13770 Federal Register / Vol. 60, No. 49 / Tuesday, March 14, 1995 / Notices

Office of Thrift Supervision

[No. 94–260]

Privacy Act of 1974 as Amended;

Systems of Records

AGENCY: Office of Thrift Supervision,

Treasury.

ACTION: Notice of Privacy Act Systems of

Records.

SUMMARY: The Office of Thrift

Supervision (OTS) is publishing this

notice to notify all interested parties of

its complete systems of records in

accordance with the Privacy Act of

1974, 5 U.S.C. 552a (Privacy Act).

EFFECTIVE DATE: Comments must be

received no later than April 13, 1995.

The systems will be effective May 15,

1995, unless the OTS receives

comments on the systems which would

result in a contrary determination.

ADDRESSES: Send comments to: Director,

Information Services Division, Records

and Management Information, Office of

Thrift Supervision, 1700 G Street, NW.,

Washington, DC, 20552, Attention

Docket No. 94–260. These submissions

may be hand delivered to 1700 G Street,

NW., from 9 a.m. to 5 p.m. on business

days; they may be sent by facsimile

transmission to FAX number (202) 906–

7755. Submissions must be received by

5 p.m. on the date that they are due in

order to be considered by the OTS.

Comments will be available for

inspection at 1700 G Street, NW., from

1 p.m. until 4 p.m. on business days.

Visitors will be escorted to and from the

Public Reading Room at established

intervals.

FOR FURTHER INFORMATION CONTACT:

Mary Ann Reinhart, Chief, Disclosure

Branch, Office of Thrift Supervision,

1700 G Street, NW, Washington, DC

20552, Telephone No. (202) 906–5896.

SUPPLEMENTARY INFORMATION: The

Federal Home Loan Bank Board

(FHLBB), the OTS’s predecessor in

interest, for purposes of the Privacy Act,

was abolished by the Financial

Institutions Reform, Recovery, and

Enforcement Act of 1989 (FIRREA), Pub.

L. 101–73, 103 Stat. 183, enacted August

9, 1989. The Privacy Act regulations

formerly appearing at 12 CFR part 505a

were substantially superseded because

the OTS, as a component part of the

Treasury Department, is covered by the

Privacy Act regulations appearing at 31

CFR part 1, subpart C. At 54 FR 49411,

Nov. 30, 1989, chapter V was revised. At

55 FR 43434, October 29, 1990, the OTS

adopted the systems of records of the

FHLBB. 12 CFR part 503 was published

as an interim measure to ensure that all

necessary and appropriate information

was available to the public concerning

OTS’s Privacy Act provisions. A

complete list of the systems of records

is attached.

Dated: March 6, 1995.

Alex Rodriguez,

Deputy Assistant Secretary (Administration).

Table of Contents

Treasury/OTS .001 Confidential Individual

Information System

Treasury/OTS .002 Correspondence/

Correspondence Tracking

Treasury/OTS .003 Consumer Complaint

Treasury/OTS .004 Criminal Referral

Database

Treasury/OTS .005 Employee Counseling

Service

Treasury/OTS .006 Employee Locator File

Treasury/OTS .007 Employee Parking

Treasury/OTS .008 Employee Training

Database

Treasury/OTS .009 Health Files

Treasury/OTS .010 Inquiry/Request Control

Treasury/OTS .011 Positions/Budget

Treasury/OTS .012 Payroll/Personnel

System & Payroll Records

Treasury/OTS .013 Personnel Security and

Suitability Program

Treasury/OTS .001

SYSTEM NAME:

Confidential Individual Information

System.

SYSTEM LOCATION:

Office of Thrift Supervision,

Department of the Treasury, 1700 G

Street, NW., Washington, DC 20552.

