Privacy Act of 1974, as Amended; System of Records, 2945-2962 [2016-00763]

Agencies

• Office of the Comptroller of the Currency
• DEPARTMENT OF THE TREASURY

[Federal Register Volume 81, Number 11 (Tuesday, January 19, 2016)]
[Notices]
[Pages 2945-2962]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-00763]


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DEPARTMENT OF THE TREASURY

Office of the Comptroller of the Currency


Privacy Act of 1974, as Amended; System of Records

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

ACTION: Notice of systems of records.

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SUMMARY: In accordance with the requirements of the Privacy Act of 
1974, as amended, the Office of the Comptroller of the Currency, 
Treasury, is publishing its inventory of Privacy Act systems of 
records.

SUPPLEMENTARY INFORMATION: Pursuant to the Privacy Act of 1974, as 
amended, 5 U.S.C. 552a, and Office of Management and Budget (OMB) 
Circular No. A-130, the Comptroller of the Currency (OCC) has completed 
a review of its Privacy Act systems of records notices to identify 
minor changes that will more accurately describe these records.

[[Page 2946]]

    Department of the Treasury regulations require the Department to 
publish the existence and character of all systems of records every 
three years as specified in 31 CFR 1.23(a)(1). With respect to its 
inventory of Privacy Act systems of records, the OCC has determined 
that the information contained in its systems of records is accurate, 
timely, relevant, complete, and necessary to maintain the proper 
performance of a documented agency function. The OCC's systems of 
records notice was last published in its entirety on April 3, 2012, at 
77 FR 20104-20122.
    This publication covers the Privacy Act systems of records that 
were formerly Office of Thrift Supervision (OTS) systems, which the OCC 
adopted on July 26, 2011, at 76 FR 44656. Treasury/OTS systems of 
records were transferred to the OCC pursuant to section 323 of the 
Dodd-Frank Act, 12 U.S.C. 5433. The OTS systems of records notices were 
last published in their entirety on June 29, 2009, at 74 FR 31103.
    This publication gives notice of two new systems of records. 
Treasury/CC .341, Mass Communications System, contains records 
necessary to communicate with OCC employees in the event of an 
emergency. Treasury/CC .701, Retiree Billing System, contains records 
necessary to contact and to send bills to former OCC and OTS employees, 
retirees enrolled in OCC and OTS life insurance programs, and employees 
receiving annuities from the Pentegra Deferred Benefit Plan.
    This publication gives notice of the following actions.
    Treasury/OTS .002, Correspondence and Correspondence Tracking 
system has been retired. The records have been archived or destroyed in 
accordance with OCC records management policies.
    Treasury/OTS .003, Consumer Complaint Files system will be retired 
at the end of July 2016. All records in this system of records will be 
archived or merged with Treasury/CC .600, Consumer Complaint and 
Inquiry Information, before the end of July 2016.
    Treasury/OTS .006, Employee Locator File system has been retired. 
The records in this system have been merged into OCC personnel and 
payroll records, part of the Treasury-wide system, Treasury .001, 
Treasury Personnel and Payroll System dated January 2, 2014 at 79 FR 
184.
    Treasury/OTS .012, Payroll/Personnel Systems & Payroll Records, has 
been retired. The records have been merged with OCC records within 
Treasury .001, Treasury Personnel and Payroll System dated January 2, 
2014 at 79 FR 184.
    Treasury/OTS .013, Mass Communication System has been retired. The 
records have been merged into Treasury/CC .341, Mass Communication 
System.
    Treasury/OTS .015, OTS Retiree Billing System has been retired. 
Records in the system were merged into a new OCC system, Treasury/CC 
.701, Retiree Billing System.
    Other changes throughout the document are editorial in nature and 
consist principally of revising address information and minor editorial 
changes.
Systems Covered by This Notice
    This notice covers all systems of records adopted by the OCC up to 
December 1, 2015. The systems notices are reprinted in their entirety 
following the Table of Contents.

    Dated: January 12, 2016.
Helen Goff Foster,
Deputy Assistant Secretary for Privacy, Transparency, and Records.

Table of Contents

The Comptroller of the Currency (OCC)

CC .100--Enforcement Action Report System
CC .110--Reports of Suspicious Activities
CC .120--Bank Fraud Information System
CC .200--Chain Banking Organizations System
CC .210--Bank Securities Dealers System
CC .220--Notices of Proposed Changes in Employees, Officers and 
Directors Tracking System
CC .340--Access Control System
CC .341--Mass Communication System
CC .500--Chief Counsel's Management Information System
CC .510--Litigation Information System
CC .600--Consumer Complaint and Inquiry Information System
CC .700--Correspondence Tracking System
CC .701--Retiree Billing System
CC .800--Office of Inspector General Investigations System
OTS .003--OTS Consumer Complaint Files
TREASURY/CC .100

SYSTEM NAME:
    Enforcement Action Report System--Treasury/Comptroller.

SYSTEM LOCATION:
    Office of the Comptroller of the Currency (OCC), Office of Chief 
Counsel, Enforcement and Compliance Division, 400 Seventh Street SW., 
Suite 3E-218, Washington, DC 20219-0001.

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

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records maintained in this system may contain the names of 
individuals, their positions or titles with financial institutions, 
descriptions of offenses and alleged misconduct, pending and completed 
enforcement actions, and descriptions of offenses requiring OCC or 
Federal Deposit Insurance Corporation approval of waivers under 12 
U.S.C. 1829.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    12 U.S.C. 1, 27, 481, 1817(j), 1818, 1820, and 1831i.

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

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information maintained in this system may be disclosed to:
    (1) An OCC-regulated entity when the information is relevant to the 
entity's operations;
    (2) Third parties to the extent necessary to obtain information 
that is relevant to an examination or investigation;
    (3) The news media in accordance with guidelines contained in 28 
CFR 50.2;
    (4) Appropriate governmental or self-regulatory organizations when 
the OCC determines that the records are relevant and necessary to the 
governmental or self-regulatory organization's regulation

[[Page 2947]]

or supervision of financial service providers, including the review of 
the qualifications and fitness of individuals who are or propose to 
become responsible for the business operations of such providers;
    (5) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (6) A congressional office when the information is relevant to an 
inquiry made at the request of the individual about whom the record is 
maintained;
    (7) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity;
    (8) Third parties when mandated or authorized by statute; or
    (9) Appropriate agencies, entities, and persons when: (a) The 
Department suspects or has confirmed that the security or 
confidentiality of information in the system of records has been 
compromised; (b) the Department has determined that as a result of the 
suspected or confirmed compromise there is a risk of harm to economic 
or property interests, identity theft or fraud, or harm to the security 
or integrity of this system or other systems or programs (whether 
maintained by the Department or another agency or entity) that rely 
upon the compromised information; and (c) the disclosure made to such 
agencies, entities, and persons is reasonably necessary to assist in 
connection with the Department's efforts to respond to the suspected or 
confirmed compromise and prevent, minimize, or remedy such harm.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records maintained in this system are stored electronically.

