20104 Federal Register / Vol. 77, No. 64 / Tuesday, April 3, 2012 / Notices 

accordance with the requirements of the 

section. 

12 CFR 28.54 Covered under 

Information Collection 1557–0100 

Country Exposure Report and Country 

Exposure Information Report (FFIEC 

009, FFIEC 009a) Reporting and 

Disclosure of International Assets. A 

banking institution shall submit to the 

OCC, at least quarterly, information 

regarding the amounts and composition 

of its holdings of international assets. A 

banking institution shall submit to the 

OCC information regarding 

concentrations in its holdings of 

international assets that are material in 

relation to total assets and to capital of 

the institution. 

Type of Review: Extension of a 

currently approved collection. 

Affected Public: Individuals; 

Businesses or other for-profit. 

Estimated Number of Respondents: 

79. 

Estimated Total Annual Responses: 

117. 

Frequency of Response: On occasion. 

Estimated Total Annual Burden: 

3,661.5 

The OCC issued a 60-day Federal 

Register notice on January 20, 2012 (77 

FR 3032). No comments were received. 

Comments continue to be invited on: 

(a) Whether the collection of 

information is necessary for the proper 

performance of the functions of the 

agency, including whether the 

information has practical utility; 

(b) The accuracy of the agency’s 

estimate of the burden of the collection 

of information; 

(c) Ways to enhance the quality, 

utility, and clarity of the information to 

be collected; 

(d) Ways to minimize the burden of 

the collection on respondents, including 

through the use of automated collection 

techniques or other forms of information 

technology; and 

(e) Estimates of capital or start-up 

costs and costs of operation, 

maintenance, and purchase of services 

to provide information. 

Dated: March 28, 2012. 

Michele Meyer, 

Assistant Director, Legislative and Regulatory 

Activities Division. 

[FR Doc. 2012–7983 Filed 4–2–12; 8:45 am] 

BILLING CODE 4810–33–P 

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. 

SUMMARY: In accordance with the 

requirements of the Privacy Act of 1974, 

as amended, 5 U.S.C. 552a, the Office of 

the Comptroller of the Currency, 

Treasury, is publishing its Privacy Act 

systems of records. 

SUPPLEMENTARY INFORMATION: Pursuant 

to the Privacy Act of 1974 (5 U.S.C. 

552a) and the 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. 

This publication incorporates the 

amendments to Treasury/CC.210—Bank 

Securities Dealers System; Treasury/ 

CC.220—Notices of Proposed Changes 

in Employees, Officers and Directors 

Tracking System (formerly Treasury/ 

CC.220—Section 914 Tracking System); 

and Treasury/CC.600—Consumer 

Complaint and Inquiry Information 

System that were published on 

September 13, 2011, at 76 FR 56501. 

This publication also incorporates the 

Privacy Act systems of records that were 

formerly Office of Thrift Supervision 

systems, which the OCC adopted on 

July 26, 2011, at 76 FR 44656. Other 

changes throughout the document are 

editorial in nature and consist 

principally of revising address 

information and minor editorial 

changes. The OCC’s systems of records 

were last published in their entirety on 

July 18, 2008, at 73 FR 41402–01. The 

OTS’ systems of records were last 

published in their entirety on June 29, 

2009, at 74 FR 31103. 

The OCC also gives notice that five 

OTS systems of records have been 

retired. Treasury/OTS.001— 

Confidential Individual Information 

System and Treasury/OTS.004— 

Criminal Referral Database, a 

component of Treasury/OTS.001, were 

retired by OTS in 1999 and the data 

contained in these systems was 

transferred to encrypted CDs that have 

been archived. Treasury/OTS.005— 

Employee Counseling Service was a 

paper-based system that was retired by 

OTS no later than 2000. The records in 

that system were destroyed by OTS. 

Treasury/OTS.008—Employee Training 

Database was retired by OTS. The data 

was migrated to the Treasury Learning 

Management System (TLMS). Any data 

that could not be transferred to TLMS 

was archived. Treasury/OTS.011— 

Positions/Budget was retired by OTS 

and the data has been archived. The 

notices pertaining to the five systems of 

records above, are removed from the 

Department’s inventory of Privacy Act 

issuances. 

