Privacy Act of 1974; System of Records, 56017-56020 [2019-22408]
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Federal Register / Vol. 84, No. 202 / Friday, October 18, 2019 / Notices
5. Are there data on the likelihood
that some drivers may find that they are
unable to use the CMS, but will not
know this at the time of sale? Should
NHTSA require that exempted vehicles
include a warning label to inform
potential customers of this possibility?
6. The field of view defined by S5.2.1
of FMVSS No. 111 for driver’s side
outside mirrors differs from the field of
view defined by ECE R46 for Class III
mirrors (Class III is the mirror class for
which Audi’s CMS has received type
approval according to the documents
submitted with the petition).22 In view
of these differences, what weight should
NHTSA give Audi’s statement that the
CMS complies with R46? Relatedly,
what are the testing situations unique to
the US market to which the petition
refers?
7. How and to what extent should
NHTSA consider in its safety analysis
the inclusion of safety features that
provide the driver with non-visual
information about the driving
environment (e.g., blind spot detection)?
8. How should NHTSA consider the
incomplete VTTI study cited in the
petition, especially given that the study
has not yet produced results?
9. To inform possible future
rulemaking activities in this area to
permit CMS on all vehicles in place of
mirrors, if NHTSA were to grant Audi
an exemption, should the agency
condition the exemption on submitting
reports on the on-road experiences of
Audi’s vehicles? If so, what information
should Audi be required to report?
IV. Comment Period
The agency has not made any
judgment on the merits of the petition,
and is placing a copy of the petition and
supporting information in the docket.
The agency seeks comment from the
public on the merits of Audi’s petition
for a temporary exemption from
paragraphs FMVSS No. 111, ‘‘Rear
Visibility’’. We are providing a 30-day
comment period. After considering the
petition, the public comments and other
available information, we will publish a
notice of final action on the petition in
the Federal Register.
22 FMVSS 111, S5.2 .1 states that passenger car
mirrors must provide a view of the road that is 2.4
meters wide when measured 10.7 meters behind the
mirror. ECE R46, 15.2.4.3 states that a Class III
mirror must provide a view of the road that is 4
meters wide when measured 20 meters back from
the mirror, and 1 meter wide when measured 4
meters back from the mirror. Overall, these
differences mean that the required field of view for
the driver’s side mirror under FMVSS 111 is
narrower than the required field of view for a
driver’s side Class III mirror under ECE R46 when
measured close to the mirror, but wider than ECE
R46 when measured further back from the mirror.
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Issued in Washington, DC, under authority
delegated in 49 CFR 1.95 and 501.4.
James Clayton Owens,
Acting Administrator.
[FR Doc. 2019–22769 Filed 10–17–19; 8:45 am]
BILLING CODE 4910–59–P
DEPARTMENT OF THE TREASURY
Office of the Comptroller of the
Currency
Privacy Act of 1974; System of
Records
Office of the Comptroller of the
Currency (OCC), Department of the
Treasury.
ACTION: Notice of a modified system of
records.
AGENCY:
In accordance with the
Privacy Act of 1974, the Department of
the Treasury (‘‘Treasury’’ or the
‘‘Department’’), Office of the
Comptroller of the Currency, proposes
to modify a system of records titled,
‘‘Department of the Treasury, Office of
the Comptroller .220—Notices of
Proposed Changes in Employees,
Officers and Directors Tracking
System—Treasury/Comptroller.’’ This
electronic system, is used to maintain
the applications, background materials,
and tracking information related to
applications submitted by OCCregulated entities for approval of
employees, proposed directors or senior
executive officers of a national bank,
federal savings association, or federal
branches of foreign banks; and requests
from foreign banking supervisors for
information about a former or existing
employee of an OCC-regulated
institution. Records in this system may
be contained in an electronic system
used by the OCC’s Large Bank
Supervision examiners or in an
electronic system used by the OCC’s
Midsize and Community Bank
supervision examiners, depending on
the bank to which the records pertain.
Additional copies of information may be
contained in paper working files.