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

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

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

SYSTEM MANAGER AND ADDRESS:
    Director, Enforcement and Compliance Division, Office of Chief 
Counsel, Office of the Comptroller of the Currency, 400 Seventh Street 
SW., Suite 3E-218, Washington, DC 20219-0001.

NOTIFICATION PROCEDURE:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Office of the Comptroller of the Currency, 400 Seventh Street SW., 
Suite 3E-218, Washington, DC 20219-0001. See 31 CFR part 1, subpart C, 
Appendix J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identity, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

RECORD ACCESS PROCEDURES:
    See ``Notification Procedure'' above.

CONTESTING RECORD PROCEDURES:
    See ``Notification Procedure'' above.

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

EXEMPTIONS CLAIMED FOR THIS SYSTEM:
    Records maintained in this system have been designated as exempt 
from 5 U.S.C. 552a(c)(3), (d)(1), (2), (3), and (4), (e)(1), (e)(4)(G), 
(H), and (I), and (f) of the Privacy Act pursuant to 5 U.S.C. 
552a(k)(2). See 31 CFR 1.36.
TREASURY/CC .110

SYSTEM NAME:
    Reports of Suspicious Activities--Treasury/Comptroller.

SYSTEM LOCATION:
    Office of the Comptroller of the Currency (OCC), Office of Chief 
Counsel, Enforcement and Compliance Division, 400 Seventh Street SW., 
Suite 3E-218, Washington, DC 20219-0001. Suspicious Activity Reports 
(SARs) are managed by the Financial Crimes Enforcement Network 
(FinCEN), Department of the Treasury, 2070 Chain Bridge Road, Vienna, 
Virginia 22182, and stored at the IRS Computing Center in Detroit, 
Michigan. Information extracted from or relating to SARs or reports of 
crimes and suspected crimes is maintained in an OCC electronic 
database. This database, as well as the database managed by FinCEN, is 
accessible to designated OCC headquarters and district office 
personnel.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals covered by this system are individuals who have been 
designated as suspects or witnesses in SARs or reports of crimes and 
suspected crimes.

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

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    12 U.S.C. 1, 27, 481, 1817(j), 1818, 1820, and 1831i; 31 U.S.C. 
5318.

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

[[Page 2948]]

review of the qualifications and fitness of individuals who are or 
propose to become responsible for the business operations of OCC-
regulated entities.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information maintained in this system may be disclosed to:
    (1) The Department of Justice through periodic reports containing 
the identities of individuals suspected of having committed violations 
of criminal law;
    (2) An OCC-regulated entity if the SAR relates to that institution;
    (3) Third parties to the extent necessary to obtain information 
that is relevant to an examination or investigation;
    (4) Appropriate governmental or self-regulatory organizations when 
the OCC determines that the records are relevant and necessary to the 
governmental or self-regulatory organization's regulation and 
supervision of financial service providers, including the review of the 
qualifications and fitness of individuals who are or propose to become 
responsible for the business operations of such providers;
    (5) An appropriate governmental, international, tribal, self-
regulatory, or professional organization if the information is relevant 
to a known or suspected violation of a law or licensing standard within 
that organization's jurisdiction;
    (6) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (7) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity;
    (8) Third parties when mandated or authorized by statute; or
    (9) Appropriate agencies, entities, and persons when: (a) The 
Department suspects or has confirmed that the security or 
confidentiality of information in the system of records has been 
compromised; (b) the Department has determined that as a result of the 
suspected or confirmed compromise there is a risk of harm to economic 
or property interests, identity theft or fraud, or harm to the security 
or integrity of this system or other systems or programs (whether 
maintained by the Department or another agency or entity) that rely 
upon the compromised information; and (c) the disclosure made to such 
agencies, entities, and persons is reasonably necessary to assist in 
connection with the Department's efforts to respond to the suspected or 
confirmed compromise and prevent, minimize, or remedy such harm.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records maintained in this system are stored electronically.

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

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

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

SYSTEM MANAGERS AND ADDRESS:
    Deputy Comptroller, Special Supervision Division, Midsize/Community 
Bank Supervision, Office of the Comptroller of the Currency, 400 
Seventh Street SW., Suite 3E-218, Washington, DC 20219-0001.

NOTIFICATION PROCEDURE:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Office of the Comptroller of the Currency, 400 Seventh Street SW., 
Suite 3E-218, Washington, DC 20219-0001. See 31 CFR part 1, subpart C, 
Appendix J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identity, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

RECORD ACCESS PROCEDURES:
    See ``Notification Procedure'' above.

CONTESTING RECORD PROCEDURES:
    See ``Notification Procedure'' above.

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

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    Records in this system have been designated as exempt from 5 U.S.C. 
552a(c)(3) and (4), (d)(1), (2), (3), and (4), (e)(1), (e)(2), (e)(3), 
(e)(4)(G), (H), and (I), (e)(5), and (e)(8), (f), and (g) of the 
Privacy Act pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). See 31 CFR 
1.36.
TREASURY/CC .120

SYSTEM NAME:
    Bank Fraud Information System--Treasury/Comptroller.

SYSTEM LOCATION:
    Office of the Comptroller of the Currency (OCC), Bank Supervision 
Operations, 400 Seventh Street SW., Suite 3E-218, Washington, DC 20219-
0001.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals covered by this system are those who submit complaints 
or inquiries about fraudulent or suspicious financial instruments or 
transactions or who are the subjects of complaints or inquiries.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records maintained in this system may contain: The name, address, 
or telephone number of the individual who submitted a complaint or 
inquiry; the name, address, or telephone number of the individual or 
entity who is the subject of a complaint or inquiry; the types of 
activity involved; the date of a complaint or inquiry; and numeric 
codes identifying a complaint or inquiry's nature or source. Supporting 
records may contain correspondence

[[Page 2949]]

between the OCC and the individual or entity submitting a complaint or 
inquiry, correspondence between the OCC and an OCC-regulated entity, or 
correspondence between the OCC and other law enforcement or regulatory 
bodies. Other records maintained in this system may contain arrest, 
indictment and conviction information, and information relating to 
administrative actions taken or initiated in connection with complaints 
or inquiries.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    12 U.S.C. 1, 27, 481, 1817(j), 1818, 1820, and 1831i; 31 U.S.C. 
5318.

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

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information maintained in this system may be disclosed to:
    (1) An OCC-regulated entity to the extent that such entity is the 
subject of a complaint, inquiry, or fraudulent activity;
    (2) Third parties to the extent necessary to obtain information 
that is relevant to the resolution of a complaint or inquiry, an 
examination, or an investigation;
    (3) Appropriate governmental or self-regulatory organizations when 
the OCC determines that the records are relevant and necessary to the 
governmental or self-regulatory organization's regulation or 
supervision of financial service providers;
    (4) An appropriate governmental, international, tribal, self-
regulatory, or professional organization if the information is relevant 
to a known or suspected violation of a law or licensing standard within 
that organization's jurisdiction;
    (5) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (6) A congressional office when the information is relevant to an 
inquiry made at the request of the individual about whom the record is 
maintained;
    (7) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity;
    (8) Third parties when mandated or authorized by statute; or
    (9) Appropriate agencies, entities, and persons when: (a) The 
Department suspects or has confirmed that the security or 
confidentiality of information in the system of records has been 
compromised; (b) the Department has determined that as a result of the 
suspected or confirmed compromise there is a risk of harm to economic 
or property interests, identity theft or fraud, or harm to the security 
or integrity of this system or other systems or programs (whether 
maintained by the Department or another agency or entity) that rely 
upon the compromised information; and (c) the disclosure made to such 
agencies, entities, and persons is reasonably necessary to assist in 
connection with the Department's efforts to respond to the suspected or 
confirmed compromise and prevent, minimize, or remedy such harm.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records maintained in this system are stored electronically, in 
card files, and in file folders.

