Privacy Act of 1974, as Amended, 68396-68399 [2011-28596]
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68396
Federal Register / Vol. 76, No. 214 / Friday, November 4, 2011 / Notices
mass transportation, vanpools, and
parking permits. Information is used to
determine the eligibility of applicants
for transportation subsidies and to
disburse subsidies to eligible employees
through the Department of
Transportation, and for parking
management. The system also enables
the CFPB to compare these records with
other federal agencies to ensure that
employee transportation programs
subsidies are not abused.
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ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
These records may be disclosed,
consistent with the CFPB Disclosure of
Records and Information Rules,
promulgated at 12 CFR part 1070 et seq.,
to:
(1) Appropriate agencies, entities, and
persons when: (a) The CFPB suspects or
has confirmed that the security or
confidentiality of information in the
system of records has been
compromised; (b) the CFPB 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
CFPB 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 CFPB’s efforts to
respond to the suspected or confirmed
compromise and prevent, minimize, or
remedy such harm;
(2) Another federal or state agency to:
(a) Permit a decision as to access,
amendment or correction of records to
be made in consultation with or by that
agency; or (b) verify the identity of an
individual or the accuracy of
information submitted by an individual
who has requested access to or
amendment or correction of records;
(3) To the Office of the President in
response to an inquiry from that office
made at the request of the subject of a
record or a third party on that person’s
behalf;
(4) Congressional offices in response
to an inquiry made at the request of the
individual to whom the record pertains;
(5) Contractors, agents, or other
authorized individuals performing work
on a contract, service, cooperative
agreement, job, or other activity on
behalf of the CFPB or Federal
Government and who have a need to
access the information in the
performance of their duties or activities;
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(6) The U.S. Department of Justice
(‘‘DOJ’’) for its use in providing legal
advice to the CFPB or in representing
the CFPB in a proceeding before a court,
adjudicative body, or other
administrative body, where the use of
such information by the DOJ is deemed
by the CFPB to be relevant and
necessary to the advice or proceeding,
and in the case of a proceeding, such
proceeding names as a party in interest:
(a) The CFPB;
(b) Any employee of the CFPB in his
or her official capacity;
(c) Any employee of the CFPB in his
or her individual capacity where DOJ or
the CFPB has agreed to represent the
employee; or
(d) The United States, where the
CFPB determines that litigation is likely
to affect the CFPB or any of its
components;
(7) A court, magistrate, or
administrative tribunal in the course of
an administrative proceeding or judicial
proceeding, including disclosures to
opposing counsel or witnesses
(including expert witnesses) in the
course of discovery or other pre-hearing
exchanges of information, litigation, or
settlement negotiations, where relevant
or potentially relevant to a proceeding,
or in connection with criminal law
proceedings;
(8) Appropriate federal, state, local,
foreign, tribal, or self-regulatory
organizations or agencies responsible for
investigating, prosecuting, enforcing,
implementing, issuing, or carrying out a
statute, rule, regulation, order, policy, or
license if the information may be
relevant to a potential violation of civil
or criminal law, rule, regulation, order,
policy or license.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPENSING OF RECORDS IN THE SYSTEM:
STORAGE:
RETENTION AND DISPOSAL:
The CFPB will maintain electronic
and paper records in accordance with
published National Archives and
Records Administration Disposition
Schedule, General Records Schedule 9,
Federal Employee Transportation
Subsidy Program. Temporary. Destroy
when 3 years old. (General Records
Schedule (GRS) 9, item 7)
SYSTEM MANAGER(S) AND ADDRESS:
The Consumer Financial Protection
Bureau, Chief Operating Officer, 1700 G
Street NW., Washington, DC 20006.
NOTIFICATION PROCEDURE:
Individuals seeking notification and
access to any record contained in this
system of records, or seeking to contest
its content, may inquire in writing in
accordance with instructions appearing
in Title 12, Chapter 10 of the CFR,
‘‘Disclosure of Records and
Information.’’ Address such requests to:
Chief Privacy Officer, Bureau of
Consumer Financial Protection, 1700 G
Street NW., Washington, DC 20006.
RECORD ACCESS PROCEDURES:
See ‘‘Notification Procedures’’ above.
CONTESTING RECORD PROCEDURES:
See ‘‘Notification Procedures’’ above.
RECORD SOURCE CATEGORIES:
Information in this system is
maintained about employees who have
applied for or hold parking permits, or
applied for or participate in the
transportation subsidy program, the
subsidy program managers and other
appropriate agency officials, or other
federal agencies.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
[FR Doc. 2011–28594 Filed 11–3–11; 8:45 am]
BILLING CODE 4810–AM–P
Paper and electronic records.