DATES: Submit comments on or before
November 18, 2019. The new routine
use will be applicable on November 18,
2019 unless Treasury receives
comments and determines that changes
to the system of records notice are
necessary.
ADDRESSES: Comments may be
submitted to the OCC by any of the
methods set forth below. Commenters
are encouraged to submit comments
through the Federal eRulemaking Portal
or email, if possible. Please use the title
‘‘Privacy Act’’ to facilitate the
SUMMARY:
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56017
organization and distribution of the
comments. You may submit comments
by any of the following methods:
Federal eRulemaking Portal—
‘‘Regulations.gov’’: Go to
www.regulations.gov. Enter ‘‘Docket ID
OCC–2019–0026’’ in the Search Box and
click ‘‘Search.’’ Click on ‘‘Comment
Now’’ to submit public comments.
• Click on the ‘‘Help’’ tab on the
Regulations.gov home page to get
information on using Regulations.gov,
including instructions for submitting
public comments.
• Email: regs.comments@
occ.treas.gov.
• Mail: Legislative and Regulatory
Activities Division, Office of the
Comptroller of the Currency, 400 7th
Street SW, Suite 3E–218, Washington,
DC 20219.
• Hand Delivery/Courier: 400 7th
Street SW, Suite 3E–218, Washington,
DC 20219.
• Fax: (571) 465–4326.
Instructions: You must include
‘‘OCC’’ as the agency name and ‘‘Docket
ID OCC–2019–0026’’ in your comment.
The OCC will enter all comments
received into the docket and publish the
comments on the Regulations.gov
website without change, including any
business or personal information that
you provide such as name and address
information, email addresses, or phone
numbers. All comments received,
including attachments and other
supporting materials, are part of the
public record and subject to public
disclosure. All comments received will
be posted without change to
www.regulations.gov, including any
personal information provided. You
should submit only information that
you wish to make publicly available. Do
not include any information in your
comment or supporting materials that
you consider confidential or
inappropriate for public disclosure.
You may review comments and other
related materials that pertain to this
rulemaking action by any of the
following methods:
Viewing Comments Electronically: Go
to www.regulations.gov. Enter ‘‘Docket
ID OCC–2019–0026’’ in the Search box
and click ‘‘Search.’’ Click on ‘‘Open
Docket Folder’’ on the right side of the
screen. Comments and supporting
materials can be viewed and filtered by
clicking on ‘‘View all documents and
comments in this docket’’ and then
using the filtering tools on the left side
of the screen.
• Click on the ‘‘Help’’ tab on the
Regulations.gov home page to get
information on using Regulations.gov.
The docket may be viewed after the
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Federal Register / Vol. 84, No. 202 / Friday, October 18, 2019 / Notices
close of the comment period in the same
manner as during the comment period.
Viewing Comments Personally: You
may personally inspect comments at the
OCC, 400 7th Street SW, Washington,
DC 20219. For security reasons, the OCC
requires that visitors make an
appointment to inspect comments. You
may do so by calling (202) 649–6700 or,
for persons who are deaf or hearing
impaired, TTY, (202) 649–5597. Upon
arrival, visitors will be required to
present valid government-issued photo
identification and submit to security
screening in order to inspect comments.
FOR FURTHER INFORMATION CONTACT: For
general questions please contact Kristin
Merritt, Special Counsel, Administrative
and Internal Law Division, (202) 649–
5585; for persons who are deaf or hard
of hearing, TTY, (202) 649–5597;
Stephen Warren, Chief Information
Officer, (202) 649–6001; or Ronald
Sheldon, Senior Program Analyst
(Privacy), Privacy Program Office, (202)
649–5780, Office of the Comptroller of
the Currency, 400 7th Street SW,
Washington, DC 20219.