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

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

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

SYSTEM MANAGER AND ADDRESS:
    Deputy Comptroller, Special Supervision, Bank Supervision 
Operations, Office of the Comptroller of the Currency, 400 Seventh 
Street SW., Suite 3E-218, Washington, DC 20219-0001.

NOTIFICATION PROCEDURE:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Office of the Comptroller of the Currency, 400 Seventh Street SW., 
Suite 3E-218, Washington, DC 20219-0001. See 31 CFR part 1, subpart C, 
Appendix J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identity, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

RECORD ACCESS PROCEDURES:
    See ``Notification Procedure'' above.

CONTESTING RECORD PROCEDURES:
    See ``Notification Procedure'' above.

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

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    Records maintained in this system have been designated as exempt 
from 5 U.S.C. 552a(c)(3) and (4), (d)(1), (2), (3), and (4), (e)(1), 
(e)(2), (e)(3), (e)(4)(G), (H), and (I), (e)(5), (e)(8), (f), and (g) 
of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). See 31 
CFR 1.36.
TREASURY/CC .200

SYSTEM NAME:
    Chain Banking Organizations System--Treasury/Comptroller.

SYSTEM LOCATION:
    Office of the Comptroller of the Currency (OCC), Operations Risk 
Policy, 400 Seventh Street SW., Suite 3E-218, Washington, DC 20219-
0001, and the

[[Page 2950]]

OCC's district offices as follows: Central District Office, One 
Financial Place, Suite 2700, 440 South LaSalle Street, Chicago, IL 
60605-1073; Northeastern District Office, 340 Madison Avenue, Fifth 
Floor, New York, NY 10017-2613; Southern District Office, 500 North 
Akard Street, Suite 1600, Dallas, TX 75201-3394; and Western District 
Office, 1225 17th Street, Suite 300, Denver, CO 80202-5534.

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

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

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    12 U.S.C. 1, 481, 1817(j), and 1820.

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

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information maintained in this system may be disclosed to:
    (1) An OCC-regulated entity when information is relevant to the 
entity's operation;
    (2) Appropriate governmental or self-regulatory organizations when 
the OCC determines that the records are relevant and necessary to the 
governmental or self-regulatory organization's regulation or 
supervision of financial service providers;
    (3) An appropriate governmental, tribal, self-regulatory, or 
professional organization if the information is relevant to a known or 
suspected violation of a law or licensing standard within the 
organization's jurisdiction;
    (4) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (5) A Congressional office when the information is relevant to an 
inquiry made at the request of the individual about whom the record is 
maintained;
    (6) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity;
    (7) Third parties when mandated or authorized by statute; or
    (8) Appropriate agencies, entities, and persons when: (a) The 
Department suspects or has confirmed that the security or 
confidentiality of information in the system of records has been 
compromised; (b) the Department has determined that as a result of the 
suspected or confirmed compromise there is a risk of harm to economic 
or property interests, identity theft or fraud, or harm to the security 
or integrity of this system or other systems or programs (whether 
maintained by the Department or another agency or entity) that rely 
upon the compromised information; and (c) the disclosure made to such 
agencies, entities, and persons is reasonably necessary to assist in 
connection with the Department's efforts to respond to the suspected or 
confirmed compromise and prevent, minimize, or remedy such harm.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records maintained in this system are stored electronically.

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

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

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

SYSTEM MANAGER AND ADDRESS:
    Director, Operational Risk Policy, Office of the Comptroller of the 
Currency, 400 Seventh Street SW., Suite 3E-218, Washington, DC 20219-
0001.

NOTIFICATION PROCEDURE:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Office of the Comptroller of the Currency, 400 Seventh Street SW., 
Suite 3E-218, Washington, DC 20219-0001. See 31 CFR part 1, subpart C, 
Appendix J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identity, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.
    Additional documentation establishing identity or qualification for

[[Page 2951]]

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

RECORD ACCESS PROCEDURES:
    See ``Notification Procedure'' above.

CONTESTING RECORD PROCEDURES:
    See ``Notification Procedure'' above.

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

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
TREASURY/CC .210

SYSTEM NAME:
    Bank Securities Dealers System--Treasury/Comptroller.

SYSTEM LOCATION:
    Office of the Comptroller of the Currency (OCC), Credit and Market 
Risk, 400 Seventh Street SW., Suite 3E-218, Washington, DC 20219-0001.

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

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

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    12 U.S.C. 1, 481, 1464, 1818, and 1820; 15 U.S.C. 78o-4, 78o-5, 
78q, and 78w.

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

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH SYSTEMS:
    Information maintained in this system may be disclosed to:
    (1) An OCC-regulated entity in connection with its filing relating 
to the qualifications and fitness of an individual serving or proposing 
to serve the entity in a securities-related capacity;
    (2) Third parties to the extent needed to obtain additional 
information concerning the professional qualifications and fitness of 
an individual covered by the system;
    (3) Third parties inquiring about the subject of an OCC enforcement 
action;
    (4) Appropriate governmental or self-regulatory organizations when 
the OCC determines that the records are relevant and necessary to the 
governmental or self-regulatory organization's regulation or 
supervision of financial service providers, including the review of the 
qualifications and fitness of individuals who are or propose to become 
involved in the provider's securities business;
    (5) An appropriate governmental, tribal, self-regulatory, or 
professional organization if the information is relevant to a known or 
suspected violation of a law or licensing standard within that 
organization's jurisdiction;
    (6) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (7) A Congressional office when the information is relevant to an 
inquiry made at the request of the individual about whom the record is 
maintained;
    (8) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity;
    (9) Third parties when mandated or authorized by statute; or
    (10) Appropriate agencies, entities, and persons when: (a) The 
Department suspects or has confirmed that the security or 
confidentiality of information in the system of records has been 
compromised; (b) the Department has determined that as a result of the 
suspected or confirmed compromise there is a risk of harm to economic 
or property interests, identity theft or fraud, or harm to the security 
or integrity of this system or other systems or programs (whether 
maintained by the Department or another agency or entity) that rely 
upon the compromised information; and (c) the disclosure made to such 
agencies, entities, and persons is reasonably necessary to assist in 
connection with the Department's efforts to respond to the suspected or 
confirmed compromise and prevent, minimize, or remedy such harm.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records maintained in this system are stored electronically and in 
file folders.