RETRIEVABILITY:
Records are retrievable by a variety of
fields including, but not limited to, the
individual’s name, home address, work
organization, location, unique numeric
identifier chosen by the individual, or
the last four of the Social Security
number, mode of transportation, or by
some combination thereof.
SAFEGUARDS:
Access to electronic records is
restricted to authorized personnel who
have been issued non-transferrable
access codes and passwords. Other
records are maintained in locked file
cabinets or rooms with access limited to
those personnel whose official duties
require access.
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BUREAU OF CONSUMER FINANCIAL
PROTECTION
[Docket No. CFPB–2011–0018]
Privacy Act of 1974, as Amended
Bureau of Consumer Financial
Protection.
ACTION: Notice of Modified Privacy Act
System of Records.
AGENCY:
In accordance with the
Privacy Act of 1974, as amended, the
Bureau of Consumer Financial
Protection hereinto referred to as the
Consumer Financial Protection Bureau
(‘‘CFPB’’) gives notice of the
establishment of a Privacy Act System
of Records.
SUMMARY:
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Federal Register / Vol. 76, No. 214 / Friday, November 4, 2011 / Notices
Comments must be received no
later than December 5, 2011. The system
of records will be effective December 14,
2011 unless the comments received
result in a contrary determination.
ADDRESSES: You may submit comments,
identified by Docket No. CFPB–2011–
0018, by any of the following methods:
• Electronic: https://
www.regulations.gov. Follow the
instructions for submitting comments.
• Mail: Claire Stapleton, Chief
Privacy Officer, Consumer Financial
Protection Bureau, 1700 G Street NW.,
Washington, DC 20006.
• Hand Delivery/Courier in Lieu of
Mail: Claire Stapleton, Chief Privacy
Officer, Consumer Financial Protection
Bureau, 1700 G Street NW., Washington,
DC 20006.
All submissions must include the
agency name and docket number for this
notice. In general all comments received
will be posted without change to
https://www.regulations.gov. In addition,
comments will be available for public
inspection and copying at 1700 G Street
NW., Washington, DC 20006, on official
business days between the hours of 10
a.m. and 5 p.m. Eastern Time. You can
make an appointment to inspect
comments by telephoning (202) 435–
7220. All comments, including
attachments and other supporting
materials, will become part of the public
record and subject to public disclosure.
You should submit only information
that you wish to make available
publicly.
FOR FURTHER INFORMATION CONTACT:
Claire Stapleton, Chief Privacy Officer,
Consumer Financial Protection Bureau,
1700 G Street NW., Washington, DC
20006, (202) 435–7220.
SUPPLEMENTARY INFORMATION: The DoddFrank Wall Street Reform and Consumer
Financial Protection Act (‘‘Act’’), Public
Law 111–203, Title X, established the
CFPB to administer and enforce federal
consumer financial protection law. The
CFPB will maintain the records covered
by this notice.
The system of records described in
this notice, CFPB.005—Consumer
Response System, will be used to
collect, respond to, and refer consumer
inquiries and complaints concerning
consumer financial products and
services received after July 21, 2011. A
description of the system of records
follows this Notice.
The report of a modified system of
records has been submitted to the
Committee on Oversight and
Government Reform of the House of
Representatives, the Committee on
Homeland Security and Governmental
Affairs of the Senate, and the Office of
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DATES:
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Management and Budget, pursuant to
Appendix I to OMB Circular A–130,
‘‘Federal Agency Responsibilities for
Maintaining Records About
Individuals,’’ dated November 30, 2000,
and the Privacy Act, 5 U.S.C. 552a(r).
The system of records entitled,
‘‘CFPB.005—Consumer Response
System’’ is published in its entirety
below.
The CFPB implementation team
under Treasury previously published a
system of records notice (‘‘SORN’’) with
proposed routine uses for the Consumer
Inquiry and Complaint System (‘‘CIC’’)
in the Federal Register, 76 FR 1507,
January 10, 2011. Comments were
invited from the public on the SORN.
This notice takes into account these
comments and establishes the modified
system of records.
The CFPB received several comments
regarding the ‘‘routine uses’’ set forth in
that SORN. The CFPB has carefully
reviewed these comments and has
revised the routine uses contained in
this SORN, as appropriate. In some
cases the routine uses have been
eliminated or combined. In the previous
SORN, there were 16 routine uses, while
this SORN only has 12. In addition, the
CFPB has clarified that the system may
include complaints about individuals
made directly to the CFPB and not
merely complaints about individuals
made to other federal or state agencies
and then shared with the CFPB.
Some comments discussed the need
for further agency rulemaking, and
development of other procedures and
practices. The CFPB has published
interim final regulations on information
disclosure processes and procedures.
