Privacy Act of 1974; Systems of Records, 56501-56503 [2011-23397]
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Federal Register / Vol. 76, No. 177 / Tuesday, September 13, 2011 / Notices
Management and Budget, 725 17th
Street, NW., #10235, Washington, DC
20503, or by fax to (202) 395–6974.
FOR FURTHER INFORMATION CONTACT: You
can request additional information or a
copy of the collection from Ira L. Mills
or Mary H. Gottlieb, OCC Clearance
Officers, (202) 874–6055 or (202) 874–
5090, Legislative and Regulatory
Activities Division, Office of the
Comptroller of the Currency, 250 E
Street, SW., Washington, DC 20219.
SUPPLEMENTARY INFORMATION: On July
21, 2010, the Dodd-Frank Wall Street
Reform and Consumer Protection Act
was signed into law, Public Law 111–
203, 124 Stat. 1376 (2010) (Dodd-Frank
Act). As part of the comprehensive
package of financial regulatory reform
measures enacted, Title III of the DoddFrank Act transferred the powers,
authorities, rights and duties of the
Office of Thrift Supervision (OTS) to
other banking agencies, including the
OCC, on July 21, 2011. The Dodd-Frank
Act also abolishes the OTS ninety days
after the transfer date. As part of that
transfer, the OCC has made a nonsubstantive change to this collection of
information to merge OTS’s information
collection regarding Fiduciary Activities
(OMB Control Nos. 1550–0037; 1557–
0262) with this collection of
information. OCC is now seeking a
renewal for the merged collection.
Title: Fiduciary Activities.
OMB Control No.: 1557–0140 (which
includes former OMB Control Nos.
1550–0037 and 1557–0262).
Description:
Pursuant to 12 U.S.C. 92a, the OCC
regulates the fiduciary activities of
national banks, including the
administration of collective investment
funds. Under 12 U.S.C. 1464(n), the
OTS regulated the fiduciary activities of
federal savings associations. 12 CFR
parts 9 and 150 contain the regulations
that national banks and federal savings
associations (institutions), respectively
must follow when conducting fiduciary
activities.
12 CFR parts 9 and 150 require
institutions with fiduciary powers to
retain all fiduciary records relating to an
account for a period of three years after
termination of the account or of related
litigation. They also require institutions
to note results of fiduciary activities
annually in the minutes of the board of
directors. Both of these requirements are
needed to ensure the safety and
soundness in fiduciary activities.
Additionally, to ensure that the OCC has
current information on which
institutions have fiduciary powers, parts
9 and 150 require institutions to file a
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certified copy of a board resolution in
order to surrender fiduciary powers.
To ensure adequate disclosure of the
operational aspects of collective
investment funds, parts 9 and 150
require that an institution operate a
collective investment fund pursuant to
a written plan. The written plan is the
basic operating document of a collective
investment fund, and serves as the
primary disclosure document to fund
participants. As such, it is analogous to
the prospectus prepared by a registered
investment company pursuant to SEC
requirements. It contains provisions as
to the manner in which an institution
will operate the fund and addresses
such matters as investment powers and
policies, terms, and conditions
governing the admission and
withdrawal of participants, the basis
and method of valuation, and the basis
upon which the fund may be
terminated. The primary regulatory
purpose of the plan is to define the
operational parameters of a collective
investment fund, not to solicit
information.
To ensure that information on the
performance of a collective investment
fund is available to current and
prospective fund participants, parts 9
and 150 require an institution to prepare
an annual financial report on each fund
and to notify participants of its
availability. The annual financial report
for a collective investment fund is a
basic disclosure document for fund
participants. The requirement is
analogous to that of registered
investment companies under SEC
supervision. The annual financial report
contains, among other things, a list of
fund investments with cost and market
values of each; a statement showing
purchases and sales since the previous
report, with any profit or loss; income
and disbursements for the year; and
investments in default.
Type of Review: Regular.
Affected Public: Businesses or other
for-profit.
Estimated Number of Respondents:
605.
Frequency of Response: On occasion.
Estimated Total Annual Burden:
83,529 hours.
On April 18, 2011, the OCC published
notice of intent to renew this collection.