See Appendix A for appropriate local

address of OTS Regional Offices.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

These records contain certain

information concerning individuals who

have filed notices of intention to acquire

control of a savings association;

controlling persons of companies that

have applications to acquire control of

a savings association; organizers of

savings associations who have sought

Federal Savings and Loan Insurance

Corporation or Savings Association

Insurance Fund insurance of accounts

or federal charters; individuals who

have been the subject of administrative

enforcement actions or other civil

actions by any agency with authority to

supervise or regulate federally insured

depository institutions; those who have

been named in criminal referrals by

such agencies or by federally insured

depository institutions or who have

been referred to professional societies,

licensing authorities or ethics

committees for disciplinary purposes;

individuals identified as the subjects of

criminal investigations by the

Department of Justice or state law

enforcement authorities in connection

with the operation of Federally insured

depository institutions; individuals

denied employment as senior executive

officers with or member of a board of

directors of a savings association or

savings and loan holding company

pursuant to 12 U.S.C. section 1831i; and

persons engaging in significant business

transactions with savings associations.

This system also contains the identity of

the custodian of any documents

describing the specific event causing

entry into the system.

CATEGORIES OF RECORDS IN THE SYSTEM:

These records identify the individual

involved, and his or her relationship to

the savings association, service

corporation or savings and loan holding

company; identify and describe the

event causing entry of information into

the system (e.g., a change in control

filing, enforcement action, or criminal

referral) and any regulatory, judicial, or

supervisory action taken as a result; and

the location and nature of any

additional records concerning the

specific event.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

12 U.S.C. 1464.

PURPOSE(S):

This system is the primary OTS

database to record information on

individuals subject to criminal referrals,

enforcement actions, liability suits, or

investigations on unusual transactions;

and on application activity to acquire

control, obtain a charter, elect an officer

of a thrift, and several other application

types. It also keeps track of the names

of criminal referrals and individual

defendants in directors’ and officers’

liability lawsuits brought by Federal

banking agencies.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

Informaiton in these records may be

used to:

(1) Provide the Department of Justice

with periodic reports on the number,

place, and individual identify of

outstanding potential criminal

violations of the law that have been

referred to the Department;

(2) provide information or records to

any other appropriate domestic or

foreign governmental agency or selfregulatory organization 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) provide information to third

parties during the course of an

investigation to the extent necessary to
Federal Register / Vol. 60, No. 49 / Tuesday, March 14, 1995 / Notices 13771

obtain information pertinent to the

investigation;

(4) provide information to receivers or

conservators of savings associations or

formerly insured savings associations;

(5) when considered appropriate,

provide information to a bar assocaiton,

the American Institute of Certified

Public Accountants, or other

professional organizations performing

similar functions, for possible

disciplinary action; and

(6) provide information to any person

with whom the OTS contracts to

reproduce, by typing, photocopying or

other means, any record within this

system for use by the OTS and its staff

in connection with their official duties

or to any person who is utilized by the

OTS to perform clerical or stenographic

functions relating to the official

business of the OTS.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are maintained in paper files

and on magnetic media.

RETRIEVABILITY:

Records are retrievable by the name of

the individual and/or by the

individual’s relationship to the thrift or

thrift holding company involved.

SAFEGUARDS:

Paper records are maintained in

locked file cabinets with access limited

to those persons who have need for

information from the system in the

performance of their duties. 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 for fifteen years

and then destroyed.

SYSTEM MANAGER(S) AND ADDRESS:

National Administrator, Corporate

Activities Division. See ‘‘System

Location’’ for address.

NOTIFICATION PROCEDURE:

This system is exempt from

notification and record-access

requirements and requirements that an

individual be permitted to contest its

contents under 5 U.S.C. 552a (j)(2) and

(k)(2) as relating to investigatory

material compiled for law enforcement

purposes.

RECORD ACCESS PROCEDURES:

See ‘‘Notification Procedure’’ above.

CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.

RECORD SOURCE CATEGORIES:

This system is exempted under 5

U.S.C. 552a (j)(2) and (k)(2) from the

requirements that the sources of records

used in the system be published,

because it contains investigatory

material compiled for law enforcement

purposes.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

This system is exempt from 5 U.S.C.

552a (c)(3), (d), (e)(1), (e)(4) (G), (H) and

(I), and (f) of the Privacy Act pursuant

to 5 U.S.C. 552a (j)(2) and (k)(2).