Disclosures of information contained in
a system of records must be in
compliance with these interim final
regulations. As the CFPB continues to
develop its policies, procedures, and
regulations as required by the Act, it
will address other issues raised in the
comments, including the procedures
surrounding the handling of consumer
complaints as required by Section 1034
of the Act.
Several comments characterized the
routine uses as too broad and inclusive.
Each of the routine uses listed here
reflect the Bureau’s careful and
considered determination that the
sharing of consumer response
information in these situations is
necessary and proper to carry out the
agency’s mission. Many of the routine
uses are common to other agencies. For
example, the Federal Deposit Insurance
Corporation’s Consumer Complaint and
Inquiry Records SORN, published at 72
FR 61136, Oct. 29, 2007, and the Office
of the Comptroller of the Currency’s
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68397
Consumer Complaint and Inquiry
Information System, published at 73 FR
41412, July 18, 2008, contain routine
uses similar to the routine uses set forth
in this SORN. Indeed several routine
uses, such as disclosure of information
when there has been a security breach
that could present a risk of harm to the
security or integrity of the system or
individuals, are common to all
government agency SORNs.
One comment objected to the
disclosure of information to third
parties to resolve complaints. This
routine use remains as the CFPB
believes it is necessary to resolve
complaints and it is common to other
financial regulators’ consumer
complaint SORNs.
One routine use established in the
previous CFPB SORN addressing
consumer complaint data has been
removed based on comments received.
Disclosure of consumer complaints to
other consumers who filed similar
complaints was formerly authorized for
the purpose of updating complainants
on the status of an investigation.
Following the comments received, the
CFPB determined it was not necessary
to disclose this information to achieve
the goals of updating all parties on the
status ongoing investigations.
One comment also objected to the use
of the word ‘‘victim’’ as overly broad.
Any references to ‘‘victim’’ have been
removed.
The previous consumer complaint
SORN contained separate routine uses
for disclosure of records in civil and
criminal proceedings before a court,
magistrate or administrative tribunal.
These routine uses have been combined.
Dated: October 31, 2011.
Claire Stapleton,
Chief Privacy Officer.
CFPB.005
SYSTEM NAME:
CFPB Consumer Response System.
SYSTEM LOCATION:
Consumer Financial Protection
Bureau, 1700 G Street NW., Washington,
DC 20006.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Individuals covered by this system are
individuals who submit complaints or
inquiries to the CFPB (on their own or
others’ behalf); individuals on whose
behalf complaints or inquiries are
submitted by others (such as attorneys,
members of Congress, third party
advocates, and/or other governmental
organizations); and individuals or
employees of entities about whom
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Federal Register / Vol. 76, No. 214 / Friday, November 4, 2011 / Notices
complaints or inquiries have been
received by prudential regulators, the
Federal Trade Commission, other
federal agencies, state agencies or the
CFPB. The term ‘‘prudential regulators’’
refers to any federal banking agency, as
that term is defined in section 3 of the
Federal Deposit Insurance Act, and the
National Credit Union Administration.
Information collected regarding
consumer products and services is
subject to the Privacy Act only to the
extent that it concerns individuals;
information pertaining to corporations
and other business entities and
organizations is not subject to the
Privacy Act.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records in the system may contain:
(1) Correspondence or other information
received; (2) information from the entity
or individual referring the inquiry or
complaint; (3) records created of verbal
communications by or with
complainants or other individuals; (4)
information regarding third party
advocates or others who submit
complaints or inquiries on another’s
behalf; (5) information identifying the
entity that is subject to the complaint or
inquiry or its employees; (6)
communication with or by the entity
that is subject to the complaint or
inquiry or its employees; (7) unique
identifiers, codes, and descriptors
categorizing each complaint or inquiry
file; (8) information about how
complaints or inquiries were responded
to or referred, including any resolution;
(9) records used to respond to or refer
complaints or inquiries, including
information in the CFPB’s other systems
of records; and (10) identifiable
information regarding both the
individual who is making the inquiry or
complaint, and the individual on whose
behalf such inquiry or complaint is
made, and employees of the entity about
which the complaint or inquiry was
made, including name, social security
number, account numbers, address,
phone number, email address, date of
birth.
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AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Pub. L. 111–203, Title X, Sections
1011, 1012, 1013(b)(3), 1021, 1034,
codified at 12 U.S.C. 5491, 5492,
5493(b)(3), 5511, 5534.1
1 Section 1066 of the Act grants the Secretary of
the Treasury interim authority to perform certain
functions of the CFPB. Pursuant to that authority,
Treasury published interim final rules on the
Disclosure of Records and Information within 12
CFR chapter X. This SORN is published pursuant
to those rules and the Privacy Act.