76 FR 21799. No comments were
received. Comments continue to be
invited on:
(a) Whether the collection of
information is necessary for the proper
performance of the functions of the
agency, including whether the
information has practical utility;
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56501
(b) The accuracy of the agency’s
estimate of the burden of the collection
of information;
(c) Ways to enhance the quality,
utility, and clarity of the information to
be collected;
(d) Ways to minimize the burden of
the collection on respondents, including
through the use of automated collection
techniques or other forms of information
technology; and
(e) Estimates of capital or start-up
costs and costs of operation,
maintenance, and purchase of services
to provide information.
Dated: September 7, 2011.
Michele Meyer,
Assistant Director, Legislative and Regulatory
Activities Division.
[FR Doc. 2011–23285 Filed 9–12–11; 8:45 am]
BILLING CODE 4810–33–P
DEPARTMENT OF THE TREASURY
Office of the Comptroller of the
Currency
Privacy Act of 1974; Systems of
Records
Office of the Comptroller of the
Currency, Treasury.
ACTION: Notice of alterations to three
Office of the Comptroller of the
Currency Privacy Act systems of
records.
AGENCY:
In accordance with the
requirements of the Privacy Act of 1974,
as amended, 5 U.S.C. 552a, the
Department of the Treasury and the
Office of the Comptroller of the
Currency (OCC) give notice of
alterations to the Privacy Act systems of
records entitled ‘‘CC .210—Bank
Securities Dealers System,’’ ‘‘CC .220—
Section 914 Tracking System;’’ and ‘‘CC
.600—Consumer Complaint and Inquiry
Information System.’’
DATES: Effective Date: Comments must
be received no later than October 13,
2011. The alterations to the systems of
records will be effective October 24,
2011 unless the OCC receives comments
that would result in a contrary
determination.
SUMMARY:
FOR FURTHER INFORMATION CONTACT:
Roger Mahach, Chief Information
Security and Privacy Officer, (202) 649–
5830. 250 E Street, SW., Washington,
DC 20219.
SUPPLEMENTARY INFORMATION: Pursuant
to section 313 of Title III of the Dodd
Frank Wall Street Reform and Consumer
Protection Act, Public Law 111–203–
July 21, 2010 (the Act), the Office of
Thrift Supervision (OTS) was abolished.
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56502
Federal Register / Vol. 76, No. 177 / Tuesday, September 13, 2011 / Notices
On July 21, 2011, the transfer date under
section 1062 of the Act, and pursuant to
section 312 of the Act, the OTS was
integrated into the OCC, and all
functions of the OTS and the Director of
the OTS related to Federal savings
associations (and not otherwise
transferred to another agency pursuant
to the Act) were transferred to the OCC
and the Comptroller of the Currency,
including all rulemaking authority of
the OTS and the Director of the OTS,
respectively, relating to savings
associations.
Also pursuant to section 312 of the
Act, the OCC and the Comptroller
succeed in all powers, authorities, rights
and duties that were vested in the OTS
and the Director of the OTS on the day
before the transfer date relating to the
functions transferred. Thus, the OCC, a
bureau of the Treasury Department, is
charged with assuring the safety and
soundness of, and compliance with laws
and regulations, fair access to financial
services, and fair treatment of customers
by, the institutions, including national
banks and Federal savings associations,
and other persons subject to its
jurisdiction. See 12 U.S.C. (as amended
by section 324 of the Act).
Thus, as of July 21, 2011, the OCC is
responsible for the supervision of both
national banks and Federal savings
associations. Accordingly, to reflect the
integration of the OTS into the OCC, the
OCC is adding a category of individuals
(those individuals related to Federal
savings associations) to the following
systems of records, which previously
covered individuals related to national
banks: Treasury/CC .210—Bank
Securities Dealers System; Treasury/CC
.220—Section 914 Tracking System;
Treasury/CC .600—Consumer
Complaint and Inquiry System. The
OCC is also making conforming
changes, as necessary, under
‘‘Purposes,’’ ‘‘Authority for Maintenance
of the System,’’ and ‘‘Routine Uses’’ of
the systems of records notices as
necessary to capture the new category of
individuals.
Additionally, the OCC is making other
changes to the Treasury/CC .220—
‘‘Section 914 Tracking System’’ system
of records, apart from the changes being
made to reflect the integration of the
OTS into the OCC. The OCC is renaming
the system to more accurately reflect the
information contained in the system.