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

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

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

SYSTEM MANAGER AND ADDRESS:
    Deputy Comptroller, Credit and Market Risk, Office of the 
Comptroller of the Currency, 400 Seventh Street SW., Suite 3E-218, 
Washington, DC 20219-0001.

NOTIFICATION PROCEDURE:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to Freedom of Information Act Officer, Communications Division, Office 
of the Comptroller of the Currency, 400 Seventh Street SW., Suite 3E-
218, Washington, DC 20219-0001. See 31 CFR part 1, subpart C, Appendix 
J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking

[[Page 2952]]

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

RECORD ACCESS PROCEDURES:
    See ``Notification Procedure'' above.

CONTESTING RECORD PROCEDURES:
    See ``Notification Procedure'' above.

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

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
TREASURY/CC .220

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

SYSTEM LOCATION:
    Office of the Comptroller of the Currency (OCC), Special 
Supervision, 400 Seventh Street SW., Suite 3E-218, Washington, DC 
20219-0001.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals covered by this system are those who are named in 
notices filed:
    (1) Under 12 CFR 5.51 as proposed directors or senior executive 
officers of a national bank, or federal branches of foreign banks 
(Section 5.51-regulated entities) when the entities: (a) Have a 
composite rating of 4 or 5 under the Uniform Financial Institutions 
Rating System; (b) are subject to cease and desist orders, consent 
orders, or formal written agreements, unless otherwise informed in 
writing by the OCC; (c) have been determined, in writing, by the OCC to 
be in ``troubled condition''; (d) are not in compliance with minimum 
capital requirements prescribed under 12 CFR part 3; or (e) have been 
advised by the OCC, in connection with its review of an entity's 
capital restoration plan, that such filings are appropriate.
    (2) Under 12 CFR 5.20(g)(2) as proposed officers or directors of 
national banks (Section 5.20(g)(2) entities) for a two-year period from 
the date they commence business.
    (3) Under 12 CFR 163, subpart H (previously 12 CFR 563, subpart H) 
as proposed directors or senior executive officers of federal savings 
associations (part 163, subpart H entities) when the entities: (a) Are 
not in compliance with minimum capital requirements prescribed under 12 
CFR 167 (previously 12 CFR 567); (b) have a composite rating of 4 or 5 
under the Uniform Financial Institutions Rating system; (c) are subject 
to capital directives, cease and desist orders, consent orders, formal 
written agreements, or prompt corrective action directives relating to 
the safety and soundness or financial viability of the federal savings 
association, unless otherwise informed 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:
    Records maintained in this Privacy Act system may contain: the 
names, charter numbers, and locations of the OCC-regulated entities 
that have submitted notices; the names, addresses, dates of birth, and 
social security numbers of individuals proposed as either directors or 
senior executive officers; and the actions taken by the OCC in 
connection with these notices.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    12 U.S.C. 1, 27, 93a, 481, 1464, 1817(j), 1818, 1820, and 1831i.

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

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information maintained in this system may be disclosed to:
    (1) A Section 5.51 entity, a Section 5.20(g)(2) entity, a part 163, 
subpart H entity, or a Section 1818(b) entity in connection with review 
and action on a notice filed by that entity;
    (2) Third parties to the extent necessary to obtain information 
that is pertinent to the OCC's review and action on a notice received 
under any authority cited herein;
    (3) Appropriate governmental or self-regulatory organizations when 
the OCC determines that the records are relevant and necessary to the 
governmental or self-regulatory organization's regulation or 
supervision of financial service providers, including the review of the 
qualifications and fitness of individuals who are or propose to become 
responsible for the business operations of such providers;
    (4) An appropriate governmental, tribal, self-regulatory, or 
professional organization if the information is relevant to a known or 
suspected violation of a law or licensing standard within that 
organization's jurisdiction;
    (5) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (6) A congressional office when the information is relevant to an 
inquiry made at the request of the individual about whom the record is 
maintained;
    (7) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity;
    (8) Third parties when mandated or authorized by statute; or
    (9) Appropriate agencies, entities, and persons when: (a) The 
Department suspects or has confirmed that the security or 
confidentiality of information in the system of records has been 
compromised; (b) the Department has determined that as a result of the 
suspected or confirmed compromise there is a risk of harm to economic 
or property interests, identity theft or

[[Page 2953]]

fraud; or harm to the security or integrity of this system or other 
systems or programs (whether maintained by the Department or another 
agency or entity) that rely upon the compromised information; and (c) 
the disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with the Department's 
efforts to respond to the suspected or confirmed compromise and 
prevent, minimize, or remedy such harm.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records maintained in this system are stored both electronically 
and in paper files.

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

SAFEGUARDS:
    Access to electronic records is restricted to authorized personnel 
who have been issued non-transferrable access codes and passwords. 
Paper files are stored in locked cabinets in access controlled 
facilities with access limited to authorized personnel.

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

SYSTEM MANAGER AND ADDRESS:
    Deputy Comptroller, Special Supervision, Bank Supervision 
Operations, Office of the Comptroller of the Currency, 400 Seventh 
Street SW., Suite 3E-218, Washington, DC 20219-0001.

NOTIFICATION PROCEDURE:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Office of the Comptroller of the Currency, 400 Seventh Street SW., 
Suite 3E-218, Washington, DC 20219-0001. See 31 CFR part 1, subpart C, 
Appendix J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identity, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

RECORD ACCESS PROCEDURES:
    See ``Notification Procedure'' above.

CONTESTING RECORD PROCEDURES:
    See ``Notification Procedure'' above.

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

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    Records maintained in this system have been designated as exempt 
from 5 U.S.C. 552a(c)(3), (d)(1), (2), (3), and (4), (e)(1), (e)(4)(G), 
(H), and (I), and (f) of the Privacy Act pursuant to 5 U.S.C. 
552a(j)(2) and (k)(2). See 31 CFR 1.36.
TREASURY/CC .340

SYSTEM NAME:
    Access Control System--Treasury/Comptroller.

SYSTEM LOCATION:
    Office of the Comptroller of the Currency (OCC), Security Office, 
Office of Management, 400 Seventh Street SW., Suite 3E-218, Washington, 
DC 20219.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals covered by this system are OCC employees, contractors, 
agents, and volunteers who have been issued an OCC identification card.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records maintained in this system may contain an individual's name, 
location information, and picture. The system of records also may 
contain time records of entrances and attempted entrances into OCC 
premises.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    12 U.S.C. 1, 481, and 482; 5 U.S.C. 301.

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

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information maintained in this system may be disclosed to:
    (1) Third parties to the extent necessary to obtain information 
that is relevant to an investigation concerning access to or the 
security of the OCC's premises;
    (2) An appropriate governmental authority if the information is 
relevant to a known or suspected violation of a law within that 
organization's jurisdiction;
    (3) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (4) A congressional office when the information is relevant to an 
inquiry made at the request of the individual about whom the record is 
maintained;
    (5) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity;
    (6) Third parties when mandated or authorized by statute, or
    (7) Appropriate agencies, entities, and persons when: (a) The 
Department suspects or has confirmed that the security or 
confidentiality of information in the system of records has been 
compromised; (b) the Department has determined that as a result of the 
suspected or confirmed compromise there is a risk of harm to economic 
or property interests, identity theft or fraud, or harm to the security 
or integrity of this system or other systems or programs (whether 
maintained by the Department or another agency or entity) that rely 
upon the compromised information; and (c) the disclosure made to such 
agencies, entities, and persons is

[[Page 2954]]

reasonably necessary to assist in connection with the Department's 
efforts to respond to the suspected or confirmed compromise and 
prevent, minimize, or remedy such harm.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records maintained in this system are stored electronically.