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PURPOSE(S):
The information in the system is
being collected to enable the CFPB to
receive, respond to, and refer
complaints or inquiries regarding
consumer financial products or services.
The system serves as a record of the
complaint or inquiry, and is used for
collecting complaint or inquiry data;
responding to or referring the complaint
or inquiry; aggregating data that will be
used to inform other functions of the
CFPB and, as appropriate, other
agencies and/or the public; and
preparing reports as required by law.
This system consists of complaints or
inquiries received by the CFPB or other
entities and information concerning
responses to or referrals of these
complaints or inquiries, as appropriate.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES TO:
These records may be disclosed,
consistent with the CFPB Disclosure of
Records and Information Rules
promulgated in the title of the CFR to:
(1) Appropriate agencies, entities, and
persons when: (a) The CFPB suspects or
has confirmed that the security or
confidentiality of information in the
system of records has been
compromised; (b) the CFPB 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
CFPB 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 CFPB’s efforts to
respond to the suspected or confirmed
compromise and prevent, minimize, or
remedy such harm;
(2) Another federal or state agency to:
(a) Permit a decision as to access,
amendment or correction of records to
be made in consultation with or by that
agency; or (b) verify the identity of an
individual or the accuracy of
information submitted by an individual
who has requested access to or
amendment or correction of records;
(3) The Office of the President in
response to an inquiry from that office
made at the request of the subject of a
record or a third party on that person’s
behalf;
(4) Congressional offices in response
to an inquiry made at the request of the
individual to whom the record pertains;
(5) Contractors, agents, or other
authorized individuals performing work
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on a contract, service, cooperative
agreement, job, or other activity on
behalf of the CFPB or Federal
Government and who have a need to
access the information in the
performance of their duties or activities;
(6) The U.S. Department of Justice
(‘‘DOJ’’) for its use in providing legal
advice to the CFPB or in representing
the CFPB in a proceeding before a court,
adjudicative body, or other
administrative body, where the use of
such information by the DOJ is deemed
by the CFPB to be relevant and
necessary to the advice or proceeding,
and in the case of a proceeding, such
proceeding names as a party in interest:
(a) The CFPB;
(b) Any employee of the CFPB in his
or her official capacity;
(c) Any employee of the CFPB in his
or her individual capacity where DOJ or
the CFPB has agreed to represent the
employee; or
(d) The United States, where the
CFPB determines that litigation is likely
to affect the CFPB or any of its
components;
(7) A court, magistrate, or
administrative tribunal in the course of
an administrative proceeding or judicial
proceeding, including disclosures to
opposing counsel or witnesses
(including expert witnesses) in the
course of discovery or other pre-hearing
exchanges of information, litigation, or
settlement negotiations, where relevant
or potentially relevant to a proceeding,
or in connection with criminal law
proceedings;
(8) Appropriate agencies, entities, and
persons, to the extent necessary to
obtain information needed to
investigate, resolve, respond, or refer to
a complaint or inquiry;
(9) Appropriate federal, state, local,
foreign, tribal, or self-regulatory
organizations or agencies responsible for
investigating, prosecuting, enforcing,
implementing, issuing, or carrying out a
statute, rule, regulation, order, policy, or
license if the information may be
relevant to a potential violation of civil
or criminal law, rule, regulation, order,
policy or license;
(10) An entity or person that is the
subject of the complaint or inquiry and
the counsel or non-attorney
representative for that entity or person;
and
(11) Federal and state agencies for the
purpose of facilitating the data sharing
requirements described in 12 U.S.C.
5493(b)(3)(D) concerning consumer
financial products and services
complaints.
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POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPENSING OF RECORDS IN THE SYSTEM:
DEPARTMENT OF COMMERCE
STORAGE:
[A–489–805]
International Trade Administration
Paper and electronic records.
RETRIEVABILITY:
Records are retrievable by a variety of
fields including without limitation the
individual’s name, social security
number, complaint/inquiry case
number, address, account number,
transaction number, phone number,
date of birth, or by some combination
thereof.
SAFEGUARDS:
Access to electronic records is
restricted to authorized personnel who
have been issued non-transferrable
access codes and passwords. Other
records are maintained in locked file
cabinets or rooms with access limited to
those personnel whose official duties
require access.
RETENTION AND DISPOSAL:
The CFPB will maintain computer
and paper records indefinitely until the
National Archives and Records
Administration approves the CFPB’s
records disposition schedule.
SYSTEM MANAGER(S) AND ADDRESS:
The Consumer Financial Protection
Bureau, Assistant Director of Response
Center, 1700 G Street NW., Washington,
DC 20006.