SUPPLEMENTARY INFORMATION: In
accordance with the Privacy Act, 5
U.S.C. 552a, the Department of the
Treasury (‘‘Treasury’’), Office of the
Comptroller of the Currency proposes to
modify a current Treasury system of
records titled, ‘‘Department of the
Treasury, CC .220—Notices of Proposed
Changes in Employees, Officers and
Directors Tracking System—Treasury/
Comptroller.’’ This notice amends the
existing SORN to (1) change the name
of the SORN to more accurately describe
the system; (2) expand the category of
individuals in the system beyond those
submitting a notice pursuant to 12 CFR
5.51 to include those for whom
background information has been
requested by another federal financial
institution supervisor or a foreign
supervisor; (3) remove from the category
of individuals in the system those
submitting a notice pursuant to 12 CFR
5.20(g)(2); (4) expand the categories of
records to include additional
background checks conducted beyond
those undertaken pursuant to notices
filed under 12 CFR 5.51; (5) expand the
categories of records of records, to
include information beyond basic
tracking information associated with
notices submitted under section 5.51 to
include notice materials (including
interagency biographical and financial
reports submitted in connection with
those applications) and background
check result information; (6) remove
from the categories of records
information submitted pursuant to
notices filed under 12 CFR 5.20(g)(2);
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and (7) add one routine use to all of the
systems of records to share information
with other federal agencies or federal
entities as required by OMB
Memorandum 17–12, ‘‘Preparing for and
Responding to a Breach of Personally
Identifiable Information,’’ dated January
3, 2017, to assist Treasury/Fiscal Service
in responding to a suspected or
confirmed breach or prevent, minimize,
or remedy the risk of harm to the
requesters, Treasury/Office of the
Comptroller of the Currency, the Federal
Government, or national security.
Dated: May 24, 2019.
Ryan Law,
Deputy Assistant Secretary for Privacy,
Transparency and Records.
Editorial note: This document was
received for publication by the Office of the
Federal Register on October 9, 2019.
SYSTEM NAME AND NUMBER:
Department of the Treasury, Office of
the Comptroller of the Currency (OCC)
Treasury/OCC .220. Processing,
Tracking and Recordkeeping System:
914 and other Background Checks.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Records are maintained at the
Supervision Information division, Office
of the Comptroller of the Currency, 400
Seventh Street SW, Room 8E–206,
Washington, DC 20219–0001; Large
Bank Supervisory Information, Office of
the Comptroller of the Currency, 400
Seventh Street SW, Room 8W–412,
Washington, DC 20219–0001.
SYSTEM MANAGER(S):
Director for Supervisory Information,
(202) 649–6693, Office of the
Comptroller of the Currency, 400
Seventh Street SW, Room 8E–206,
Washington, DC 20219–0001;
Supervisory National Bank Examiner,
Large Bank Supervisory Information,
(202) 649–5002, Office of the
Comptroller of the Currency, 400
Seventh Street SW, Room 8W–412,
Washington, DC 20219–0001.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
12 U.S.C. 1 (as amended), 27, 93a,
481, 1464, 1818, 1820, 1831i, and
5412(b)(2)(b).
PURPOSE(S) OF THE SYSTEM:
The OCC uses information maintained
in this system to carry out its statutory
and other regulatory responsibilities,
including reviews of the qualifications
and fitness of individuals who propose
to become responsible for the business
operations of OCC-regulated entities;
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assisting other federal financial
institution supervisors in such reviews;
and responding to requests from foreign
supervisors requiring information in
order to carry out their statutory and
other regulatory responsibilities.
CATEGORIES OF INDIVIDUALS COVERED BY THIS
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, Federal savings
association, 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) those named in notices submitted
in accordance with the requirements of
an order, condition imposed in writing,
or other written agreement pursuant to
12 U.S.C. 1818(b);
(3) those named in notices filed
pursuant to similar authorities with
other federal financial institution
supervisors and who are the subject of
requests for background information
made to the OCC by the other
supervisors; and
(4) those named in requests for
background information submitted to
the OCC by foreign supervisors.
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 institutions that have
submitted notices; the names, addresses,
dates of birth, social security numbers,
fingerprints, financial statements, tax
information, criminal background check
information, and other biographical
information of individuals proposed as
either directors or senior executive
officers; and the actions taken by the
OCC in connection with these notices.