Department of the Treasury 

regulations require the Department to 

publish the existence and character of 

all systems of records every three years 

(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 is necessary to maintain 

the proper performance of a 

documented agency function. 

Systems Covered by This Notice 

This notice covers all systems of 

records adopted by the OCC up to 

September 13, 2011. The systems 

notices are reprinted in their entirety 

following the Table of Contents. 

Dated: March 28, 2012. 

Melissa Hartman, 

Deputy Assistant Secretary for Privacy, 

Transparency and Records. 

The Comptroller of the Currency (OCC) 

Table of Contents 

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 .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 

OTS .002—Correspondence/Correspondence 

Tracking 

OTS .003—Consumer Complaint 

OTS .006—Employee Locator File 

OTS .012—Payroll/Personnel Systems & 

Payroll Records 

OTS .013—Mass Communication System 

OTS .015—Retiree Billing System 

TREASURY/CC .100 

SYSTEM NAME: 

Enforcement Action Report System— 

Treasury/Comptroller. 

SYSTEM LOCATION: 

Office of the Comptroller of the 

Currency (OCC), Enforcement and 

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Federal Register / Vol. 77, No. 64 / Tuesday, April 3, 2012 / Notices 20105 

Compliance Division, 250 E Street SW., 

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 Federal Deposit 

Insurance Corporation 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 

enforcement actions, and descriptions of 

offenses requiring Federal Deposit 

Insurance Corporation approval 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 CC-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 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 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, Law Department, 

Office of the Comptroller of the 

Currency, 250 E Street SW., 

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, Mailstop 2– 

3, Office of the Comptroller of the 

Currency, 250 E Street SW., 

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 

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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), Enforcement and 

Compliance Division, 250 E Street SW., 

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 

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 selfregulatory 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: 

Director, Special Supervision 

Division, Midsize/Community Bank 

Supervision, Office of the Comptroller 

of the Currency, 250 E Street SW., 

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, Mailstop 2– 

3, Office of the Comptroller of the 

Currency, 250 E Street SW., 

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 

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Federal Register / Vol. 77, No. 64 / Tuesday, April 3, 2012 / Notices 20107 

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 CC 

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, 250 E Street SW., 

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 

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 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; 

(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: 

Director, Special Supervision, Bank 

Supervision Operations, Office of the 

Comptroller of the Currency, 250 E 

Street SW., Washington, DC 20219– 

0001. 

NOTIFICATION PROCEDURE: 

An individual wishing to be notified 

if he or she is named in non-exempt 

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20108 Federal Register / Vol. 77, No. 64 / Tuesday, April 3, 2012 / Notices 

records maintained in this system must 

submit a written request to the Freedom 

of Information Act Officer, 

Communications Division, Mailstop 

2–3, Office of the Comptroller of the 

Currency, 250 E Street, SW., 

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, 

250 E Street, SW., Washington, DC 

20219–0001, and the 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 OCCregulated 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 

contain: 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 and District of 

Columbia banks 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 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; 

(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 

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Federal Register / Vol. 77, No. 64 / Tuesday, April 3, 2012 / Notices 20109 

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, 250 E Street SW., 

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, Mailstop 2– 

3, Office of the Comptroller of the 

Currency, 250 E Street SW., 

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 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, 250 E Street SW., 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 (as amended), 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 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 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 

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20110 Federal Register / Vol. 77, No. 64 / Tuesday, April 3, 2012 / Notices 

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, 250 E Street SW., 

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, Mailstop 2– 

3, Office of the Comptroller of the 

Currency, 250 E Street SW., 

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 

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, 

250 E Street SW., 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 I 

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 electronic 

database 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 

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officers; and the actions taken by the 

OCC in connection with these notices. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

12 U.S.C. 1 (as amended), 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) An 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 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 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 

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: 

Deputy Comptroller, Special 

Supervision, Bank Supervision 

Operations, Office of the Comptroller of 

the Currency, 250 E Street SW., 

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, Mailstop 2– 

3, Office of the Comptroller of the 

Currency, 250 E Street SW., 

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. 

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, 250 E Street SW., 

Washington, DC 20219–001. 