NOTIFICATION PROCEDURE:
Individuals seeking notification and
access to any record contained in this
system of records, or seeking to contest
its content, may inquire in writing in
accordance with instructions appearing
in Title 12, Chapter 10 of the CFR,
‘‘Disclosure of Records and
Information.’’ Address such requests to:
Chief Privacy Officer, Bureau of
Consumer Financial Protection, 1700 G
Street NW., Washington, DC 20006.
RECORD ACCESS PROCEDURES:
See ‘‘Notification Procedures’’ above.
CONTESTING RECORD PROCEDURES:
See ‘‘Notification Procedures’’ above.
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RECORD SOURCE CATEGORIES:
Information in this system is obtained
from individuals and entities filing
complaints and inquiries, other
governmental authorities, and entities
that are the subjects of complaints and
inquiries.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
[FR Doc. 2011–28596 Filed 11–3–11; 8:45 am]
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Certain Pasta From Turkey: Notice of
Final Results of the 14th Antidumping
Duty Administrative Review
Import Administration,
International Trade Administration,
Department of Commerce.
SUMMARY: On April 29, 2011, the
Department of Commerce (the
Department) published the preliminary
results of the 14th administrative review
for the antidumping duty order on
certain pasta from Turkey (pasta).1 The
review covers one exporter: Marsan
Gida Sanayi ve Ticaret A.S. (Marsan).
The period of review (POR) is July 1,
2009, through June 30, 2010.
As a result of our analysis of the
comments received, the final results
remain the same as the Preliminary
Results. The Department continues to
find that Marsan had no shipments to
the United States during the POR for
which it was the first party with
knowledge of U.S. destination. Because
‘‘as entered’’ liquidation instructions do
not alleviate the concerns which the
May 6, 2003, ‘‘automatic assessment’’
clarification was intended to address,2
we continue to find it appropriate in
this case to instruct Customs and Border
Protection (CBP) to liquidate any
existing entries of merchandise
produced by Birlik and exported by
Marsan at the rate applicable to Birlik,
i.e., the all-others rate from the
investigation of 51.49 percent. See
Preliminary Results, 76 FR at 23977–78.
DATES: Effective Date: November 4,
2011.
AGENCY:
FOR FURTHER INFORMATION CONTACT:
Stephanie Moore, AD/CVD Operations,
Office 3, Import Administration,
International Trade Administration,
U.S. Department of Commerce, 14th
Street and Constitution Avenue NW.,
Washington, DC 20230; telephone: (202)
482–3692.
SUPPLEMENTARY INFORMATION:
Background
On April 29, 2011, the Department
published the preliminary results of
administrative review of the
antidumping duty order on certain pasta
1 See Certain Pasta From Turkey: Notice of
Preliminary Results of Antidumping Duty
Administrative Review, 76 FR 23974 (April 29,
2011) (Preliminary Results).
2 See Antidumping and Countervailing Duty
Proceedings: Assessment of Antidumping Duties,
68 FR 23954, 23954 (May 6, 2003) (Assessment of
Antidumping Duties).
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68399
from Turkey, and we invited parties to
comment on the Preliminary Results.
On May 27, 2011, Marsan submitted a
case brief, and on June 9, 2011,
petitioners 3 submitted a rebuttal brief.4
On June 27, 2011, the Department held
a public hearing.
Scope of the Review
Imports covered by this review are
shipments of certain non-egg dry pasta
in packages of five pounds (2.27
kilograms) or less, whether or not
enriched or fortified or containing milk
or other optional ingredients such as
chopped vegetables, vegetable purees,
milk, gluten, diastases, vitamins,
coloring and flavorings, and up to two
percent egg white. The pasta covered by
this scope is typically sold in the retail
market, in fiberboard or cardboard
cartons, or polyethylene or
polypropylene bags of varying
dimensions. Excluded from the scope of
this review are refrigerated, frozen, or
canned pastas, as well as all forms of
egg pasta, with the exception of non-egg
dry pasta containing up to two percent
egg white.
The merchandise subject to review is
currently classifiable under item
1902.19.20 of the Harmonized Tariff
Schedule of the United States (HTSUS).
Although the HTSUS subheading is
provided for convenience and customs
purposes, the written description of the
merchandise subject to the order is
dispositive.
Analysis of Comments Received
All issues raised in the case and
rebuttal briefs by parties to this
administrative review are addressed in
the Issues and Decision Memorandum
which is hereby adopted by this notice.