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

SAFEGUARDS:
    Access to electronic records is restricted to authorized personnel 
who have been system accounts.

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

SYSTEM MANAGER AND ADDRESS:
    Director, Office of Security (OS), Office of the Comptroller of the 
Currency, 400 Seventh Street SW., Suite 3E-218, Washington, DC 20219.

NOTIFICATION PROCEDURE:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Office of the Comptroller of the Currency, 400 Seventh Street SW., 
Suite 3E-218, Washington, DC 20219. See 31 CFR part 1, subpart C, 
Appendix J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identity, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

RECORD ACCESS PROCEDURES:
    See ``Notification Procedure'' above.

CONTESTING RECORD PROCEDURES:
    See ``Notification Procedure'' above.

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

EXEMPTIONS CLAIMED FOR THE SYSTEM:
     None.
TREASURY/CC .341

SYSTEM NAME:
    Mass Communication System--Treasury/Comptroller.

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

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    All employees and contractors of the OCC.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Employees' and contractors' names, home telephone numbers, personal 
mobile telephone numbers, personal email addresses, official business 
telephone numbers, official business email addresses, official business 
mobile telephone numbers.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Executive Order 12148, Federal Emergency Management.

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

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSE OF SUCH USES:
    Information in these records may be used to:
    (1) Make disclosures to a congressional office from the records of 
an individual in response to an inquiry made at the request of the 
individual to whom the record pertains;
    (2) Representatives of the National Archives and Records 
Administration who are conducting records management inspections under 
authority of 44 U.S.C. 2904 and 2906.
    (3) A contractor for the purpose of fulfilling a contract, 
compiling, organizing, analyzing, programming, or otherwise refining 
records to accomplish an agency function subject to the same 
limitations applicable to Department of the Treasury officers and 
employees under the Privacy Act.
    (4) Disclose information to the appropriate agencies, entities, and 
persons when: (a) The Department suspects or has confirmed that the 
security or confidentiality of information in the system of records has 
been compromised; (b) the Department has determined that as a result of 
the suspected or confirmed compromise there is a risk of harm to 
economic or property interests, identity theft or fraud, or harm to the 
security or integrity of this system or other systems or programs 
(whether maintained by the Department or another agency or entity) that 
rely upon the compromised information; and (c) the disclosure made to 
such agencies, entities, and persons is reasonably necessary to assist 
in connection with the Department's efforts to respond to the suspected 
or confirmed compromise and prevent, minimize, or remedy such harm.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are maintained in electronic format at the service 
provider's site.

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

[[Page 2955]]

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

RETENTION AND DISPOSAL:
    Records are retained and disposed of in accordance with National 
Archives and Records Administration General Records Schedules.

SYSTEM MANAGER AND ADDRESS:
    Director, Office of Security, Office of the Comptroller of the 
Currency, 400 Seventh Street SW., Suite 3E-218, Washington, DC 20219-
0001.

NOTIFICATION PROCEDURE:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Office of the Comptroller of the Currency, 400 Seventh Street SW., 
Suite 3E-218, Washington, DC 20219-0001. See 31 CFR part 1, subpart C, 
Appendix J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identity, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

RECORD ACCESS PROCEDURES:
    See ``Notification Procedure'' above.

CONTESTING RECORD PROCEDURES:
    See ``Notification Procedure'' above.

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

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
TREASURY/CC .500

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

SYSTEM LOCATION:
    Office of the Comptroller of the Currency (OCC), Office of Chief 
Counsel, 400 Seventh Street SW., Suite 3E-218, Washington, DC 20219-
0001.

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

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records maintained in this system may contain the names of: Banks; 
requestors; parties; witnesses; current or former shareholders; 
directors, officers, employees and agents of OCC-regulated entities; 
current, former or potential bank customers; and current or former OCC 
employees. These records contain summarized information concerning the 
description and status of Law Department work assignments. Supporting 
records may include pleadings and discovery materials generated in 
connection with civil proceedings or administrative actions, and 
correspondence or memoranda related to work assignments.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    12 U.S.C. 1, 93(d) (second), 481, 1818, and 1820.

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

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information maintained in this system may be disclosed to:
    (1) An OCC-regulated entity involved in an assigned matter;
    (2) Third parties to the extent necessary to obtain information 
that is relevant to the resolution of an assigned matter;
    (3) The news media in accordance with guidelines contained in 28 
CFR 50.2;
    (4) Appropriate governmental or self-regulatory organizations when 
the OCC determines that the records are relevant and necessary to the 
governmental or self-regulatory organization's regulation or 
supervision of financial service providers;
    (5) An appropriate governmental, tribal, self-regulatory, or 
professional organization if the information is relevant to a known or 
suspected violation of a law or licensing standard within that 
organization's jurisdiction;
    (6) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (7) A Congressional office when the information is relevant to an 
inquiry made at the request of the individual about whom the record is 
maintained;
    (8) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity;
    (9) Third parties when mandated or authorized by statute; or
    (10) Appropriate agencies, entities, and persons when: (a) The 
Department suspects or has confirmed that the security or 
confidentiality of information in the system of records has been 
compromised; (b) the Department has determined that as a result of the 
suspected or confirmed compromise there is a risk of harm to economic 
or property interests, identity theft or fraud, or harm to the security 
or integrity of this system or other systems or programs (whether 
maintained by the Department or another agency or entity) that rely 
upon the compromised information; and (c) the disclosure made to such 
agencies, entities, and persons is reasonably necessary to assist in 
connection with the Department's efforts to respond to the suspected or 
confirmed compromise and prevent, minimize, or remedy such harm.

[[Page 2956]]

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records maintained in this system are stored electronically and in 
file folders.

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

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

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

SYSTEM MANAGER AND ADDRESS:
    Information Systems Manager, Law Department, Office of the 
Comptroller of the Currency, 400 Seventh Street SW., Suite 3E-218, 
Washington, DC 20219-0001.

NOTIFICATION PROCEDURE:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Office of the Comptroller of the Currency, 400 Seventh Street SW., 
Suite 3E-218, Washington, DC 20219-0001. See 31 CFR part 1, subpart C, 
Appendix J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identity, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

RECORD ACCESS PROCEDURES:
    See ``Notification Procedure'' above.

CONTESTING RECORD PROCEDURES:
    See ``Notification Procedure'' above.

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

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    Records maintained in this system have been designated as exempt 
from 5 U.S.C. 552a(c)(3) and (4), (d)(1), (2), (3), and (4), (e)(1), 
(e)(2), (e)(3), (e)(4)(G), (H), and (I), (e)(5), (e)(8), (f), and (g) 
of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). See 31 
CFR 1.36.
TREASURY/CC .510

SYSTEM NAME:
    Litigation Information System--Treasury/Comptroller.