RECORD SOURCE CATEGORIES:
Information maintained in this system
is obtained from OCC-regulated entities;
individuals named in notices filed
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pursuant to 5 CFR 5.51or in accordance
with the requirements of an order,
condition imposed in writing, or other
written agreement pursuant to 12 U.S.C.
1818(b); federal or state financial
regulatory agencies; foreign regulators;
criminal law enforcement authorities;
and credit bureaus.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
PURPOSES OF SUCH USES:
Information maintained in this system
may be disclosed to:
(1) A Section 5.51-regulated entity or
an entity in connection with review and
action on a notice filed by such 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 selfregulatory 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 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) To appropriate agencies, entities,
and persons when (a) the Department of
the Treasury and/or the OCC suspects or
has confirmed that there has been a
breach of the system of records; (b) the
Department of the Treasury and/or the
OCC has determined that as a result of
the suspected or confirmed breach there
is a risk of harm to individuals, the
Department of the Treasury and/or the
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OCC (including its information systems,
programs, and operations), the Federal
Government, or national security; and
(c) the disclosure made to such
agencies, entities, and persons is
reasonably necessary to assist in
connection with the Department of the
Treasury’s and/or the OCC’s efforts to
respond to the suspected or confirmed
breach or to prevent, minimize, or
remedy such harm;
(10) To another Federal agency or
Federal entity, when the Department of
the Treasury and/or OCC determines
that information from this system of
records is reasonably necessary to assist
the recipient agency or entity in (a)
responding to a suspected or confirmed
breach or (b) preventing, minimizing, or
remedying the risk of harm to
individuals, the recipient agency or
entity (including its information
systems, programs, and operations), the
Federal Government, or national
security, resulting from a suspected or
confirmed breach.
POLICIES AND PRACTICES FOR STORAGE OF
RECORDS:
Records maintained in this system are
stored electronically.
POLICIES AND PRACTICES FOR RETRIEVAL OF
RECORDS:
Records maintained in this system
may be retrieved by the name or other
personal identifier of an individual
covered by the system.
POLICIES AND PRACTICES FOR RETENTION AND
DISPOSAL OF RECORDS:
Records are retained in accordance
with the OCC Comprehensive Record
Retention Schedule, Section 2.3A with
a 30-year disposition; OCC’s records
management policies; and National
Archives and Records Administration
regulations.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL
SAFEGUARDS:
Access to this system is restricted to
authorized personnel who have a bona
fide business reason to access the
information contained in the system and
have been issued non-transferrable
access codes and passwords.
RECORD ACCESS PROCEDURES:
An individual wishing to obtain
access to non-exempt records
maintained in this system must submit
a written request to the Freedom of
Information Act Officer,
Communications Division, (202) 649–
6758, Office of the Comptroller of the
Currency, 400 Seventh Street SW, Room
3E–218, Washington, DC 20219–0001.
An individual seeking access through
mail must establish his or her identity
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56019
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 access 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. See 31 CFR part 1, subpart
C, Appendix J.
CONTESTING RECORDS PROCEDURES:
An individual wishing to be notified
about how he or she can contest the
content of any record pertaining to him
or her in this system should request
notification in writing to the Freedom of
Information Act Officer,
Communications Division, (202) 649–
6758, Office of the Comptroller of the
Currency, 400 Seventh Street SW, Room
3E–218, Washington, DC 20219–0001.
Such a request will be subject to the
same identification requirements as
above in ‘‘Record Access Procedures.’’
See 31 CFR part 1, subpart C, Appendix
J.
NOTIFICATION PROCEDURES:
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, (202) 649–
6758, Office of the Comptroller of the
Currency, 400 Seventh Street SW, Room
3E–218, Washington, DC 20219–0001.
Such a request will be subject to the
same identification requirements as
above in ‘‘Record Access Procedures.’’
See 31 CFR part 1, subpart C, Appendix
J.
EXEMPTIONS PROMULGATED FOR THIS SYSTEM:
The Secretary of the Department of
the Treasury has exempted this system
from the following provisions of the
Privacy Act, subject to the limitations
set forth in 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
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to 5 U.S.C. 552a(j)(2) and (k)(2). See 31
CFR 1.36.