A list of the issues raised is attached to
this notice as Appendix I. The Issues
and Decision Memorandum is a public
document and is on file electronically
via Import Administration’s
Antidumping and Countervailing Duty
Centralized Electronic Service System
(IA ACCESS). Access to IA ACCESS is
also available in the Central Records
Unit (CRU), room 7046 of the main
Department of Commerce building. In
addition, a complete version of the
Issues and Decision Memorandum can
be accessed directly on the Internet at
https://www.trade.gov/ia/. The signed
Issues and Decision Memorandum and
the electronic versions of the Issues and
3 New World Pasta Company, American Italian
Pasta Company, and Dakota Growers Pasta
Company (collectively, petitioners).
4 On June 3, 2011, petitioners requested an
extension until June 9, 2011, to file its rebuttal brief.
On June 6, 2011, the Department granted the
extension.
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]]>Agencies
[Federal Register Volume 76, Number 214 (Friday, November 4, 2011)]
[Notices]
[Pages 68396-68399]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-28596]
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BUREAU OF CONSUMER FINANCIAL PROTECTION
[Docket No. CFPB-2011-0018]
Privacy Act of 1974, as Amended
AGENCY: Bureau of Consumer Financial Protection.
ACTION: Notice of Modified Privacy Act System of Records.
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SUMMARY: In accordance with the Privacy Act of 1974, as amended, the
Bureau of Consumer Financial Protection hereinto referred to as the
Consumer Financial Protection Bureau (``CFPB'') gives notice of the
establishment of a Privacy Act System of Records.
[[Page 68397]]
DATES: Comments must be received no later than December 5, 2011. The
system of records will be effective December 14, 2011 unless the
comments received result in a contrary determination.
ADDRESSES: You may submit comments, identified by Docket No. CFPB-2011-
0018, by any of the following methods:
Electronic: https://www.regulations.gov. Follow the
instructions for submitting comments.
Mail: Claire Stapleton, Chief Privacy Officer, Consumer
Financial Protection Bureau, 1700 G Street NW., Washington, DC 20006.
Hand Delivery/Courier in Lieu of Mail: Claire Stapleton,
Chief Privacy Officer, Consumer Financial Protection Bureau, 1700 G
Street NW., Washington, DC 20006.
All submissions must include the agency name and docket number for
this notice. In general all comments received will be posted without
change to https://www.regulations.gov. In addition, comments will be
available for public inspection and copying at 1700 G Street NW.,
Washington, DC 20006, on official business days between the hours of 10
a.m. and 5 p.m. Eastern Time. You can make an appointment to inspect
comments by telephoning (202) 435-7220. All comments, including
attachments and other supporting materials, will become part of the
public record and subject to public disclosure. You should submit only
information that you wish to make available publicly.
FOR FURTHER INFORMATION CONTACT: Claire Stapleton, Chief Privacy
Officer, Consumer Financial Protection Bureau, 1700 G Street NW.,
Washington, DC 20006, (202) 435-7220.
SUPPLEMENTARY INFORMATION: The Dodd-Frank Wall Street Reform and
Consumer Financial Protection Act (``Act''), Public Law 111-203, Title
X, established the CFPB to administer and enforce federal consumer
financial protection law. The CFPB will maintain the records covered by
this notice.
The system of records described in this notice, CFPB.005--Consumer
Response System, will be used to collect, respond to, and refer
consumer inquiries and complaints concerning consumer financial
products and services received after July 21, 2011. A description of
the system of records follows this Notice.
The report of a modified system of records has been submitted to
the Committee on Oversight and Government Reform of the House of
Representatives, the Committee on Homeland Security and Governmental
Affairs of the Senate, and the Office of Management and Budget,
pursuant to Appendix I to OMB Circular A-130, ``Federal Agency
Responsibilities for Maintaining Records About Individuals,'' dated
November 30, 2000, and the Privacy Act, 5 U.S.C. 552a(r).
The system of records entitled, ``CFPB.005--Consumer Response
System'' is published in its entirety below.
The CFPB implementation team under Treasury previously published a
system of records notice (``SORN'') with proposed routine uses for the
Consumer Inquiry and Complaint System (``CIC'') in the Federal
Register, 76 FR 1507, January 10, 2011. Comments were invited from the
public on the SORN. This notice takes into account these comments and
establishes the modified system of records.
The CFPB received several comments regarding the ``routine uses''
set forth in that SORN. The CFPB has carefully reviewed these comments
and has revised the routine uses contained in this SORN, as
appropriate. In some cases the routine uses have been eliminated or
combined. In the previous SORN, there were 16 routine uses, while this
SORN only has 12. In addition, the CFPB has clarified that the system
may include complaints about individuals made directly to the CFPB and
not merely complaints about individuals made to other federal or state
agencies and then shared with the CFPB.
Some comments discussed the need for further agency rulemaking, and
development of other procedures and practices. The CFPB has published
interim final regulations on information disclosure processes and
procedures. Disclosures of information contained in a system of records
must be in compliance with these interim final regulations. As the CFPB
continues to develop its policies, procedures, and regulations as
required by the Act, it will address other issues raised in the
comments, including the procedures surrounding the handling of consumer
complaints as required by Section 1034 of the Act.