Treasury/OTS .002

SYSTEM NAME:

Correspondence/Correspondence

Tracing.

SYSTEM LOCATION:

Office of Thrift Supervision,

Department of the Treasury, 1700 G

Street, NW., Washington, DC 20552.

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 response to the correspondence.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.

PURPOSE(S):

To maintain written records of

correspondence addressed to the

Director of OTS and Congressional

correspondence; to track the progress of

the response; 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 PURPOSES OF SUCH USES:

(1) Disclosures may be made 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) Information may be disclosed 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.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, DISPOSING

OF RECORDS IN THE SYSTEM:

STORAGE:

Records are maintained in magnetic

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 and 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:

Director, Congressional Affairs. See

‘‘System Location’’ for address.

NOTIFICATION PROCEDURE:

Individuals wishing to be notified if

they are named in this system or gain

access to records maintained in this

system must submit a request

containing the following elements:

(1) Identify the record system;

(2) identify the category and type of

records sought; and

(3) provide at least two items of

secondary identification (date of birth,

employee identification number, dates

of employment or similar information).

Address inquiries to Chief, Disclosure

Branch, Office of Thrift Supervision,

1700 G Street, NW., Washington, DC

20552.

RECORD ACCESS PROCEDURES:

See ‘‘Notification Procedure’’ above.

CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.

RECORD SOURCE CATEGORIES:

Incoming correspondence and Office

of Thrift Supervision responses.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None:

Treasury/OTS .003

SYSTEM NAME:

Consumer Complaint System.

SYSTEM LOCATION:

Office of Thrift Supervision,

Department of the Treasury, 1700 G

Street, NW., Washington, DC., 20552.
13772 Federal Register / Vol. 60, No. 49 / Tuesday, March 14, 1995 / Notices

See Appendix A for appropriate local

address of OTS Regional Offices.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Persons who submit inquiries of

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:

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 FOR RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OR USERS AND

THE PURPOSES OF SUCH USES:

(1) Information may be disclosed to

officials of regulated savings

associations in connection with

investigation and resolution of

complaints and inquiries;

(2) relevant information may be made

available to appropriate law

enforcement agencies or authorities in

connection with investigation and/or

prosecution of alleged civil, criminal

and administrative violations;

(3) disclosures may be made to a

Congressional office in response to an

inquiry made at the request of the

individual to whom the record pertains;

(4) disclosures may be made to other

Federal and nonfederal governmental

supervisory or regulatory authorities

when the subject matter is within such

other agency’s jurisdiction.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are maintained in paper files

and on magnetic media.

RETRIEVABILITY:

By name of the individual, complaint

case number, savings association name,

docket number, district 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 system

passwords, to those whose official

duties require access.

RETENTION AND DISPOSAL:

Active files are maintained until the

case is closed. Closed files are retained

for six (6) years then destroyed.

SYSTEM MANAGER(S) AND ADDRESS:

Manager, Consumer Programs, See

‘‘System Location’’ for address.

NOTIFICATION PROCEDURE:

Individuals wishing to be notified if

they are named in this system or gain

access to records maintained in this

system must submit a request

containing the following elements:

(1) Identify the record system;

(3) provide at least two items of

secondary identification (date of birth,

employee identification number, dates

of employment or similar information).

Address inquiries to Chief, Disclosure

Branch, Office of Thrift Supervision,

1700 G Street, NW., Washington, DC

20552.

RECORD ACCESS PROCEDURES:

See ‘‘Notification Procedure’’ above.

CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.

RECORD SOURCE CATEGORIES:

Inquirer or complainant (or his or her

representative which may include a

member of Congress or an attorney);

savings association officials and

employees; compliance/safety and

soundness examiner(s); and other

supervisory records.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

Treasury/OTS .004

SYSTEM NAME:

Criminal Referral Database.

SYSTEM LOCATION:

Office of Thrift Supervision,

Department of the Treasury, 1700 G

Street, NW., Washington, DC 20552.

See Appendix A for appropriate local

address of OTS Regional Offices.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Individuals suspected of having

committed crime(s) and individuals

indicated or convicted of crime(s)

against or involving savings

associations.