HISTORY:
This system of records notice was last
published on January 19, 2016, at 81 FR
2945.
[FR Doc. 2019–22408 Filed 10–17–19; 8:45 am]
BILLING CODE 4810–33–P
DEPARTMENT OF VETERANS
AFFAIRS
[OMB Control No. 2900–0111]
Agency Information Collection
Activity: Statement of Purchaser or
Owner Assuming Seller’s Loan
Veterans Benefits
Administration, Department of Veterans
Affairs.
ACTION: Notice.
AGENCY:
Veterans Benefits
Administration, Department of Veterans
Affairs (VA), is announcing an
opportunity for public comment on the
proposed collection of certain
information by the agency. Under the
Paperwork Reduction Act (PRA) of
1995, Federal agencies are required to
publish notice in the Federal Register
concerning each proposed collection of
information, including each proposed
extension of a currently approved
collection, and allow 60 days for public
comment in response to the notice.
DATES: Written comments and
recommendations on the proposed
SUMMARY:
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16:37 Oct 17, 2019
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collection of information should be
received on or before December 17,
2019.
ADDRESSES: Submit written comments
on the collection of information through
Federal Docket Management System
(FDMS) at www.Regulations.gov or to
Nancy J. Kessinger, Veterans Benefits
Administration (20M33), Department of
Veterans Affairs, 810 Vermont Avenue
NW, Washington, DC 20420 or email to
nancy.kessinger@va.gov. Please refer to
‘‘OMB Control No. 2900–0111’’ in any
correspondence. During the comment
period, comments may be viewed online
through FDMS.
FOR FURTHER INFORMATION CONTACT:
Danny Green at (202) 421–1354.
SUPPLEMENTARY INFORMATION: Under the
PRA of 1995, Federal agencies must
obtain approval from the Office of
Management and Budget (OMB) for each
collection of information they conduct
or sponsor. This request for comment is
being made pursuant to Section
3506(c)(2)(A) of the PRA.
With respect to the following
collection of information, VBA, invites
comments on: (1) Whether the proposed
collection of information is necessary
for the proper performance of VBA’s
functions, including whether the
information will have practical utility;
(2) the accuracy of VBA’s estimate of the
burden of the proposed collection of
information; (3) ways to enhance the
quality, utility, and clarity of the
information to be collected; and (4)
ways to minimize the burden of the
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collection of information on
respondents, including through the use
of automated collection techniques or
the use of other forms of information
technology.
Authority: Public Law 104–13; 44
U.S.C. 3501–21.
Title: Statement of Purchaser or
Owner Assuming Seller’s Loan, VA
form 26–6382.
OMB Control Number: 2900–0111.
Type of Review: Extension of a
currently approved collection.
Abstract: Under Title 38, U.S.C.,
section 3702, authorizes collection of
this information to help determine the
release of liability and substitution of
entitlement. An agency may not conduct
or sponsor, and a person is not required
to respond to a collection of information
unless it displays a currently valid OMB
control number.
Affected Public: Individuals or
households.
Estimated Annual Burden: 250 hours.
Estimated Average Burden per
Respondent: 15 minutes.
Frequency of Response: One-time.
Estimated Number of Respondents:
1000.
By direction of the Secretary.
Danny S. Green,
Interim VA Clearance Officer, Office of
Quality, Performance and Risk, Department
of Veterans Affairs.
[FR Doc. 2019–22750 Filed 10–17–19; 8:45 am]
BILLING CODE 8320–01–P
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]]>Agencies
[Federal Register Volume 84, Number 202 (Friday, October 18, 2019)]
[Notices]
[Pages 56017-56020]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-22408]
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DEPARTMENT OF THE TREASURY
Office of the Comptroller of the Currency
Privacy Act of 1974; System of Records
AGENCY: Office of the Comptroller of the Currency (OCC), Department of
the Treasury.
ACTION: Notice of a modified system of records.