Several comments characterized the routine uses as too broad and
inclusive. Each of the routine uses listed here reflect the Bureau's
careful and considered determination that the sharing of consumer
response information in these situations is necessary and proper to
carry out the agency's mission. Many of the routine uses are common to
other agencies. For example, the Federal Deposit Insurance
Corporation's Consumer Complaint and Inquiry Records SORN, published at
72 FR 61136, Oct. 29, 2007, and the Office of the Comptroller of the
Currency's Consumer Complaint and Inquiry Information System, published
at 73 FR 41412, July 18, 2008, contain routine uses similar to the
routine uses set forth in this SORN. Indeed several routine uses, such
as disclosure of information when there has been a security breach that
could present a risk of harm to the security or integrity of the system
or individuals, are common to all government agency SORNs.
One comment objected to the disclosure of information to third
parties to resolve complaints. This routine use remains as the CFPB
believes it is necessary to resolve complaints and it is common to
other financial regulators' consumer complaint SORNs.
One routine use established in the previous CFPB SORN addressing
consumer complaint data has been removed based on comments received.
Disclosure of consumer complaints to other consumers who filed similar
complaints was formerly authorized for the purpose of updating
complainants on the status of an investigation. Following the comments
received, the CFPB determined it was not necessary to disclose this
information to achieve the goals of updating all parties on the status
ongoing investigations.
One comment also objected to the use of the word ``victim'' as
overly broad. Any references to ``victim'' have been removed.
The previous consumer complaint SORN contained separate routine
uses for disclosure of records in civil and criminal proceedings before
a court, magistrate or administrative tribunal. These routine uses have
been combined.
Dated: October 31, 2011.
Claire Stapleton,
Chief Privacy Officer.
CFPB.005
System Name:
CFPB Consumer Response System.
System Location:
Consumer Financial Protection Bureau, 1700 G Street NW.,
Washington, DC 20006.
Categories of individuals covered by the system:
Individuals covered by this system are individuals who submit
complaints or inquiries to the CFPB (on their own or others' behalf);
individuals on whose behalf complaints or inquiries are submitted by
others (such as attorneys, members of Congress, third party advocates,
and/or other governmental organizations); and individuals or employees
of entities about whom
[[Page 68398]]
complaints or inquiries have been received by prudential regulators,
the Federal Trade Commission, other federal agencies, state agencies or
the CFPB. The term ``prudential regulators'' refers to any federal
banking agency, as that term is defined in section 3 of the Federal
Deposit Insurance Act, and the National Credit Union Administration.
Information collected regarding consumer products and services is
subject to the Privacy Act only to the extent that it concerns
individuals; information pertaining to corporations and other business
entities and organizations is not subject to the Privacy Act.
Categories of records in the system:
Records in the system may contain: (1) Correspondence or other
information received; (2) information from the entity or individual
referring the inquiry or complaint; (3) records created of verbal
communications by or with complainants or other individuals; (4)
information regarding third party advocates or others who submit
complaints or inquiries on another's behalf; (5) information
identifying the entity that is subject to the complaint or inquiry or
its employees; (6) communication with or by the entity that is subject
to the complaint or inquiry or its employees; (7) unique identifiers,
codes, and descriptors categorizing each complaint or inquiry file; (8)
information about how complaints or inquiries were responded to or
referred, including any resolution; (9) records used to respond to or
refer complaints or inquiries, including information in the CFPB's
other systems of records; and (10) identifiable information regarding
both the individual who is making the inquiry or complaint, and the
individual on whose behalf such inquiry or complaint is made, and
employees of the entity about which the complaint or inquiry was made,
including name, social security number, account numbers, address, phone
number, email address, date of birth.
Authority for maintenance of the system:
Pub. L. 111-203, Title X, Sections 1011, 1012, 1013(b)(3), 1021,
1034, codified at 12 U.S.C. 5491, 5492, 5493(b)(3), 5511, 5534.\1\
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\1\ Section 1066 of the Act grants the Secretary of the Treasury
interim authority to perform certain functions of the CFPB. Pursuant
to that authority, Treasury published interim final rules on the
Disclosure of Records and Information within 12 CFR chapter X. This
SORN is published pursuant to those rules and the Privacy Act.