CATEGORIES OF RECORDS IN THE SYSTEM:

Criminal Referrals.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

12 U.S.C. 1464; 44 U.S.C. 3101.

PURPOSE(S):

This system lists all matters referred

to the Department of Justice for possible

criminal proceedings.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

Information may be disclosed 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.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are maintained in paper files

and on magnetic media.

RETRIEVABILITY:

Records are filed by name of

individual, savings institution or

referral control number.

SAFEGUARDS:

Paper records are maintained in

locked file cabinets. 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

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 retained and disposed of

in accordance with appropriate National

Archives and Records Administration

General Records Schedules.

SYSTEM MANAGER(S) AND ADDRESS:

Chief Counsel, Office of Enforcement.

See ‘‘System Location’’ for address.

NOTIFICATION PROCEDURE:

This system is exempt from

notification and record-access

requirements and requirements that an

individual be permitted to contest its

contents under 5 U.S.C. 552a(j)(2) and

(k)(2) as relating to investigatory

material complied for law enforcement

purposes.

RECORD ACCESS PROCEDURES:

See ‘‘Notification Procedure’’ above.

CONTESTING RECORD PROCEDURES:

See ‘‘Notification procedure’’ above.
Federal Register / Vol. 60, No. 49 / Tuesday, March 14, 1995 / Notices 13773

RECORD SOURCE CATEGORIES:

Criminal referral forms compiled for

law enforcement purposes.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

This system is exempt from 5 U.S.C.

552a(c)(3), (c)(4), (d), (e)(1), (e)(4) (G),

(H) and (I), and (f) of the Privacy Act

pursuant to 5 U.S.C. 552a(j)(2) and

(k)(2).

Treasury/OTS .005

SYSTEM NAME:

Employee Counseling Service.

SYSTEM LOCATION:

Office of Thrift Supervision,

Department of the Treasury, 1700 G

Street, NW., Washington, DC 20552.

See appendix A for appropriate local

address of OTS Regional Officers.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Employees who seek counseling

services.

CATEGORIES OF RECORDS IN THE SYSTEM:

Counseling records.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

PURPOSE(S):

To provide a history and record of the

employee counseling session(s) and to

assist the counselor in identifying and

resolving employee problem(s).

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

The system will have minimal effect

on individual privacy because access is

limited to the employee counseling

service program counselor. Under

special and emergency circumstances

records may be released to medical

personnel, research personnel, and as

result of a court order.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are maintained in paper files.

RETRIEVABILITY:

Records are retrieved by a number

assigned to employee.

SAFEGUARDS:

Records are maintained in locked file

cabinet. Access is limited to the

employee counselor.

RETENTION AND DISPOSAL:

Records are retained and disposed of

in accordance with the appropriate

National Archives and Records

Administration General Records

Schedules.

SYSTEM MANAGER(S) AND ADDRESS:

Director of Human Resources. See

‘‘System Location’’ for address.

NOTIFICATION PROCEDURE:

Individuals wishing to be notified if

they are named in this system or gain

access to records maintained in this

system must submit a request

containing the following elements:

(1) Identify the record system;

(2) identify the category and type of

records sought; and

(3) provide at least two items of

secondary identification (date of birth,

employee identification number, dates

of employment or similar information).

Address inquiries to Chief, Disclosure

Branch, Office of Thrift Supervision,

1700 G Street, NW., Washington, DC

20552.

RECORD ACCESS PROCEDURES:

See ‘‘Notification Procedure’’ above.

CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.

RECORD SOURCE CATEGORIES:

Employees and Counselors.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

Treasury/OTS .006

SYSTEM NAME:

Employee Locator File.

SYSTEM LOCATION:

Office of Thrift Supervision,

Department of the Treasury, 1700 G

Street, NW., Washington, DC 20552.

See Appendix A for appropriate local

address of OTS Regional Offices.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

All present employees of the OTS and

persons whose employment has been

terminated within the last six months.

CATEGORIES OF RECORDS COVERED BY 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 PURPOSES OF SUCH USES:

(1) 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;

(2) Medical personnel in case of an

emergency.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are maintained in paper files

and on magnetic media.