-----------------------------------------------------------------------
SUMMARY: In accordance with the Privacy Act of 1974, the Department of
the Treasury (``Treasury'' or the ``Department''), Office of the
Comptroller of the Currency, proposes to modify a system of records
titled, ``Department of the Treasury, Office of the Comptroller .220--
Notices of Proposed Changes in Employees, Officers and Directors
Tracking System--Treasury/Comptroller.'' This electronic system, is
used to maintain the applications, background materials, and tracking
information related to applications submitted by OCC-regulated entities
for approval of employees, proposed directors or senior executive
officers of a national bank, federal savings association, or federal
branches of foreign banks; and requests from foreign banking
supervisors for information about a former or existing employee of an
OCC-regulated institution. Records in this system may be contained in
an electronic system used by the OCC's Large Bank Supervision examiners
or in an electronic system used by the OCC's Midsize and Community Bank
supervision examiners, depending on the bank to which the records
pertain. Additional copies of information may be contained in paper
working files.
DATES: Submit comments on or before November 18, 2019. The new routine
use will be applicable on November 18, 2019 unless Treasury receives
comments and determines that changes to the system of records notice
are necessary.
ADDRESSES: Comments may be submitted to the OCC by any of the methods
set forth below. Commenters are encouraged to submit comments through
the Federal eRulemaking Portal or email, if possible. Please use the
title ``Privacy Act'' to facilitate the organization and distribution
of the comments. You may submit comments by any of the following
methods:
Federal eRulemaking Portal--``Regulations.gov'': Go to
www.regulations.gov. Enter ``Docket ID OCC-2019-0026'' in the Search
Box and click ``Search.'' Click on ``Comment Now'' to submit public
comments.
Click on the ``Help'' tab on the Regulations.gov home page
to get information on using Regulations.gov, including instructions for
submitting public comments.
Email: [email protected].
Mail: Legislative and Regulatory Activities Division,
Office of the Comptroller of the Currency, 400 7th Street SW, Suite 3E-
218, Washington, DC 20219.
Hand Delivery/Courier: 400 7th Street SW, Suite 3E-218,
Washington, DC 20219.
Fax: (571) 465-4326.
Instructions: You must include ``OCC'' as the agency name and
``Docket ID OCC-2019-0026'' in your comment. The OCC will enter all
comments received into the docket and publish the comments on the
Regulations.gov website without change, including any business or
personal information that you provide such as name and address
information, email addresses, or phone numbers. All comments received,
including attachments and other supporting materials, are part of the
public record and subject to public disclosure. All comments received
will be posted without change to www.regulations.gov, including any
personal information provided. You should submit only information that
you wish to make publicly available. Do not include any information in
your comment or supporting materials that you consider confidential or
inappropriate for public disclosure.
You may review comments and other related materials that pertain to
this rulemaking action by any of the following methods:
Viewing Comments Electronically: Go to www.regulations.gov. Enter
``Docket ID OCC-2019-0026'' in the Search box and click ``Search.''
Click on ``Open Docket Folder'' on the right side of the screen.
Comments and supporting materials can be viewed and filtered by
clicking on ``View all documents and comments in this docket'' and then
using the filtering tools on the left side of the screen.
Click on the ``Help'' tab on the Regulations.gov home page
to get information on using Regulations.gov. The docket may be viewed
after the
[[Page 56018]]
close of the comment period in the same manner as during the comment
period.
Viewing Comments Personally: You may personally inspect comments at
the OCC, 400 7th Street SW, Washington, DC 20219. For security reasons,
the OCC requires that visitors make an appointment to inspect comments.
You may do so by calling (202) 649-6700 or, for persons who are deaf or
hearing impaired, TTY, (202) 649-5597. Upon arrival, visitors will be
required to present valid government-issued photo identification and
submit to security screening in order to inspect comments.
FOR FURTHER INFORMATION CONTACT: For general questions please contact
Kristin Merritt, Special Counsel, Administrative and Internal Law
Division, (202) 649-5585; for persons who are deaf or hard of hearing,
TTY, (202) 649-5597; Stephen Warren, Chief Information Officer, (202)
649-6001; or Ronald Sheldon, Senior Program Analyst (Privacy), Privacy
Program Office, (202) 649-5780, Office of the Comptroller of the
Currency, 400 7th Street SW, Washington, DC 20219.