The system will no longer be called
Treasury/CC .220—‘‘Section 914
Tracking System’’ and will instead be
called Treasury/CC .220—‘‘Notices of
Proposed Changes in Employees,
Officers and Directors Tracking
System.’’ The OCC is also adding new
categories of individuals to the system,
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beyond the new category described
above. The system currently includes
individuals who file notices pursuant to
12 CFR 5.51. However, the OCC has the
authority under other laws and
regulations (i.e. 12 CFR 5.20 and 12
U.S.C. 1818(b)) to require the entities it
supervises to file notices of changes in
employees, officers and directors. Thus,
the OCC is broadening the categories of
individuals covered by the system so
that the OCC may track notices filed
under each relevant authority, which
will allow the OCC to better carry out
its statutory and regulatory
responsibilities. In addition, two routine
uses for the system will also be altered
to conform to the appropriate new
categories of individuals.
The System notices were last
published in their entirety in the
Federal Register, July 18, 2008 (Volume
73, Number 139) pp. 41402–41414.
As required by 5 U.S.C. 552a(r) of the
Privacy Act, the report of altered
systems of records has been submitted
to the Committee on Government
Reform of the House of Representatives,
the Committee on Governmental Affairs
of the Senate, and the Office of
Management and Budget, pursuant to
Appendix I to OMB Circular A–130,
‘‘Federal Agency Responsibilities for
Maintaining Records About
Individuals,’’ dated November 30, 2000.
For the reasons set forth in this
preamble, the Department proposes to
alter systems of records entitled ‘‘CC
.210—Bank Securities Dealers System,’’
‘‘CC .220—Section 914 Tracking
System;’’ and ‘‘CC .600—Consumer
Complaint and Inquiry Information
System’’ as follows:
TREASURY/CC .210
SYSTEM NAME:
*
Bank Securities Dealers System
*
*
*
*
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
*
*
*
*
*
Description of changes: Add ‘‘Federal
savings association’’ after ‘‘national
bank,’’ and remove ‘‘District of
Columbia Bank’’ and add in its place
‘‘District of Columbia savings
association.’’ Add ‘‘or savings
association’’ between ‘‘* * * of any
such bank’’ and ‘‘in the capacity of.’’
*
*
*
*
*
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
*
*
*
*
*
Description of changes: Add ‘‘(as
amended)’’ after ‘‘12 U.S.C. 1;’’ add
‘‘1464’’ after ‘‘481’’ and before ‘‘1818.’’
*
*
*
*
*
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PURPOSE:
*
*
*
*
*
Description of changes: Add ‘‘Federal
savings association’’ after ‘‘national
banks’’ and remove ‘‘District of
Columbia banks’’ and add in its place
‘‘District of Columbia savings
associations.’’
*
*
*
*
*
TREASURY/CC .220
SYSTEM NAME:
Description of changes: Remove the
title ‘‘Section 914 Tracking system’’ and
in its place add ‘‘Notices of Proposed
Changes in Employees, Officers and
Directors Tracking System.’’
*
*
*
*
*
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Description of changes: Remove
current entry and in its place add the
following: ‘‘Individuals covered by this
system are those who are named in
notices filed: (1) under 12 CFR 5.51 as
proposed directors or senior executive
officers of a national bank, or federal
branches of foreign banks (Section 5.51
entities) when the entities:
(a) Have a composite rating of 4 or 5
under the Uniform Financial
Institutions Rating System;
(b) Are subject to cease and desist
orders, consent orders, or formal written
agreements, unless otherwise informed
in writing by the OCC;
(c) Have been determined, in writing,
by the OCC to be in ‘‘troubled
condition’’;
(d) Are not in compliance with
minimum capital requirements
prescribed under 12 CFR Part 3; or
(e) Have been advised by the OCC, in
connection with its review of an entity’s
capital restoration plan, that such
notices are appropriate. (2) under 12
CFR 5.20(g)(2) as proposed officers or
directors of national banks (Section
5.20(g)(2) entities) for a two-year period
from the date they commence business.