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, picture, and 

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20112 Federal Register / Vol. 77, No. 64 / Tuesday, April 3, 2012 / Notices 

authorizations to use the OCC’s fitness 

facility or its headquarters parking 

garage, if applicable. This system of 

records also may contain time records of 

entrances and exits and attempted 

entrances and exits of 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 identification cards which 

limits access to its premises to 

authorized individuals and records the 

time that individuals are on the 

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 

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: 

Assistant Director for Critical 

Infrastructure Protection and Security 

(CIPS), Office of the Comptroller of the 

Currency, 250 E Street SW., 

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, Mailstop 2– 

3, Office of the Comptroller of the 

Currency, 250 E Street SW., 

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 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 .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, 250 E Street SW., 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, 

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Federal Register / Vol. 77, No. 64 / Tuesday, April 3, 2012 / Notices 20113 

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 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; 

(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 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: 

Executive Assistant to the Chief 

Counsel, Law Department, Office of the 

Comptroller of the Currency, 250 E 

Street SW., 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, Mailstop 2– 

3, Office of the Comptroller of the 

Currency, 250 E Street SW., 

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 OCCregulated entities and other entities, 

including governmental, tribal, selfregulatory, 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, 250 E 

Street SW., Washington, DC 20219– 

0001. 

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20114 Federal Register / Vol. 77, No. 64 / Tuesday, April 3, 2012 / Notices 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Individuals covered by the system are 

parties or witnesses in civil proceedings 

or administrative actions, and 

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 

those generated in connection with 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 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 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; 

(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: 

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, Law 

Department, Office of the Comptroller of 

the Currency, 250 E Street, SW., 

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, Mailstop 2– 

3, Office of the Comptroller of the 

Currency, 250 E Street, SW., 

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, selfregulatory 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. 

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Federal Register / Vol. 77, No. 64 / Tuesday, April 3, 2012 / Notices 20115 

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 (as amended), 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 

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 OCCregulated 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 for Ombudsman Operation, 

CAG Remedy System Owner, Office of 

the Comptroller of the Currency, 250 E 

Street SW., 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, Mailstop 2– 

3, Office of the Comptroller of the 

Currency, 250 E Street, SW., 

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 

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20116 Federal Register / Vol. 77, No. 64 / Tuesday, April 3, 2012 / Notices 

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 OCCregulated 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, 250 E Street, SW., 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 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; 

(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, 250 E Street SW., 

Washington, DC 20219–0001. Special 

Assistant to the Chief Counsel, Office of 

the Comptroller of the Currency, 250 E 

Street SW., 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, Mailstop 2– 

3, Office of the Comptroller of the 

Currency, 250 E Street SW., 

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 

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Federal Register / Vol. 77, No. 64 / Tuesday, April 3, 2012 / Notices 20117 

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/OTS .002 

SYSTEM NAME: 

Correspondence/Correspondence 

Tracking. 

SYSTEM LOCATION: 

Office of the Comptroller of the 

Currency, 250 E Street SW., 

Washington, DC 20219. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

White House and Executive Office of 

the President officials, Members of 

Congress, Treasury Department officials, 

the general public, and businesses. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Incoming correspondence addressed 

to the Director of OTS, letters from 

members of Congress transmitting 

letters from constituents or making 

inquiries, OTS responses, OTS 

memoranda and notes used to prepare 

responses, and information concerning 

internal office assignments, processing, 

and responses to the correspondence. 

PURPOSE(S): 

To maintain written records of 

correspondence addressed to the 

Director of OTS and congressional 

correspondence; to track the progress of 

the response; and to document the 

completion of the response to the 

incoming correspondence. 

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) Disclose information to the 

appropriate governmental agency 

charged with the responsibility of 

administering law or investigating or 

prosecuting violations of law or charged 

with enforcing or implementing a 

statute, rule, regulation, order, or 

license; 

(3) 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 OTS attorney 

determines that the information is 

arguably relevant to that proceeding; 

(4) 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; 

(5) 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, DISPOSING

OF RECORDS IN THE SYSTEM: 

STORAGE: 

Records are maintained in electronic 

media and in paper files. 

RETRIEVABILITY: 

Records are maintained by name of 

individual; assignment control number. 