SUPPLEMENTARY INFORMATION: In accordance with the Privacy Act, 5 U.S.C.
552a, the Department of the Treasury (``Treasury''), Office of the
Comptroller of the Currency proposes to modify a current Treasury
system of records titled, ``Department of the Treasury, CC .220--
Notices of Proposed Changes in Employees, Officers and Directors
Tracking System--Treasury/Comptroller.'' This notice amends the
existing SORN to (1) change the name of the SORN to more accurately
describe the system; (2) expand the category of individuals in the
system beyond those submitting a notice pursuant to 12 CFR 5.51 to
include those for whom background information has been requested by
another federal financial institution supervisor or a foreign
supervisor; (3) remove from the category of individuals in the system
those submitting a notice pursuant to 12 CFR 5.20(g)(2); (4) expand the
categories of records to include additional background checks conducted
beyond those undertaken pursuant to notices filed under 12 CFR 5.51;
(5) expand the categories of records of records, to include information
beyond basic tracking information associated with notices submitted
under section 5.51 to include notice materials (including interagency
biographical and financial reports submitted in connection with those
applications) and background check result information; (6) remove from
the categories of records information submitted pursuant to notices
filed under 12 CFR 5.20(g)(2); and (7) add one routine use to all of
the systems of records to share information with other federal agencies
or federal entities as required by OMB Memorandum 17-12, ``Preparing
for and Responding to a Breach of Personally Identifiable
Information,'' dated January 3, 2017, to assist Treasury/Fiscal Service
in responding to a suspected or confirmed breach or prevent, minimize,
or remedy the risk of harm to the requesters, Treasury/Office of the
Comptroller of the Currency, the Federal Government, or national
security.
Dated: May 24, 2019.
Ryan Law,
Deputy Assistant Secretary for Privacy, Transparency and Records.
Editorial note: This document was received for publication by
the Office of the Federal Register on October 9, 2019.
SYSTEM NAME AND NUMBER:
Department of the Treasury, Office of the Comptroller of the
Currency (OCC) Treasury/OCC .220. Processing, Tracking and
Recordkeeping System: 914 and other Background Checks.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Records are maintained at the Supervision Information division,
Office of the Comptroller of the Currency, 400 Seventh Street SW, Room
8E-206, Washington, DC 20219-0001; Large Bank Supervisory Information,
Office of the Comptroller of the Currency, 400 Seventh Street SW, Room
8W-412, Washington, DC 20219-0001.
SYSTEM MANAGER(S):
Director for Supervisory Information, (202) 649-6693, Office of the
Comptroller of the Currency, 400 Seventh Street SW, Room 8E-206,
Washington, DC 20219-0001; Supervisory National Bank Examiner, Large
Bank Supervisory Information, (202) 649-5002, Office of the Comptroller
of the Currency, 400 Seventh Street SW, Room 8W-412, Washington, DC
20219-0001.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
12 U.S.C. 1 (as amended), 27, 93a, 481, 1464, 1818, 1820, 1831i,
and 5412(b)(2)(b).
PURPOSE(S) OF THE SYSTEM:
The OCC uses information maintained in this system to carry out its
statutory and other regulatory responsibilities, including reviews of
the qualifications and fitness of individuals who propose to become
responsible for the business operations of OCC-regulated entities;
assisting other federal financial institution supervisors in such
reviews; and responding to requests from foreign supervisors requiring
information in order to carry out their statutory and other regulatory
responsibilities.
CATEGORIES OF INDIVIDUALS COVERED BY THIS 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, Federal savings association, 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) those named in notices submitted in accordance with the
requirements of an order, condition imposed in writing, or other
written agreement pursuant to 12 U.S.C. 1818(b);
(3) those named in notices filed pursuant to similar authorities
with other federal financial institution supervisors and who are the
subject of requests for background information made to the OCC by the
other supervisors; and
(4) those named in requests for background information submitted to
the OCC by foreign supervisors.