(3) under 12 CFR 163, Subpart H
(previously 12 CFR 563, Subpart H) as
proposed directors or senior executive
officers of Federal savings associations
(Part 163, Subpart H entities) when the
entities:
(a) Are not in compliance with
minimum capital requirements
prescribed under 12 CFR 167
(previously 12 CFR 567);
(b) Have a composite rating of 4 or 5
under the Uniform Financial
Institutions Rating System;
(c) Are subject to capital directives,
cease and desist orders, consent orders,
formal written agreements, or prompt
corrective action directives relating to
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Federal Register / Vol. 76, No. 177 / Tuesday, September 13, 2011 / Notices
the safety and soundness or financial
viability of the Federal savings
association, unless otherwise informed
in writing by the OCC;
(d) Have been determined in writing
by the OCC to be in ‘‘troubled
condition;’’ or
(e) Have been advised by the OCC, in
connection with its review of an entity’s
capital restoration plan required by 12
U.S.C. 1831o, that such notice is
required. (4) pursuant to 12 U.S.C.
1818(b) as proposed employees of
national banks, Federal savings
associations or any other entity subject
to the OCC’s jurisdiction (1818(b)
entities), other than employees covered
by 12 CFR 5.51 or 12 CFR 163, Subpart
H, when required to do so pursuant to
12 U.S.C. 1818(b).’’
Description of changes: Remove
‘‘Director’’ and in its place add ‘‘Deputy
Comptroller.’’
*
*
*
*
*
TREASURY/CC .600
SYSTEM NAME:
Consumer Complaint and Inquiry
System
*
*
*
*
*
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Description of changes: Add ‘‘Federal
savings associations,’’ after the words
‘‘about national banks’’ and remove
‘‘District of Columbia banks’’ and in its
place add ‘‘District of Columbia savings
associations.’’
*
*
*
*
*
CATEGORIES OF RECORDS IN THE SYSTEM:
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
*
*
*
*
*
*
Description of changes: Remove
‘‘pursuant to 5 CFR 5.51.’’
*
*
*
*
*
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
*
*
*
*
*
Description of changes: Add ‘‘(as
amended)’’ after ‘‘12 U.S.C. 1;’’ add
‘‘1464’’ after ‘‘481’’ and before ‘‘1817(j).’’
*
*
*
*
*
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
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*
*
*
*
*
a. Description of changes: Routine use
1) is amended by removing ‘‘An OCCregulated entity’’ and in its place adding
‘‘A Section 5.51 entity, a Section 5.20(g)
entity, a Part 163, Subpart H entity, or
a Section 1818(b) entity.’’ Routine use
(1) is further amended by removing the
words ‘‘pursuant to 12 CFR 5.51’’ after
the words ‘‘filed by that entity’’ and is
revised to read as follows:
‘‘A Section 5.51 entity, a Section
5.20(g) entity, a Part 163, Subpart H
entity, or a Section 1818(b) entity in
connection with review and action on a
notice filed by that entity;’’
b. Description of changes: Routine use
(2) is amended by removing ‘‘12 CFR
5.51’’ and in its place add ‘‘any
authority cited herein’’ and is revised to
read as follows: ‘‘Third parties to the
extent necessary to obtain information
that is pertinent to the OCC’s review
and action on a notice received under
any authority cited herein;’’
*
*
*
*
*
SYSTEM MANAGER ADDRESS:
*
*
*
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*
*
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*
*
*
*
Description of changes: Add ‘‘(as
amended)’’ after ‘‘12 U.S.C. 1;’’ add
‘‘1464’’ after ‘‘481’’ and before ‘‘and
1820.’’
*
*
*
*
*
Dated: August 30, 2011.
Veronica Marco,
Acting Deputy Assistant Secretary for Privacy,
Transparency, and Records.
[FR Doc. 2011–23397 Filed 9–12–11; 8:45 am]
BILLING CODE 4810–33–P
DEPARTMENT OF VETERANS
AFFAIRS
[OMB Control No. 2900–0710]
Agency Information Collection Activity
(VSO Access to VHA Electronic Health
Records) Under OMB Review
Veterans Health
Administration, Department of Veterans
Affairs.
ACTION: Notice.
AGENCY:
In compliance with the
Paperwork Reduction Act (PRA) of 1995
(44 U.S.C. 3501–3521), this notice
announces that the Veterans Health
Administration (VHA), Department of
Veterans Affairs, will submit the
collection of information abstracted
below to the Office of Management and
Budget (OMB) for review and comment.
