+--------+---+---------------------------------------------------------+---+
| # O    | # |                                                         | # |
|        | # |                                                         |   |
| ##     | # |                                                         |   |
|        | # |                                                         | # |
|        |   |                                                         |   |
|        | A |                                                         |   |
|        | L |                                                         | # |
|        | E |                                                         | # |
|        | R |                                                         |   |
|        | T |                                                         |   |
|        |   |                                                         |   |
|        | 2 |                                                         |   |
|        | 0 |                                                         |   |
|        | 0 |                                                         |   |
|        | 4 |                                                         |   |
|        | - |                                                         |   |
|        | 1 |                                                         |   |
+--------+---+---------------------------------------------------------+---+
|        | * |                                                         |   |
|        | * |                                                         |   |
|        | O |                                                         |   |
|        | C |                                                         |   |
|        | C |                                                         |   |
|        | A |                                                         |   |
|        | L |                                                         |   |
|        | E |                                                         |   |
|        | R |                                                         |   |
|        | T |                                                         |   |
|        | * |                                                         |   |
|        | * |                                                         |   |
+--------+---+---------------------------------------------------------+---+
| ## Com |   |                                                         |   |
| ptroll |   |                                                         |   |
| er of  |   |                                                         |   |
| the Cu |   |                                                         |   |
| rrency |   |                                                         |   |
|        |   |                                                         |   |
| > A    |   |                                                         |   |
| dminis |   |                                                         |   |
| trator |   |                                                         |   |
| > of   |   |                                                         |   |
| > Na   |   |                                                         |   |
| tional |   |                                                         |   |
| >      |   |                                                         |   |
|  Banks |   |                                                         |   |
+--------+---+---------------------------------------------------------+---+
| ## Su  |   | ## FinCEN 314(a) Contact Information on the Call Report |   |
| bject: |   |                                                         |   |
+--------+---+---------------------------------------------------------+---+

**TO:** Chief Executive Officers of All National Banks and All Federal
Branches of Foreign Banks; All State Banking Authorities; Chairman,
Board of Governors of the Federal Reserve System; Chairman, Federal
Deposit Insurance Corporation; Conference of State Bank Supervisors;
Deputy Comptrollers (districts); Assistant Deputy Comptrollers; District
Counsel and Examining Personnel

**Background**

Pursuant to section 314(a) of the USA PATRIOT Act, the Department of the
Treasury's Financial Crimes Enforcement Network (FinCEN) developed and
implemented an electronic system for law enforcement to request
information about suspected terrorists and money launderers from
financial institutions. For purposes of developing FinCEN's electronic
314(a) distribution list, national banks and federal branches provided
contact information to the OCC. All changes and updates to this contact
information are currently processed manually by the OCC after a bank or
branch sends an e-mail to the OCC at the following e-mail address:
<nationalbankinfo@occ.treas.gov>.

##### Purpose and Scope

The purpose of this alert is to provide notice to all national banks and
federal branches that during the first quarter of 2004, an automated
process will be implemented to create and maintain FinCEN's electronic
314(a) distribution list. At that time, the 314(a) distribution list
will be created using the information contained in the FFIEC Report of
Condition and Income (Call Report) filed by national banks and federal
branches. Institutions must ensure that the information contained in
their December 31, 2003, Call Report is complete and accurate. The OCC
will provide additional notification and instruction once a conversion
date for this new automated process has been established.

##### Procedure

In September 2002 and March 2003, The Federal Financial Institutions
Examination Council (FFIEC) added two new instructions to the Call
Report. The first new Call Report instruction requires emergency contact
information from your institution in order for the bank regulatory
agencies to distribute critical, time-sensitive information to senior
officials at your institution designated as emergency contacts. The
OCC's emergency e-mail communications system has been created from this
Call Report data. *See* OCC Alert 2002-11, dated October 3, 2002, at
(www.occ.treas.gov/altlst02.htm). The second new Call Report instruction
requires all institutions to include their 314(a) contact information
for a maximum of two contacts when filing their Call Report. A copy of
the applicable page of the Call Report form is attached.

During the first quarter of 2004, the 314(a) contact information on the
Call Reports will be compiled electronically and shared with FinCEN to
create a new distribution list for sending the 314(a) requests to
financial institutions. Under this new process, only the two contacts
listed on your institution's Call Report will receive the 314(a) lists
from FinCEN. Call Report preparers at your institution must coordinate
with the compliance specialists who currently receive the 314(a)
requests to ensure that the contact information contained on the
year-end Call Report is accurate and correct. Typical mistakes that have
come to the OCC are the omission of the "@" symbol, an improperly placed
"dot," or a misspelled name.

Since only two 314(a) contacts can be listed on the Call Report, under
this new process, additional contacts at your institution who currently
may be receiving the 314(a) requests from FinCEN will be dropped from
the distribution list. Institutions that desire more than two contacts
for receiving the 314(a) requests will have to establish either a shared
e-mail address that will provide access for these additional contacts,
or an internal distribution process for disseminating the 314(a)
requests to its additional contacts.

Once this automated process is in place, you can update your
institution's 314(a) contact information by simply filing an amended
Call Report with the revised 314(a) contact information. Such changes
would include contact changes, phone or fax number changes and e-mail
address changes. National banks and federal branches will no longer need
to provide changes or updates to their 314(a) contact information by
sending an e-mail to <nationalbankinfo@occ.treas.gov>.

The OCC will provide additional notification once a conversion date for
this new automated process has been established, however, all national
banks and federal branches should be aware that it expects this
conversion to take place sometime during the first quarter of 2004, and
all national banks and federal branches should ensure that their
year-end Call Reports contain accurate contact information for this
purpose. Sample Call Report forms are available on both the FFIEC\'s Web
site (www.ffiec.gov) and the FDIC\'s Web site (www.fdic.gov). **Until
such time as the conversion takes place, national banks and federal
branches should continue to notify the OCC of changes in their 314(a)
contact information by sending an e-mail to
<nationalbankinfo@occ.treas.gov>.**

##### Additional Information

Please direct inquiries concerning section 314(a) of the USA PATRIOT Act
to Jim Vivenzio, special assistant to the deputy chief counsels by phone
at (202) 874-5200.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Daniel P. Stipano

Deputy Chief Counsel

Attachments:

\[http://www.ffiec.gov/ffiec_report_forms.htm\]

*See:*

-   Call Report for Bank with Domestic Offices Only -- Page 3 (FFIEC
    041)

-   Call Report for Bank with Domestic and Foreign Offices --Page 3
    (FFIEC 031)

-   Call Report for U.S. Branches and Agencies of Foreign Banks -- Page
    2 (FFIEC 002)