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 institutions
that have submitted notices; the names, addresses, dates of birth,
social security numbers, fingerprints, financial statements, tax
information, criminal background check information, and other
biographical information of individuals proposed as either directors or
senior executive officers; and the actions taken by the OCC in
connection with these notices.
RECORD SOURCE CATEGORIES:
Information maintained in this system is obtained from OCC-
regulated entities; individuals named in notices filed
[[Page 56019]]
pursuant to 5 CFR 5.51or in accordance with the requirements of an
order, condition imposed in writing, or other written agreement
pursuant to 12 U.S.C. 1818(b); federal or state financial regulatory
agencies; foreign regulators; criminal law enforcement authorities; and
credit bureaus.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
Information maintained in this system may be disclosed to:
(1) A Section 5.51-regulated entity or an entity in connection with
review and action on a notice filed by such 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 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) To appropriate agencies, entities, and persons when (a) the
Department of the Treasury and/or the OCC suspects or has confirmed
that there has been a breach of the system of records; (b) the
Department of the Treasury and/or the OCC has determined that as a
result of the suspected or confirmed breach there is a risk of harm to
individuals, the Department of the Treasury and/or the OCC (including
its information systems, programs, and operations), the Federal
Government, or national security; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department of the Treasury's and/or the OCC's
efforts to respond to the suspected or confirmed breach or to prevent,
minimize, or remedy such harm;
(10) To another Federal agency or Federal entity, when the
Department of the Treasury and/or OCC determines that information from
this system of records is reasonably necessary to assist the recipient
agency or entity in (a) responding to a suspected or confirmed breach
or (b) preventing, minimizing, or remedying the risk of harm to
individuals, the recipient agency or entity (including its information
systems, programs, and operations), the Federal Government, or national
security, resulting from a suspected or confirmed breach.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records maintained in this system are stored electronically.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records maintained in this system may be retrieved by the name or
other personal identifier of an individual covered by the system.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are retained in accordance with the OCC Comprehensive
Record Retention Schedule, Section 2.3A with a 30-year disposition;
OCC's records management policies; and National Archives and Records
Administration regulations.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Access to this system is restricted to authorized personnel who
have a bona fide business reason to access the information contained in
the system and have been issued non-transferrable access codes and
passwords.
RECORD ACCESS PROCEDURES:
An individual wishing to obtain access to non-exempt records
maintained in this system must submit a written request to the Freedom
of Information Act Officer, Communications Division, (202) 649-6758,
Office of the Comptroller of the Currency, 400 Seventh Street SW, Room
3E-218, Washington, DC 20219-0001. An individual seeking access through
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 access 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. See
31 CFR part 1, subpart C, Appendix J.
CONTESTING RECORDS PROCEDURES:
An individual wishing to be notified about how he or she can
contest the content of any record pertaining to him or her in this
system should request notification in writing to the Freedom of
Information Act Officer, Communications Division, (202) 649-6758,
Office of the Comptroller of the Currency, 400 Seventh Street SW, Room
3E-218, Washington, DC 20219-0001. Such a request will be subject to
the same identification requirements as above in ``Record Access
Procedures.'' See 31 CFR part 1, subpart C, Appendix J.
NOTIFICATION PROCEDURES:
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,
(202) 649-6758, Office of the Comptroller of the Currency, 400 Seventh
Street SW, Room 3E-218, Washington, DC 20219-0001. Such a request will
be subject to the same identification requirements as above in ``Record
Access Procedures.'' See 31 CFR part 1, subpart C, Appendix J.
EXEMPTIONS PROMULGATED FOR THIS SYSTEM:
The Secretary of the Department of the Treasury has exempted this
system from the following provisions of the Privacy Act, subject to the
limitations set forth in 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
[[Page 56020]]
to 5 U.S.C. 552a(j)(2) and (k)(2). See 31 CFR 1.36.
HISTORY:
This system of records notice was last published on January 19,
2016, at 81 FR 2945.
[FR Doc. 2019-22408 Filed 10-17-19; 8:45 am]
BILLING CODE 4810-33-P