The PRA submission describes the
nature of the information collection and
its expected cost and burden and
includes the actual data collection
instrument.
SUMMARY:
Comments must be submitted on
or before October 13, 2011.
ADDRESSES: Submit written comments
on the collection of information through
DATES:
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56503
https://www.Regulations.gov; or to VA’s
OMB Desk Officer, OMB Human
Resources and Housing Branch, New
Executive Office Building, Room 10235,
Washington, DC 20503 (202) 395–7316.
Please refer to ‘‘OMB Control No. 2900–
0710’’ in any correspondence.
FOR FURTHER INFORMATION CONTACT:
Denise McLamb, Enterprise Records
Service (005R1B), Department of
Veterans Affairs, 810 Vermont Avenue,
NW., Washington, DC 20420, (202) 461–
7485, fax (202) 273–0443 or e-mail
denise.mclamb@va.gov. Please refer to
‘‘OMB Control No. 2900–0710.’’
SUPPLEMENTARY INFORMATION:
Title: VSO Access to VHA Electronic
Health Records, VA Form 10–0400.
OMB Control Number: 2900–0710.
Type of Review: Extension of a
currently approved collection.
Abstract: VSO’s complete VA Form
10–0400 to request authorization to
access VA VistA database. VA will use
the data collected to establish an
account for VSO’s who were granted
power of attorney by veterans who have
medical information recorded in VHA
electronic health records system.
An agency may not conduct or
sponsor, and a person is not required to
respond to a collection of information
unless it displays a currently valid OMB
control number. The Federal Register
Notice with a 60-day comment period
soliciting comments on this collection
of information was published on July 8,
2011, at page 40454.
Affected Public: Individuals or
Households.
Estimated Total Annual Burden:
400 hours.
Estimated Average Burden per
Respondent: 2 minutes.
Frequency of Response: One time.
Estimated Number of Respondents:
12,000.
Dated: September 8, 2011.
By direction of the Secretary.
Denise McLamb,
Program Analyst, Enterprise Records Service.
[FR Doc. 2011–23349 Filed 9–12–11; 8:45 am]
BILLING CODE 8320–01–P
DEPARTMENT OF VETERANS
AFFAIRS
[OMB Control No. 2900–0119]
Agency Information Collection (Report
of Treatment in Hospital) Activity
Under OMB Review
Veterans Benefits
Administration, Department of Veterans
Affairs.
ACTION: Notice.
AGENCY:
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]]>Agencies
[Federal Register Volume 76, Number 177 (Tuesday, September 13, 2011)]
[Notices]
[Pages 56501-56503]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-23397]
-----------------------------------------------------------------------
DEPARTMENT OF THE TREASURY
Office of the Comptroller of the Currency
Privacy Act of 1974; Systems of Records
AGENCY: Office of the Comptroller of the Currency, Treasury.
ACTION: Notice of alterations to three Office of the Comptroller of the
Currency Privacy Act systems of records.
-----------------------------------------------------------------------
SUMMARY: In accordance with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a, the Department of the Treasury and the
Office of the Comptroller of the Currency (OCC) give notice of
alterations to the Privacy Act systems of records entitled ``CC .210--
Bank Securities Dealers System,'' ``CC .220--Section 914 Tracking
System;'' and ``CC .600--Consumer Complaint and Inquiry Information
System.''
DATES: Effective Date: Comments must be received no later than October
13, 2011. The alterations to the systems of records will be effective
October 24, 2011 unless the OCC receives comments that would result in
a contrary determination.
FOR FURTHER INFORMATION CONTACT: Roger Mahach, Chief Information
Security and Privacy Officer, (202) 649-5830. 250 E Street, SW.,
Washington, DC 20219.
SUPPLEMENTARY INFORMATION: Pursuant to section 313 of Title III of the
Dodd Frank Wall Street Reform and Consumer Protection Act, Public Law
111-203-July 21, 2010 (the Act), the Office of Thrift Supervision (OTS)
was abolished.
[[Page 56502]]
On July 21, 2011, the transfer date under section 1062 of the Act, and
pursuant to section 312 of the Act, the OTS was integrated into the
OCC, and all functions of the OTS and the Director of the OTS related
to Federal savings associations (and not otherwise transferred to
another agency pursuant to the Act) were transferred to the OCC and the
Comptroller of the Currency, including all rulemaking authority of the
OTS and the Director of the OTS, respectively, relating to savings
associations.