SYSTEM LOCATION:
    Office of the Comptroller of the Currency (OCC), Office of Chief 
Counsel, Litigation Division, 400 Seventh Street SW., Suite 3E-218, 
Washington, DC 20219-0001.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals covered by the system are: (1) Parties or witnesses in 
civil proceedings or administrative actions; (2) individuals who have 
submitted correspondence to the OCC regarding civil proceedings, 
administrative actions, including potential or anticipated claims or 
civil litigation; and (3) individuals who have submitted requests for 
testimony or the production of documents pursuant to 12 CFR part 4, 
subpart C.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records maintained in this system are: (1) Correspondence files, 
and (2) records generated in connection with claims, civil proceedings 
or administrative actions, such as discovery materials, evidentiary 
materials, transcripts of testimony, pleadings, memoranda, 
correspondence, and requests for information pursuant to 12 CFR part 4, 
subpart C.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    12 U.S.C. 1, 93(d) (second), 481, 1818, and 1820.

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

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information maintained in this system may be disclosed to:
    (1) Third parties to the extent necessary to obtain information 
that is relevant to the subject matter of claims, civil proceedings or 
administrative actions involving the OCC;
    (2) The news media in accordance with guidelines contained in 28 
CFR 50.2;
    (3) Appropriate governmental or self-regulatory organizations when 
the OCC determines that the records are relevant and necessary to the 
governmental or self-regulatory organization's regulation or 
supervision of financial service providers;
    (4) An appropriate governmental, tribal, self-regulatory, or 
professional organization if the information is relevant to a known or 
suspected violation of a law or licensing standard within that 
organization's jurisdiction;
    (5) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (6) A Congressional office when the information is relevant to an 
inquiry made at the request of the individual about whom the record is 
maintained;
    (7) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity;
    (8) Third parties when mandated or authorized by statute; or
    (9) Appropriate agencies, entities, and persons when: (a) The 
Department suspects or has confirmed that the security or 
confidentiality of information in the system of records has been 
compromised; (b) the Department has determined that as a result of the 
suspected or confirmed compromise there is a risk of harm to economic 
or property interests, identity theft or fraud, or harm to the security 
or integrity of this system or other systems

[[Page 2957]]

or programs (whether maintained by the Department or another agency or 
entity) that rely upon the compromised information; and (c) the 
disclosure made to such agencies, entities, and persons is reasonably 
necessary to assist in connection with the Department's efforts to 
respond to the suspected or confirmed compromise and prevent, minimize, 
or remedy such harm.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records maintained in this system are stored electronically and in 
file folders.

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

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

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

SYSTEM MANAGER AND ADDRESS:
    Director, Litigation Division, Office of Chief Counsel, Office of 
the Comptroller of the Currency, 400 Seventh Street SW., Suite 3E-218, 
Washington, DC 20219-0001.

NOTIFICATION PROCEDURE:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Office of the Comptroller of the Currency, 400 Seventh Street SW., 
Suite 3E-218, Washington, DC 20219-0001. See 31 CFR part 1, subpart C, 
Appendix J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identity, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

RECORD ACCESS PROCEDURES:
    See ``Notification Procedure'' above.

CONTESTING RECORD PROCEDURES:
    See ``Notification Procedure'' above.

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

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    Records maintained in this system have been designated as exempt 
from 5 U.S.C. 552a(c)(3) and (4), (d)(1), (2), (3), and (4), (e)(1), 
(e)(2), (e)(3), (e)(4)(G), (H), and (I), (e)(5), (e)(8), (f), and (g) 
of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). See 31 
CFR 1.36.
TREASURY/CC .600

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

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

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

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

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    12 U.S.C. 1, 481, 1464 and 1820; 15 U.S.C. 41 et seq.

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

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information maintained in this system may be disclosed to:
    (1) An OCC-regulated entity that is the subject of a complaint or 
inquiry;
    (2) Third parties to the extent necessary to obtain information 
that is relevant to the resolution of a complaint or inquiry;
    (3) The appropriate governmental, tribal, self-regulatory or 
professional organization if that organization has jurisdiction over 
the subject matter of the complaint or inquiry, or the entity that is 
the subject of the complaint or inquiry;
    (4) An appropriate governmental, tribal, self-regulatory, or 
professional organization if the information is relevant to a known or 
suspected violation of a law or licensing standard within that 
organization's jurisdiction;
    (5) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual

[[Page 2958]]

capacity represented by the Department of Justice or the OCC, or the 
United States is a party or has an interest;
    (6) A Congressional office or appropriate governmental or tribal 
organization when the information is relevant to a complaint or inquiry 
referred to the OCC by that office or organization on behalf of the 
individual about whom the information is maintained;
    (7) An appropriate governmental or tribal organization in 
communication with the OCC about a complaint or inquiry the 
organization has received concerning the actions of an OCC-regulated 
entity. Information that may be disclosed under this routine use will 
ordinarily consist of a description of the conclusion made by the OCC 
concerning the actions of such an entity and the corrective action 
taken, if any;
    (8) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity;
    (9) Third parties when mandated or authorized by statute; or
    (10) Appropriate agencies, entities, and persons when: (a) The 
Department suspects or has confirmed that the security or 
confidentiality of information in the system of records has been 
compromised; (b) the Department has determined that as a result of the 
suspected or confirmed compromise there is a risk of harm to economic 
or property interests, identity theft or fraud, or harm to the security 
or integrity of this system or other systems or programs (whether 
maintained by the Department or another agency or entity) that rely 
upon the compromised information; and (c) the disclosure made to such 
agencies, entities, and persons is reasonably necessary to assist in 
connection with the Department's efforts to respond to the suspected or 
confirmed compromise and prevent, minimize, or remedy such harm.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records maintained in this system are stored electronically and in 
file folders.

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

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

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

SYSTEM MANAGER AND ADDRESS:
    Director, Consumer Complaint Operations, CAG Remedy System Owner, 
Office of the Comptroller of the Currency, Customer Assistance Group, 
1301 McKinney Street, Suite 3450, Houston, TX 77010-3034.

NOTIFICATION PROCEDURE:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Office of the Comptroller of the Currency, 400 Seventh Street SW., 
Suite 3E-218, Washington, DC 20219-0001. See 31 CFR part 1, subpart C, 
Appendix J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identity, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

RECORD ACCESS PROCEDURES:
    See ``Notification Procedure'' above.

CONTESTING RECORD PROCEDURES:
    See ``Notification Procedure'' above.

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

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    Records maintained in this system have been designated as exempt 
from 5 U.S.C. 552a(c)(3), (d)(1), (2), (3), and (4), (e)(1), (e)(4)(G), 
(H), and (I), and (f) of the Privacy Act pursuant to 5 U.S.C. 
552a(k)(2). See 31 CFR 1.36.
TREASURY/CC .700

SYSTEM NAME:
    Correspondence Tracking System-Treasury/Comptroller.