SAFEGUARDS: 

Access to paper records is limited to 

authorized personnel with a direct need 

to know. Some paper records are 

maintained in locked file cabinets in a 

secured office with access limited to 

those personnel whose official duties 

require access. Access to computerized 

records is limited, through the use of a 

password, to those whose official duties 

require access. 

RETENTION AND DISPOSAL: 

Computerized records relating to noncongressional correspondence are 

retained for two (2) years after the 

Director’s term. Computerized records 

relating to congressional 

correspondence are kept permanently. 

Paper records are retained for two (2) 

years after the Director’s or member of 

Congress’ term, then transferred directly 

to the National Archives. 

SYSTEM MANAGER(S) AND ADDRESS: 

Executive Assistant to the 

Comptroller, Office of the Comptroller 

of the Currency, 250 E Street SW., 

Washington, DC 20219–0001. Special 

Assistant to the Chief Counsel, Office of 

the Comptroller of the Currency, 250 E 

Street SW., 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, Mailstop 2– 

3, Office of the Comptroller of the 

Currency, 250 E Street SW., 

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. 

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20118 Federal Register / Vol. 77, No. 64 / Tuesday, April 3, 2012 / Notices 

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: 

Congressional letters and responses 

from a Member of Congress and/or a 

constituent. 

EXEMPTIONS CLAIMED FOR THE SYSTEM: 

None. 

TREASURY/OTS .003 

SYSTEM NAME: 

OTS Consumer Complaint System. 

SYSTEM LOCATION: 

Office of the Comptroller of the 

Currency, 250 E St. SW., 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. 

PURPOSE(S). 

OTS uses this system to track 

individual complaints and to provide 

additional 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 OTS 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; 

(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, 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(S) AND ADDRESS: 

Ombudsman, Office of the 

Comptroller of the Currency, 250 E St. 

SW., 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, Mailstop 2– 

3, Office of the Comptroller of the 

Currency, 250 E Street SW., 

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. 

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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. 

TREASURY/OTS .006 

SYSTEM NAME: 

Employee Locator File. 

SYSTEM LOCATION: 

Office of the Comptroller of the 

Currency, 250 E Street SW., 

Washington, DC 20219. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Employees of the former OTS and 

persons whose employment has been 

terminated within the last six months. 

This system is being maintained by the 

OCC for historical purposes. The OCC 

will not be adding any records to the 

system. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Employee’s name, present address, 

telephone number, and the name, 

address, and telephone number of 

another person to notify in case of 

emergency. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

5 U.S.C. 301, 44 U.S.C. 3101. 

PURPOSE(S): 

This system provides current 

information on employee’s address and 

emergency contact person. 

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 a 

congressional office in response to an 

inquiry made at the request of the 

individual to whom the record pertains; 

(2) Provide information to medical 

personnel in case of an emergency; 

(3) 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 OTS attorney 

determines that the information is 

arguably relevant to that proceeding; 

(4) 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; 

(5) 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, DISPOSING

OF RECORDS IN THE SYSTEM: 

STORAGE: 

Records are maintained on electronic 

media. 

RETRIEVABILITY: 

Records are filed by name of 

individual. 

SAFEGUARDS: 

System access is limited to those 

personnel whose official duties require 

such access and who have a need to 

know information in a record for a 

particular job-related purpose. Access to 

computerized records is limited, 

through use of a password, to those 

whose official duties require access. 

RETENTION AND DISPOSAL: 

Records are maintained until 

termination of employee’s employment 

with OTS. After termination, records are 

retained for six months then destroyed. 

SYSTEM MANAGER(S) AND ADDRESS: 

Director for Thrift Supervision 

Application Delivery, 400 7th Street 

SW., Washington, DC 20024 

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, Mailstop 2– 

3, Office of the Comptroller of the 

Currency, 250 E Street SW., 

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: 

The individual whose record is being 

maintained. 

EXEMPTIONS CLAIMED FOR THE SYSTEM: 

None. 

TREASURY/OTS .012 

SYSTEM NAME: 

Payroll/Personnel System & Payroll 

Records. 