RETRIEVABILITY:

Records are filed by name of

individual.

SAFEGUARDS:

Paper records are maintained in

locked file cabinets. Access is limited to

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 the

termination of the employee’s

employment with OTS. After

termination, records are retained for six

months then destroyed.

SYSTEM MANAGER(S) AND ADDRESS:

Director, Human Resources. See

‘‘System Location’’ for address.

NOTIFICATION PROCEDURE:

Individuals wishing to be notified if

they are named in this system or gain

access to records maintained in this

system must submit a request

containing the following elements:

(1) Identify the record system;

(2) Identify the category and type of

records sought; and

(3) Provide at least two items of

secondary identification (date of birth,

employee identification number, dates

of employment or similar information).

Address inquiries to Chief, Disclosure

Branch, Office of Thrift Supervision,

1700 G Street, NW., Washington, DC

20552.

RECORD ACCESS PROCEDURES:

See ‘‘Notification Procedure’’ above.

CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.

RECORD SOURCE CATEGORIES:

The individual whose record is being

maintained.
13774 Federal Register / Vol. 60, No. 49 / Tuesday, March 14, 1995 / Notices

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

Treasury/OTS .007

SYSTEM NAME:

Employee Parking.

SYSTEM LOCATION:

Office of Thrift Supervision,

Department of the Treasury, 1700 G

Street, NW., Washington, DC 20552.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

All OTS employees (and their

corresponding car-pool members) who

apply for agency-controlled parking.

CATEGORIES OF RECORDS IN THE SYSTEM:

Information is contained in parking

applications and computerized reports

and consists of (for each rider): Name,

home address, office phone number,

and place of employment (for non-OTS

riders). For OTS employees only: Work

hours, supervisor’s name, office code,

social security number and years of

service.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

PURPOSE(S):

To control and maintain parking

applications and spaces.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

No disclosures are made outside of

OTS.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are maintained in paper files

and on magnetic media.

RETRIEVABILITY:

Records are filed by parking pass

number, name of OTS employee and

social security number.

SAFEGUARDS:

Paper records are maintained in

locked file cabinets. 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

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 retained and disposed of

in accordance with National Archives

and Records Administration General

Records Schedules.

SYSTEM MANAGER(S) AND ADDRESS:

Director for Administration. See

‘‘System Location’’ for address.

NOTIFICATION PROCEDURE:

Individuals wishing to be notified if

they are named in this system or gain

access to records maintained in this

system must submit a request

containing the following elements:

(1) Identify the record system;

(2) Identify the category and type of

records sought; and

(3) Provide at least two items of

secondary identification (date of birth,

employee identification number, dates

of employment or similar information).

Address inquiries to Chief, Disclosure

Branch, Office of Thrift Supervision,

1700 G Street, NW., Washington, DC

20552.

RECORD ACCESS PROCEDURES:

See ‘‘Notification Procedure’’ above.

CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.

RECORD SOURCE CATEGORIES:

Applications submitted by OTS

employees and non-OTS riders.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

Treasury/OTS .008

SYSTEM NAME:

Employee Training Database.

SYSTEM LOCATION:

Office of Thrift Supervision,

Department of the Treasury, 1700 G

Street, NW., Washington, DC 20552.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

All employees of the Office of Thrift

Supervision.

CATEGORIES OF RECORDS IN THE SYSTEM:

Individual employee records are

maintained by name, course taken,

social security number, position,

division, and manager name.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

PURPOSE(S):

To maintain necessary information on

training taken by employees through

outside sources and vendors.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

Records are not disclosed outside of

OTS.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are maintained on magnetic

media.

RETRIEVABILITY:

Records are filed by individual name,

social security number and course

taken.

SAFEGUARDS:

Access to computerized records is

limited, through use of a password, to

those whose official duties require

access.

RETENTION AND DISPOSAL:

Records are retained and disposed of

in accordance with the appropriate

National Archives and Records

Administration General Records

Schedules.

