver's license or other official document 
bearing the individual's signature. See 31 CFR part 1, subpart C, 
Appendix L. Address inquiries to FOIA Office, Office of Thrift 
Supervision, 1700 G Street, NW., Washington, DC 20552.

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.

OTS APPENDIX A--Addresses of Office of Thrift Supervision Regional 
Offices

    (1) Northeast Region: Harborside Financial Center Plaza Five, 
Suite 1600, Jersey City, NJ 07311.
    (2) Southeast Region: 1475 Peachtree Street, NE., Atlanta, GA 
30309.
    (3) Central Region: 1 South Wacker Drive, Suite 2000, Chicago, 
IL 60606.
    (4) Midwest Region: 225 E. John Carpenter Freeway, Suite 500, 
Irving, TX 75062-2326.
    (5) West Region: Office of Thrift Supervision, Pacific Plaza, 
2001 Junipero Serra Boulevard, Suite 650, Daly City, CA 94014-3897.
 [FR Doc. E9-15230 Filed 6-26-09; 8:45 am]
BILLING CODE 6720-01-P