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Purpose(s):
The information in the system is being collected to enable the CFPB
to receive, respond to, and refer complaints or inquiries regarding
consumer financial products or services. The system serves as a record
of the complaint or inquiry, and is used for collecting complaint or
inquiry data; responding to or referring the complaint or inquiry;
aggregating data that will be used to inform other functions of the
CFPB and, as appropriate, other agencies and/or the public; and
preparing reports as required by law. This system consists of
complaints or inquiries received by the CFPB or other entities and
information concerning responses to or referrals of these complaints or
inquiries, as appropriate.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses to:
These records may be disclosed, consistent with the CFPB Disclosure
of Records and Information Rules promulgated in the title of the CFR
to:
(1) Appropriate agencies, entities, and persons when: (a) The CFPB
suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the CFPB
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 CFPB 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 CFPB's efforts to
respond to the suspected or confirmed compromise and prevent, minimize,
or remedy such harm;
(2) Another federal or state agency to: (a) Permit a decision as to
access, amendment or correction of records to be made in consultation
with or by that agency; or (b) verify the identity of an individual or
the accuracy of information submitted by an individual who has
requested access to or amendment or correction of records;
(3) The Office of the President in response to an inquiry from that
office made at the request of the subject of a record or a third party
on that person's behalf;
(4) Congressional offices in response to an inquiry made at the
request of the individual to whom the record pertains;
(5) Contractors, agents, or other authorized individuals performing
work on a contract, service, cooperative agreement, job, or other
activity on behalf of the CFPB or Federal Government and who have a
need to access the information in the performance of their duties or
activities;
(6) The U.S. Department of Justice (``DOJ'') for its use in
providing legal advice to the CFPB or in representing the CFPB in a
proceeding before a court, adjudicative body, or other administrative
body, where the use of such information by the DOJ is deemed by the
CFPB to be relevant and necessary to the advice or proceeding, and in
the case of a proceeding, such proceeding names as a party in interest:
(a) The CFPB;
(b) Any employee of the CFPB in his or her official capacity;
(c) Any employee of the CFPB in his or her individual capacity
where DOJ or the CFPB has agreed to represent the employee; or
(d) The United States, where the CFPB determines that litigation is
likely to affect the CFPB or any of its components;
(7) A court, magistrate, or administrative tribunal in the course
of an administrative proceeding or judicial proceeding, including
disclosures to opposing counsel or witnesses (including expert
witnesses) in the course of discovery or other pre-hearing exchanges of
information, litigation, or settlement negotiations, where relevant or
potentially relevant to a proceeding, or in connection with criminal
law proceedings;
(8) Appropriate agencies, entities, and persons, to the extent
necessary to obtain information needed to investigate, resolve,
respond, or refer to a complaint or inquiry;
(9) Appropriate federal, state, local, foreign, tribal, or self-
regulatory organizations or agencies responsible for investigating,
prosecuting, enforcing, implementing, issuing, or carrying out a
statute, rule, regulation, order, policy, or license if the information
may be relevant to a potential violation of civil or criminal law,
rule, regulation, order, policy or license;
(10) An entity or person that is the subject of the complaint or
inquiry and the counsel or non-attorney representative for that entity
or person; and
(11) Federal and state agencies for the purpose of facilitating the
data sharing requirements described in 12 U.S.C. 5493(b)(3)(D)
concerning consumer financial products and services complaints.
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Policies and practices for storing, retrieving, accessing, retaining,
and dispensing of records in the system:
Storage:
Paper and electronic records.
Retrievability:
Records are retrievable by a variety of fields including without
limitation the individual's name, social security number, complaint/
inquiry case number, address, account number, transaction number, phone
number, date of birth, or by some combination thereof.
Safeguards:
Access to electronic records is restricted to authorized personnel
who have been issued non-transferrable access codes and passwords.
Other records are maintained in locked file cabinets or rooms with
access limited to those personnel whose official duties require access.
Retention and disposal:
The CFPB will maintain computer and paper records indefinitely
until the National Archives and Records Administration approves the
CFPB's records disposition schedule.
System manager(s) and address:
The Consumer Financial Protection Bureau, Assistant Director of
Response Center, 1700 G Street NW., Washington, DC 20006.
Notification procedure:
Individuals seeking notification and access to any record contained
in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing in Title
12, Chapter 10 of the CFR, ``Disclosure of Records and Information.''
Address such requests to: Chief Privacy Officer, Bureau of Consumer
Financial Protection, 1700 G Street NW., Washington, DC 20006.
Record access procedures:
See ``Notification Procedures'' above.
Contesting record procedures:
See ``Notification Procedures'' above.
Record source categories:
Information in this system is obtained from individuals and
entities filing complaints and inquiries, other governmental
authorities, and entities that are the subjects of complaints and
inquiries.
Exemptions claimed for the system:
None.
[FR Doc. 2011-28596 Filed 11-3-11; 8:45 am]
BILLING CODE 4810-AM-P