Also pursuant to section 312 of the Act, the OCC and the
Comptroller succeed in all powers, authorities, rights and duties that
were vested in the OTS and the Director of the OTS on the day before
the transfer date relating to the functions transferred. Thus, the OCC,
a bureau of the Treasury Department, is charged with assuring the
safety and soundness of, and compliance with laws and regulations, fair
access to financial services, and fair treatment of customers by, the
institutions, including national banks and Federal savings
associations, and other persons subject to its jurisdiction. See 12
U.S.C. (as amended by section 324 of the Act).
Thus, as of July 21, 2011, the OCC is responsible for the
supervision of both national banks and Federal savings associations.
Accordingly, to reflect the integration of the OTS into the OCC, the
OCC is adding a category of individuals (those individuals related to
Federal savings associations) to the following systems of records,
which previously covered individuals related to national banks:
Treasury/CC .210--Bank Securities Dealers System; Treasury/CC .220--
Section 914 Tracking System; Treasury/CC .600--Consumer Complaint and
Inquiry System. The OCC is also making conforming changes, as
necessary, under ``Purposes,'' ``Authority for Maintenance of the
System,'' and ``Routine Uses'' of the systems of records notices as
necessary to capture the new category of individuals.
Additionally, the OCC is making other changes to the Treasury/CC
.220--``Section 914 Tracking System'' system of records, apart from the
changes being made to reflect the integration of the OTS into the OCC.
The OCC is renaming the system to more accurately reflect the
information contained in the system. The system will no longer be
called Treasury/CC .220--``Section 914 Tracking System'' and will
instead be called Treasury/CC .220--``Notices of Proposed Changes in
Employees, Officers and Directors Tracking System.'' The OCC is also
adding new categories of individuals to the system, beyond the new
category described above. The system currently includes individuals who
file notices pursuant to 12 CFR 5.51. However, the OCC has the
authority under other laws and regulations (i.e. 12 CFR 5.20 and 12
U.S.C. 1818(b)) to require the entities it supervises to file notices
of changes in employees, officers and directors. Thus, the OCC is
broadening the categories of individuals covered by the system so that
the OCC may track notices filed under each relevant authority, which
will allow the OCC to better carry out its statutory and regulatory
responsibilities. In addition, two routine uses for the system will
also be altered to conform to the appropriate new categories of
individuals.
The System notices were last published in their entirety in the
Federal Register, July 18, 2008 (Volume 73, Number 139) pp. 41402-
41414.
As required by 5 U.S.C. 552a(r) of the Privacy Act, the report of
altered systems of records has been submitted to the Committee on
Government Reform of the House of Representatives, the Committee on
Governmental Affairs of the Senate, and the Office of Management and
Budget, pursuant to Appendix I to OMB Circular A-130, ``Federal Agency
Responsibilities for Maintaining Records About Individuals,'' dated
November 30, 2000.
For the reasons set forth in this preamble, the Department proposes
to alter systems of records entitled ``CC .210--Bank Securities Dealers
System,'' ``CC .220--Section 914 Tracking System;'' and ``CC .600--
Consumer Complaint and Inquiry Information System'' as follows:
TREASURY/CC .210
SYSTEM NAME:
Bank Securities Dealers System
* * * * *
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
* * * * *
Description of changes: Add ``Federal savings association'' after
``national bank,'' and remove ``District of Columbia Bank'' and add in
its place ``District of Columbia savings association.'' Add ``or
savings association'' between ``* * * of any such bank'' and ``in the
capacity of.''
* * * * *
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
* * * * *
Description of changes: Add ``(as amended)'' after ``12 U.S.C. 1;''
add ``1464'' after ``481'' and before ``1818.''
* * * * *
PURPOSE:
* * * * *
Description of changes: Add ``Federal savings association'' after
``national banks'' and remove ``District of Columbia banks'' and add in
its place ``District of Columbia savings associations.''
* * * * *
TREASURY/CC .220
SYSTEM NAME:
Description of changes: Remove the title ``Section 914 Tracking
system'' and in its place add ``Notices of Proposed Changes in
Employees, Officers and Directors Tracking System.''