SYSTEM LOCATION:
    Office of the Comptroller of the Currency (OCC), Office of Chief 
Counsel, 400 Seventh Street SW., Suite 3E-218, Washington, DC 20219-
0001. Components of this record system are maintained in the 
Comptroller of the Currency's Office and the Chief Counsel's Office.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals covered by this system are those whose correspondence 
is submitted to the Comptroller of the Currency or the Chief Counsel.

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

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    12 U.S.C. 1; 5 U.S.C. 301.

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

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information maintained in this system may be disclosed to:
    (1) The OCC-regulated entity involved in correspondence;
    (2) Third parties to the extent necessary to obtain information 
that is relevant to the response;
    (3) Appropriate governmental or self-regulatory organizations when 
the OCC determines that the records are relevant and necessary to the 
governmental or self-regulatory organization's regulation or 
supervision of financial service providers;

[[Page 2959]]

    (4) An appropriate governmental, tribal, self-regulatory, or 
professional organization if the information is relevant to a known or 
suspected violation of a law or licensing standard within that 
organization's jurisdiction;
    (5) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (6) A Congressional office when the information is relevant to an 
inquiry made at the request of the individual about whom the record is 
maintained;
    (7) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity;
    (8) Third parties when mandated or authorized by statute; or
    (9) Appropriate agencies, entities, and persons when: (a) The 
Department suspects or has confirmed that the security or 
confidentiality of information in the system of records has been 
compromised; (b) the Department has determined that as a result of the 
suspected or confirmed compromise there is a risk of harm to economic 
or property interests, identity theft or fraud, or harm to the security 
or integrity of this system or other systems or programs (whether 
maintained by the Department or another agency or entity) that rely 
upon the compromised information; and (c) the disclosure made to such 
agencies, entities, and persons is reasonably necessary to assist in 
connection with the Department's efforts to respond to the suspected or 
confirmed compromise and prevent, minimize, or remedy such harm.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records maintained in this system are stored electronically and in 
file folders.

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

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

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

SYSTEM MANAGERS AND ADDRESSES:
    Executive Assistant to the Comptroller, Office of the Comptroller 
of the Currency, 400 Seventh Street SW., Suite 3E-218, Washington, DC 
20219-0001. Special Assistant to the Chief Counsel, Office of the 
Comptroller of the Currency, 400 Seventh Street SW., Suite 3E-218, 
Washington, DC 20219-0001.

NOTIFICATION PROCEDURE:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Office of the Comptroller of the Currency, 400 Seventh Street SW., 
Suite 3E-218, Washington, DC 20219-0001. See 31 CFR part 1, subpart C, 
Appendix J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature (such as credit cards).
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identity, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

RECORD ACCESS PROCEDURES:
    See ``Notification Procedure'' above.

CONTESTING RECORD PROCEDURES:
    See ``Notification Procedure'' above.

RECORD SOURCE CATEGORIES:
    Information maintained in this system is obtained from individuals 
who submit correspondence and OCC personnel.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
TREASURY/CC .701

SYSTEM NAME:
    Retiree Billing System-Treasury/Comptroller.

SYSTEM LOCATION:
    Office of the Comptroller of the Currency, 400 Seventh Street SW., 
Suite 3E-218, Washington, DC 20219.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Pentegra Defined Benefit Plan for Financial Institutions (formerly 
known as FIRF) retirees, OTS employees retiring under the Civil Service 
Retirement System or the Federal Employees Retirement System and who 
participate in the OTS-sponsored life insurance plan, and OCC retirees 
who participate in the OCC-sponsored life insurance plan.

CATEGORIES OF RECORDS IN THE SYSTEM:
    OCC and OTS retirees' names, home and mobile telephone numbers, 
mailing addresses, email addresses, bank account numbers, Federal 
Employee Health Benefits (FEHB) codes and premiums, Federal Employee 
Group Life Insurance (FEGLI) insurance amounts and premiums, OTS-
sponsored life insurance plan coverage amounts, premium amounts and 
imputed income amount, if any; OCC-sponsored life insurance plan 
coverage amount and imputed income amount, if any.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    12 U.S.C. 481, 482, and 1462a(h).

PURPOSE:
    The Retiree Billing System (formerly the ``OTS Retiree Billing 
System'') is used to bill insurance premiums for upcoming FIRF retirees 
as well as a tracking tool for imputed income for OCC retirees 
(including FIRF retirees) with the OCC-sponsored life insurance plan. 
The system is used by HR Benefits Specialists and Assistants as well as 
Payroll Specialists in the Human Capital office. Retiree names and bank 
account information is shared with the Bureau of the Fiscal Service 
(BFS), a bureau of the Treasury Department, so that retirees can be 
properly billed for health/life insurance premiums. BFS provides 
Automated Clearing House (ACH) debit services on behalf of the OCC. OCC 
provides BFS with retiree information so that BFS can perform a debit 
on the bank account of the retiree for the funds

[[Page 2960]]

owed to the OCC and deposit the money into an OCC account.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSE OF SUCH USES:
    Information in these records may be used to:
    (1) Make disclosures to a Congressional office from the records of 
an individual in response to an inquiry made at the request of the 
individual to whom the record pertains;
    (2) Representatives of the National Archives and Records 
Administration who are conducting records management inspections under 
authority of 44 U.S.C. 2904 and 2906;
    (3) A contractor for the purpose of filling a contract, compiling, 
organizing, analyzing, programming, or otherwise refining records to 
accomplish an agency function subject to the same limitations 
applicable to Department of the Treasury officers and employees under 
the Privacy Act;
    (4) Disclose information to the appropriate agencies, entities, and 
persons when: (a) The Department suspects or has confirmed that the 
security or confidentiality of information in the system of records has 
been compromised; (b) the Department has determined that as a result of 
the suspected or confirmed compromise there is a risk of harm to 
economic or property interests, identity theft or fraud, or harm to the 
security or integrity of this system or other systems or programs 
(whether maintained by the Department or another agency or entity) that 
rely upon the compromised information; and (c) the disclosure made to 
such agencies, entities, and persons is reasonably necessary to assist 
in connection with the Department's efforts to respond to the suspected 
or confirmed compromise and prevent, minimize, or remedy such harm.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are maintained in electronic and paper format.

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

SAFEGUARDS:
    Safeguards in place to prevent misuse of data include role-based 
user access, the use of user identification and authorization codes to 
access the system, and paper files in locked file cabinets when not in 
use.

RETENTION AND DISPOSAL:
    Records are retained and disposed of in accordance with OCC records 
management policies and National Archives and Records Administration 
regulations.

SYSTEM MANAGER AND ADDRESS:
    Director, Compensation and Benefits, Office of Human Capital, 
Office of the Comptroller of the Currency, 400 Seventh Street SW., 
Suite 3E-218, Washington, DC 20219-0001.

NOTIFICATION PROCEDURE:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Office of the Comptroller of the Currency, 400 Seventh Street SW., 
Suite 3E-218, Washington, DC 20219-0001. See 31 CFR part 1, subpart C, 
Appendix J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identity, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

RECORD ACCESS PROCEDURES:
     See ``Notification Procedure'' above.