SYSTEM LOCATION: 

Office of the Comptroller of the 

Currency, 250 E Street SW., 

Washington, DC 20219. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

This is a legacy OTS system. It 

contains information about individuals 

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who were formerly employed by the 

OTS and may or may not now be 

employed by the OCC. The records 

being maintained are available for read 

access only and for historical purposes. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Information pertaining to (1) 

employee status, grade, salary, pay plan, 

hours worked, hours of leave taken and 

earned, hourly rate, gross pay, taxes, 

deductions, net pay, location, and 

payroll history; (2) employee’s 

residence, office, social security 

number, and address; (3) Personnel 

actions (SF–50), State employees’ 

withholding exemption certificates, 

Federal employees’ withholding 

allowance certificates (W4), Bond 

Allotment File (SF–1192), Federal 

Employee’s Group Life Insurance (SF– 

2810 and 2811), Savings AllotmentFinancial Institutions, Address File 

(OTS Form 108), Union Dues Allotment, 

time and attendance reports, individual 

retirement records (SF–2806), Combined 

Federal Campaign allotment, direct 

deposit, health benefits, and thrift 

investment elections to either the 

Federal Thrift Savings Plan (TSP–1) or 

OTS’s Financial Institutions Thrift Plan 

(FITP–107 and K 1–2). 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

5 U.S.C. 301, 44 U.S.C. 3101. 

PURPOSE(S): 

Provided all the key personnel and 

payroll data for each employee which is 

required for a variety of payroll and 

personnel functions. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSE OF SUCH USES: 

(1) In the event that records 

maintained in this system of records 

indicate a violation or potential 

violation of law, whether civil, criminal 

or regulatory in nature, and whether 

arising by general statute or particular 

program statute, or by regulation, rule or 

order pursuant thereto, the relevant 

records in the system of records may be 

referred, as a routine use, to the 

appropriate agency, whether Federal, 

State, local, or foreign, charged with the 

responsibility of implementing the 

statute, or rule or regulation or order 

issued pursuant thereto. 

(2) A record from this system may be 

disclosed to other Federal agencies and 

the Office of Personnel Management if 

necessary for or regarding the payment 

of salaries and expenses incident to 

employment at the Office of Thrift 

Supervision or other Federal 

employment, or the vesting, 

computation, and payment of retirement 

or disability benefits. 

(3) A record from this system may be 

disclosed if necessary to support the 

assessment, computation, and collection 

of Federal, State, and local taxes, in 

accordance with established procedures. 

(4) Disclosure of information may be 

made to a congressional office in 

response to an inquiry made at the 

request of the individual to whom the 

record pertains. 

(5) Records from this system may be 

disclosed to the Office of Child Support 

Enforcement, Administration for 

Children and Families, Department of 

Health and Human Services, for the 

purpose of locating individuals to 

establish paternity, establishing and 

modifying orders of child support, 

identifying sources of income, and for 

other support enforcement actions as 

required by the Personal Responsibility 

and Work Opportunity Reconciliation 

Act (Welfare Reform Law, Pub. L. 104– 

193). 

(6) Information from these records 

may be disclosed 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 OTS attorney 

determines that the information is 

arguably relevant to that proceeding. 

(7) Relevant information may be 

disclosed 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. 

(8) Information may be disclosed to 

respond to State and local authorities in 

connection with garnishment 

proceedings; 

(9) Information may be disclosed to 

private creditors for the purpose of 

garnishment of wages of an employee if 

the debt has been reduced to a 

judgment. 

(10) Information may be disclosed 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, DISPOSING

OF RECORDS IN THE SYSTEM: 

STORAGE: 

Records are maintained on electronic 

media, microfiche, and in paper files. 

RETRIEVABILITY: 

Records are filed by individual name, 

social security number and by office. 

SAFEGUARDS: 

Paper and microfiche records are 

maintained in secured offices and 

access is limited to personnel whose 

official duties require such access and 

who have a need to know the 

information in a record for a particular 

job-related purpose. Access to 

computerized records is limited, 

through the use of a password, to those 

whose official duties require access. 

RETENTION AND DISPOSAL: 

Records are retained and disposed of 

in accordance with National Archives 

and Records Administration Approved 

Records Schedules. 