* * * * *
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Description of changes: Remove current entry and in its place add
the following: ``Individuals covered by this system are those who are
named in notices filed: (1) under 12 CFR 5.51 as proposed directors or
senior executive officers of a national bank, or federal branches of
foreign banks (Section 5.51 entities) when the entities:
(a) Have a composite rating of 4 or 5 under the Uniform Financial
Institutions Rating System;
(b) Are subject to cease and desist orders, consent orders, or
formal written agreements, unless otherwise informed in writing by the
OCC;
(c) Have been determined, in writing, by the OCC to be in
``troubled condition'';
(d) Are not in compliance with minimum capital requirements
prescribed under 12 CFR Part 3; or
(e) Have been advised by the OCC, in connection with its review of
an entity's capital restoration plan, that such notices are
appropriate. (2) under 12 CFR 5.20(g)(2) as proposed officers or
directors of national banks (Section 5.20(g)(2) entities) for a two-
year period from the date they commence business. (3) under 12 CFR 163,
Subpart H (previously 12 CFR 563, Subpart H) as proposed directors or
senior executive officers of Federal savings associations (Part 163,
Subpart H entities) when the entities:
(a) Are not in compliance with minimum capital requirements
prescribed under 12 CFR 167 (previously 12 CFR 567);
(b) Have a composite rating of 4 or 5 under the Uniform Financial
Institutions Rating System;
(c) Are subject to capital directives, cease and desist orders,
consent orders, formal written agreements, or prompt corrective action
directives relating to
[[Page 56503]]
the safety and soundness or financial viability of the Federal savings
association, unless otherwise informed in writing by the OCC;
(d) Have been determined in writing by the OCC to be in ``troubled
condition;'' or
(e) Have been advised by the OCC, in connection with its review of
an entity's capital restoration plan required by 12 U.S.C. 1831o, that
such notice is required. (4) pursuant to 12 U.S.C. 1818(b) as proposed
employees of national banks, Federal savings associations or any other
entity subject to the OCC's jurisdiction (1818(b) entities), other than
employees covered by 12 CFR 5.51 or 12 CFR 163, Subpart H, when
required to do so pursuant to 12 U.S.C. 1818(b).''
CATEGORIES OF RECORDS IN THE SYSTEM:
* * * * *
Description of changes: Remove ``pursuant to 5 CFR 5.51.''
* * * * *
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
* * * * *
Description of changes: Add ``(as amended)'' after ``12 U.S.C. 1;''
add ``1464'' after ``481'' and before ``1817(j).''
* * * * *
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
* * * * *
a. Description of changes: Routine use 1) is amended by removing
``An OCC-regulated entity'' and in its place adding ``A Section 5.51
entity, a Section 5.20(g) entity, a Part 163, Subpart H entity, or a
Section 1818(b) entity.'' Routine use (1) is further amended by
removing the words ``pursuant to 12 CFR 5.51'' after the words ``filed
by that entity'' and is revised to read as follows:
``A Section 5.51 entity, a Section 5.20(g) entity, a Part 163,
Subpart H entity, or a Section 1818(b) entity in connection with review
and action on a notice filed by that entity;''
b. Description of changes: Routine use (2) is amended by removing
``12 CFR 5.51'' and in its place add ``any authority cited herein'' and
is revised to read as follows: ``Third parties to the extent necessary
to obtain information that is pertinent to the OCC's review and action
on a notice received under any authority cited herein;''
* * * * *
SYSTEM MANAGER ADDRESS:
* * * * *
Description of changes: Remove ``Director'' and in its place add
``Deputy Comptroller.''
* * * * *
TREASURY/CC .600
System Name:
Consumer Complaint and Inquiry System
* * * * *
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Description of changes: Add ``Federal savings associations,'' after
the words ``about national banks'' and remove ``District of Columbia
banks'' and in its place add ``District of Columbia savings
associations.''
* * * * *
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
* * * * *
Description of changes: Add ``(as amended)'' after ``12 U.S.C. 1;''
add ``1464'' after ``481'' and before ``and 1820.''
* * * * *
Dated: August 30, 2011.
Veronica Marco,
Acting Deputy Assistant Secretary for Privacy, Transparency, and
Records.
[FR Doc. 2011-23397 Filed 9-12-11; 8:45 am]
BILLING CODE 4810-33-P