CONTESTING RECORD PROCEDURES:
    See ``Notification Procedure'' above.

RECORD SOURCE CATEGORIES:
    OTS retirees and OTS payroll and personnel systems.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
TREASURY/CC .800

SYSTEM NAME:
    Office of Inspector General Investigations System

SYSTEM LOCATION:
    OCC Headquarters, Office of Enterprise Governance and the 
Ombudsman, 400 Seventh Street SW., Washington, DC.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    (1) Current and former OCC employees who are being investigated by 
the Treasury Office of the Inspector General;
    (2) Current and former OCC contractors who are being investigated 
by the Treasury Office of the Inspector General (OIG); and
    (3) Current and former directors, officers, employees, 
shareholders, and independent contractors of financial institutions who 
are being investigated by the OIG.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Referrals regarding potential or alleged violations of laws, rules, 
or regulations; names of targets, complainants, managers, Enterprise 
Governance staff, and other government employees who may be named in 
referral or investigative documents; documents regarding resolutions 
and remedial action in connection with referrals; and other supporting 
documentation, including bank-related information, investigative 
documentation, and correspondence related to investigations.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. App. 3; 12 U.S.C. 1, as amended; 31 CFR 0.207.

PURPOSES(S):
    This system of records is used by the OCC to monitor the OIG's 
referrals and investigations related to the OCC.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Records in this system may be disclosed to:
    (1) An OCC-regulated entity when the information is relevant to the 
entity's operations;
    (2) Third parties to the extent necessary to obtain information 
that is relevant to an investigation;
    (3) Appropriate governmental or self-regulatory organizations when 
the OCC determines that the records are relevant and necessary to the 
governmental or self-regulatory organization's regulation and 
supervision of financial service

[[Page 2961]]

providers, including the review of the qualifications and fitness of 
individuals who are or propose to become responsible for the business 
operations of such providers;
    (4) An appropriate governmental, international, tribal, self-
regulatory, or professional organization if the information is relevant 
to a known or suspected violation of a law or licensing standard within 
that organization's jurisdiction;
    (5) A federal, state, local, or tribal agency, or other public 
authority, which has requested information relevant or necessary to 
hiring or retaining an employee, or issuing or continuing a contract, 
security clearance, license, grant, or other benefit;
    (6) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (7) A congressional office when the information is relevant to an 
inquiry made at the request of the individual about whom the record is 
maintained;
    (8) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity;
    (9) Third parties when mandated or authorized by statute; or
    (10) Appropriate agencies, entities, and persons when: (a) The OCC 
suspects or has confirmed that the security or confidentiality of 
information in the system of records has been compromised; (b) the OCC 
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 OCC 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 OCC'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:
    Paper records and electronic media.

RETRIEVABILITY:
    Records may be retrieved by name; social security number; OIG 
tracking number; the date a referral is received, transmitted or 
closed; another personal identifier of person about whom a referral is 
made; or by OCC employee name or identification number for the employee 
assigned to a particular matter.

SAFEGUARDS:
    Paper records are maintained in locked file cabinets with access 
limited to those personnel whose official duties require access. Access 
to electronic systems is restricted to authorized personnel who are 
issued non-transferrable access codes and passwords.

RETENTION AND DISPOSAL:
    Records will be retained for 7 years, and the office of Enterprise 
Governance and the Ombudsman will destroy records older than 7 years in 
accordance with OCC Records Retention Schedule item 1.2c (7-year 
project files), and continue to do so annually.

SYSTEM MANAGER(S) AND ADDRESS:
    Senior Deputy Comptroller for Enterprise Governance and the 
Ombudsman, 400 7th Street SW., Washington, DC 20219. Telephone: (202) 
649-5530 (not a toll-free number).

NOTIFICATION PROCEDURE:
    This system of records contains records that are exempt from the 
notification, access and contest requirements pursuant to 5 U.S.C. 
552a(k)(2). Individuals seeking notification and access to any non-
exempt record contained in this system of records, or seeking to 
contest its content, may inquire in writing in accordance with 
instructions appearing at 31 CFR, Part 1, subpart C, and appendix J to 
subpart C. Written inquiries should be addressed to Disclosure Officer, 
Communications Division, Office of the Comptroller of the Currency, 400 
7th Street SW., Washington, DC 20219.
    Identification requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and a signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identify, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

RECORD ACCESS PROCEDURES:
    See ``Notification Procedure'' above.

CONTESTING RECORDS PROCEDURES:
    See ``Notification Procedure'' above.

RECORD SOURCE CATEGORIES:
    Treasury and other federal agency records, including referrals from 
the OCC to the OIG and referrals received from the OIG.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    Some of the records in this system are exempt from sections 5 
U.S.C. 552a(c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I), and, (f) of the 
Privacy Act pursuant to 5 U.S.C. 552a(k)(2). See 31 CFR 1.36.
TREASURY/OTS .003

SYSTEM NAME:
    OTS Consumer Complaint System.

SYSTEM LOCATION:
    Office of the Comptroller of the Currency, 400 Seventh Street SW., 
Suite 3E-218, Washington, DC 20219.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Persons who submit inquiries or complaints concerning federally-
insured depository institutions, service corporations, and 
subsidiaries.

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

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    15 U.S.C. 57a(f), 5 U.S.C. 301.

[[Page 2962]]

PURPOSE:
    OTS used this system to track individual complaints and to provide 
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 OCC 
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; or
    (7) Disclose information to the appropriate agencies, entities, and 
persons when: (a) The Department suspects or has confirmed that the 
security or confidentiality of information in the system of records has 
been compromised; (b) the Department has determined that as a result of 
the suspected or confirmed compromise there is a risk of harm to 
economic or property interests, identity theft or fraud, or harm to the 
security or integrity of this system or other systems or programs 
(whether maintained by the Department or another agency or entity) that 
rely upon the compromised information; and (c) the disclosure made to 
such agencies, entities, and persons is reasonably necessary to assist 
in connection with the Department's efforts to respond to the suspected 
or confirmed compromise and prevent, minimize, or remedy such harm.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND 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 AND ADDRESS:
    Ombudsman, Office of the Comptroller of the Currency, 400 Seventh 
Street SW., Suite 3E-218, Washington, DC 20219.

NOTIFICATION PROCEDURE:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Freedom of Information Act Officer, Communications Division, 
Office of the Comptroller of the Currency, 400 Seventh Street SW., 
Suite 3E-218, Washington, DC 20219-0001. See 31 CFR part 1, subpart C, 
Appendix J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identity, and to 
the fact that the individual understands the penalties provided in 5 
U.S.C. 552a(i)(3) for requesting or obtaining information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

RECORD ACCESS PROCEDURES:
    See ``Notification Procedure'' above.

CONTESTING RECORD PROCEDURES:
    See ``Notification Procedure'' above.

RECORD SOURCE CATEGORIES:
    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.
[FR Doc. 2016-00763 Filed 1-15-16; 8:45 am]
BILLING CODE 4810-33-P