SYSTEM MANAGER(S) AND ADDRESS:

Training Manager, Human Resources

Division. See ‘‘System Location’’ for

address.

NOTIFICATION PROCEDURES:

Individuals wishing to be notified if

they are named in this system or gain

access to records to maintained in this

system must submit a request

containing the following elements:

(1) Identify the record system;

(2) Identify the category and type of

records sought; and

(3) Provide at least two items of

secondary identification (date of birth,

employee identification number, dates

of employment or similar information).

Address inquiries to Chief, Disclosure

Branch, Office of Thrift Supervision,

1700 G Street, NW., Washington, DC

20552.

RECORD ACCESS PROCEDURES:

See ‘‘Notification Procedure’’ above.

CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.

RECORD SOURCE CATEGORIES:

Personnel records and training

request forms completed by employee.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

Treasury/OTS .009

SYSTEM NAME:

Health Files.

SYSTEM LOCATION:

Office of Thrift Supervision,

Department of the Treasury, 1700 G

Street, NW., Washington, DC 20552.

Categories of individuals covered by

the system:
Federal Register / Vol. 60, No. 49 / Tuesday, March 14, 1995 / Notices 13775

Participating employees.

CATEGORIES OF RECORDS IN THE SYSTEM:

Health Records.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

PURPOSE(S):

To maintain records regarding

medical care provided to employees of

OTS by the health care unit which is

now closed.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

No disclosures are made outside of

OTS.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are maintained in paper files.

RETRIEVABILITY:

Records are maintained by name of

individual.

SAFEGUARDS:

Records re maintained at the Federal

Records Center. Only authorized

personnel have access to location.

RETENTION AND DISPOSAL:

Records are retained and disposed of

in accordance with the appropriate

National Archives and Records

Administration General Records

Schedules.

SYSTEM MANAGER(S) AND ADDRESS:

Director, Human Resources. See

‘‘System Location’’ for address.

NOTIFICATION PROCEDURES:

Individuals wishing to be notified if

they are named in this system or gain

access to records maintained in this

system must submit a request

containing the following elements:

(1) Identify the record system;

(2) Identify the category and type of

records sought; and

(3) Provide at least two items of

secondary identification (date of birth,

employee identification number, dates

of employment or similar information).

Address inquiries to Chief, Disclosure

Branch, Office of Thrift Supervision,

1700 G Street, NW., Washington, DC

20552.

RECORD ACCESS PROCEDURES:

See ‘‘Notification Procedure’’ above.

CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.

RECORD SOURCE CATEGORIES:

Health unit staff and subject of the

record.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

Treasury/OTS .010

SYSTEM NAME:

Inquiry/Request Control System.

SYSTEM LOCATION:

Office of Thrift Supervision,

Department of the Treasury, 1700 G

Street, NW., Washington, DC 20052.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Persons who make inquiries, requests

for records or information concerning

activities of the OTS, regulated financial

institutions and related individuals and

organizations; e.g., holding companies,

service corporations, directors of thrifts,

advisors or representatives of the thrift

industry and also requests for records

under the Freedom of Information Act

and the Privacy Act.

CATEGORIES OF RECORDS IN THE SYSTEM:

Selected items of information

extracted from incoming inquiry, and

records concerning internal office case

assignments, processing and resolution

of the inquiry/request.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.

PURPOSE(S):

To internally control work flow and

assignments; to track progress of the

inquiry/request; and to provide

statistical information for budgetary,

resource allocation, and statutory

reporting purposes.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSE OF SUCH USES:

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.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are maintained in paper files

and magnetic media.

RETRIEVABILITY:

Records are maintained by individual

name, case control number, subject of

inquiry, savings and loan association

and/or financial institution, docket

number, receipt date, inquiry code,

disposition code, or any combination

thereof.

SAFEGUARDS:

Paper records are maintained in

secured offices with access limited to

those personnel whose official duties

require access. Access to computerized

records is limited, through use of a

password, to those whose official duties

require access.

RETENTION AND DISPOSAL:

Records are retained for one (1) year

and then destroyed. Freedom of

Information Act and Privacy Act records

are retained and disposed of in

accordance with appropriate National

Archives and Records Administration

General Records Schedule.