SYSTEM MANAGER(S) AND ADDRESS: 

Director for Accounting, Office of the 

Comptroller of the Currency, 250 E 

Street SW., 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, Mailstop 2– 

3, Office of the Comptroller of the 

Currency, 250 E Street SW., 

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 

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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: 

Personnel and payroll records of 

current and former employees. 

EXEMPTIONS CLAIMED FOR THE SYSTEM: 

None. 

TREASURY/OTS .013 

SYSTEM NAME: 

Mass Communication System. 

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: 

All employees of The Office of the 

Comptroller of the Currency. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Employee’s name, home phone 

number, personal cell phone number, 

personal email address, official business 

phone number, official business email 

address, official business cell phone 

number. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

Executive Order 12148, Federal 

Emergency Management. 

PURPOSE: 

The OCC Security Office 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 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 

(NARA) who are conducting records 

management inspections under 

authority of 44 U.S.C. 2904 and 2906. 

(3) A contractor for the purpose of full 

filling a contract, compiling, organizing, 

analyzing, programming, or otherwise 

refining records to accomplish an 

agency function subject to the same 

limitations applicable to U.S. 

Department of 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. 

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(S) AND ADDRESS: 

Assistant Director of Critical 

Infrastructure Protection & Security, 250 

E St. SW., 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, Mailstop 2– 

3, Office of the Comptroller of the 

Currency, 250 E Street SW., 

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. 

mstockstill on DSK4VPTVN1PROD with NOTICES

20122 Federal Register / Vol. 77, No. 64 / Tuesday, April 3, 2012 / Notices 

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/OTS .015 

SYSTEM NAME: 

Retiree Billing System. 

SYSTEM LOCATION: 

Office of the Comptroller of the 

Currency, 250 E St. SW., Washington, 

DC 20219. 

CATEGORIES OF INDIVIDUALS COVERED: 

Former OTS Financial Institutions 

Retirement Fund (FIRF) retirees and 

OTS employees retiring under the Civil 

Service Retirement System or the 

Federal Employees Retirement System 

and who participate in the OTSsponsored life insurance plan. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Former OTS employee retirees’ 

names, home phone numbers, mailing 

addresses, email addresses, and bank 

account numbers. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

Title 12 U.S.C. 1462a (h). 

PURPOSE: 

The OTS Retiree Billing system was 

used to bill insurance premiums to both 

Financial Institutions Retirement Fund 

(FIRF) employees and employees who 

retired from OTS and had the OTS 

sponsored life insurance. The system is 

used by Payroll Accounting Specialists 

in the Human Resources office. Retiree 

name and bank account information was 

shared with the Financial Management 

Services (FMS), which is another bureau 

of the Treasury Department, so that 

retirees could be properly billed for 

health/insurance premiums. FMS 

provided Automated Clearing House 

(ACH) debit services on behalf of OTS; 

OTS provides FMS with retiree 

information so that FMS could perform 

a debit on the bank account of the 

retiree for the funds owed to OTS and 

deposit the money into an OTS account. 

This system is now maintained only for 

historical search purposes. 

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 

(NARA) who are conducting records 

management inspections under 

authority of 44 U.S.C. 2904 and 2906. 

(3) A contractor for the purpose of full 

filling a contract, compiling, organizing, 

analyzing, programming, or otherwise 

refining records to accomplish an 

agency function subject to the same 

limitations applicable to U.S. 

Department of 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 userid and authorization code 

to access the system, and locking paper 

files when not in use. 

RETENTION AND DISPOSAL: 

Records are retained and disposed of 

in accordance with National Archives 

and Records Administration General 

Records Schedules. 

SYSTEM MANAGER(S) AND ADDRESS: 

Director, Compensation and Benefits, 

Office of Human Resources, 250 E St. 

SW., 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, Mailstop 2– 

3, Office of the Comptroller of the 

Currency, 250 E Street SW., 

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. 

[FR Doc. 2012–7950 Filed 4–2–12; 8:45 am] 

BILLING CODE 4810–33–P 

DEPARTMENT OF THE TREASURY 

Fiscal Service 

Proposed Collection of Information: 

Voucher for Payment of Awards 

AGENCY: Financial Management Service, 

Fiscal Service, Treasury. 

ACTION: Notice and request for 

comments. 

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