SYSTEM MANAGER(S) AND ADDRESS:

Director, Information Services

Division. See ‘‘System Location’’ for

address.

NOTIFICATION PROCEDURE:

Individuals wishing to be notified if

they are named in this system or gain

access to records maintained in this

system must submit a request

containing the following elements:

(1) Identify the record system;

(2) Identify the category and type of

records sought; and

(3) Provide at least two items of

secondary identification (date of birth,

employee identification number, dates

of employment or similar information).

Address inquiries to Chief, Disclosure

Branch, Office of Thrift Supervision,

1700 G Street, NW., Washington, DC

20552.

RECORD ACCESS PROCEDURES:

See ‘‘Notification Procedure’’ above.

CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.

RECORD SOURCE CATEGORIES:

Incoming inquiry or request (by mail,

fax, or telephone), internal case

assignment notations, case control, and

close-out forms.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

Treasury/OTS .011

SYSTEM NAME:

Positions/Budget.

SYSTEM LOCATION:

Office of Thrift Supervision,

Department of the Treasury, 1700 G

Street, NW., Washington, DC 20052.

See Appendix A for appropriate local

address of OTS Regional Offices.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

All current employees of the Office of

Thrift Supervision.

CATEGORIES OF RECORDS IN THE SYSTEM:

Individual employee records are kept

by office and agency as follows: Name,
13776 Federal Register / Vol. 60, No. 49 / Tuesday, March 14, 1995 / Notices

title, entered on duty date, service

computation date, occupation series,

social security number, grade, current

salary, location of employee, date of last

promotion, and eligibility for

promotion. Records are kept for each

office (and, where appropriate, for the

agency) on number of vacancies,

authorized position ceilings, and

number of employees.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

PURPOSE(S):

The system allows the OTS Budget

Division the ability to track positions by

office to assure the assigned Full-Time

Equivalent ceilings are not exceeded

and remain within the limits set by the

Director of the OTS. The system also

provides information to each office

which can be used in developing their

calendar year compensation budgets.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

Information may be disclosed 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.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are maintained in paper files

and magnetic media.

RETRIEVABILITY:

Records are filed by name of

individual.

SAFEGUARD:

Paper records are maintained in file

folders in secured areas. 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 use of a

password, to those whose official duties

require access.

RETENTION AND DISPOSAL:

Records are being retained and

disposed of in accordance with

appropriate National Archives and

Records Administration General

Records Schedule.

SYSTEM MANAGER(S) AND ADDRESS:

Director Budget Division, See

‘‘System Location’’ for address.

NOTIFICATION PROCEDURE:

Individuals wishing to be notified if

they are named in this system or gain

access to records maintained in this

system must submit a request

containing the following elements:

(1) Identify the record system;

(2) Identify the category and type of

records sought; and

(3) Provide at least two items of

secondary identification (date of birth,

employee identification number, dates

of employment or similar information).

Address inquiries to Chief, Disclosure

Branch, Office of Thrift Supervision,

1700 G Street, NW., Washington, DC

20552.

RECORD ACCESS PROCEDURES:

See ‘‘Notification Procedure’’ above.

CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.

RECORD SOURCE CATEGORIES:

Personnel records.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

Treasury/OTS .012

SYSTEM NAME:

Payroll/Personnel System & Payroll

Records.

SYSTEM LOCATIONS:

Office of Thrift Supervision,

Department of the Treasury, 1700 G

Street NW., Washington, DC 20552.

See Appendix A for appropriate local

address of OTS Regional Offices.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

All current Office of Thrift

Supervision (OTS) employees and all

former employees of the OTS, within

the past three years.

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 & 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’ Financial Institutions Savings 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):

Provides 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 PURPOSES 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) records from this system may be

disclosed as a routine use to other

Federal agencies including 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) records from this system may be

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.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are maintained on magnetic

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
Federal Register / Vol. 60, No. 49 / Tuesday, March 14, 1995 / Notices 13777

who have a need to know the

information in a record for 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 appropriate National

Archives and Records Administration

General Records Schedules.

SYSTEM MANAGER(S) AND ADDRESS:

Director, Human Resources. See

‘‘System Location’’ for address.

NOTIFICATION PROCEDURE:

Individuals wishing to be notified if

they are named in this system or gain

access to records maintained in this

system must submit a request

containing the following elements:

(1) Identify the records;

(2) Identify the category and type of

records sought; and

(3) Provide at least two items of

secondary identification (date of birth,

employee identification number, dates

of employment or similar information).

Address inquiries to Chief, Disclosure

Branch, Office of Thrift Supervision,

1700 G Street NW., Washington, DC

20552.

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:

Personnel Security and Suitability

Program.

SYSTEM LOCATION:

Office of Thrift Supervision,

Department of the Treasury, 1700 G

Street, NW., Washington, DC 20552.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Current and former government

employees and applicants applying for

employment with the Office of Thrift

Supervision.

CATEGORIES OF RECORDS IN THE SYSTEM:

Background investigations, limited

background investigations, minimal

background investigations, national

agency check investigations, periodic reinvestigations, and FBI and other agency

name checks, investigative information

relating to personnel investigations

conducted by the Department of the

Treasury, the Office of Personnel

Management, and other Federal

agencies and departments on

preplacement and postplacement basis

to make suitability for employment

determinations and for granting security

clearances. Card records, automated

data systems, or logs comprised of

notices of personnel security and

suitability investigations reflecting

identification data on incumbents and

former employees, and record type of

E.O. 10450 investigations and degree

and date of security clearance, if any.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Executive Order 10450, sections 2 and

3, Executive Order 12356, part 4,

Executive Order 10577, 5 USC 3301,

and 5 CFR parts 731, 732 and 736.

PURPOSE(S):

The purpose of the records in the

Personnel Security and Suitability

System is to enable the OTS to

determine and document each

employee’s suitability or security risk

for selection, employment and

continued employment according to

appropriate Federal regulations.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

These records and information in

these records may be disclosed to

departmental and agency officials or

other Federal agencies as relevant to or

necessary for making suitability or

employability retention or security

clearance determinations.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

File folders, logs and index cards.

RETRIEVABILITY:

Records are retrieved by name.

SAFEGUARDS:

Records are stored in locked metal

containers and in locked rooms. They

are limited to officials who have a need

to know in the performance of their

official duties. Officials are required to

sign an access form.

RETENTION AND DISPOSAL:

Records are retained and disposed of

in accordance with the appropriate

National Archives and Records

Administration General Records

Schedules.

SYSTEM MANAGER(S) AND ADDRESS:

Director, Human Resources Division.

See ‘‘System Location’’ for address.

NOTIFICATION PROCEDURE:

Individuals wishing to be notified if

they are named in this system or gain

access to records maintained in this

system must submit a request

containing the following elements:

(1) Identify the record system;

(2) Identify the category and type of

records sought; and

(3) Provide at least two items of

secondary identification (date of birth,

employee identification number, dates

of employment or similar information).

Address inquiries to Chief, Disclosure

Branch, Office of Thrift Supervision,

1700 G Street, NW, Washington, DC

20552.

RECORD ACCESS PROCEDURES:

See ‘‘Notification Procedure’’ above.

CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.

RECORD SOURCE CATEGORIES:

Information is obtained from current

and former employees, coworkers,

neighbors, acquaintances, educational

records and instructors, and police and

credit record checks.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

Appendix A—Addresses of Office of Thrift

Supervision Regional Offices:

Northeast Region

10 Exchange Place Centre, 18th Floor, Jersey

City, New Jersey 07302

Southeast Region

1475 Peachtree Street, NE., Atlanta, Georgia

30309

Central Region

111 East Wacker Drive, Suite 800, Chicago,

Illinois 60601

Midwest Region

122 W. John Carpenter Freeway, Suite 600,

Irving, Texas 75039

West Region

One Montgomery Street, Suite 400, San

Francisco, California 94104

[FR Doc. 95–6166 Filed 3–13–95; 8:45 am]

BILLING CODE 6720–01–M