[Federal Register Volume 60, Number 49 (Tuesday, March 14, 1995)]
[Notices]
[Pages 13770-13777]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-6166]



[[Page 13770]]


DEPARTMENT OF THE TREASURY

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.

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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at 12 CFR part 505a were substantially superseded because the OTS, as a 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
    Confidential Individual Information System.
    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.
    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.
    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.
    12 U.S.C. 1464.
    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.
    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 self-regulatory 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 [[Page 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.
    Records are maintained in paper files and on magnetic media.
    Records are retrievable by the name of the individual and/or by the 
individual's relationship to the thrift or thrift holding company 
involved.
    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.
    Records are retained for fifteen years and then destroyed.
    National Administrator, Corporate Activities Division. See ``System 
Location'' for address.
    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.
    See ``Notification Procedure'' above.
    See ``Notification Procedure'' above.
    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.
    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
    Correspondence/Correspondence Tracing.
    Office of Thrift Supervision, Department of the Treasury, 1700 G 
Street, NW., Washington, DC 20552.
    White House and Executive Office of the President officials, 
Members of Congress, Treasury Department officials, the general public, 
and businesses.
    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.
    5 U.S.C. 301.
    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.
    (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.
    Records are maintained in magnetic media and in paper files.
    Records are maintained by name of individual; assignment control 
number.
    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.
    Director, Congressional Affairs. See ``System Location'' for 
address.
    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.
    See ``Notification Procedure'' above.
    See ``Notification Procedure'' above.
    Incoming correspondence and Office of Thrift Supervision responses.
    None:
Treasury/OTS .003
    Consumer Complaint System.
    Office of Thrift Supervision, Department of the Treasury, 1700 G 
Street, NW., Washington, DC., 20552. [[Page 13772]] 
    See Appendix A for appropriate local address of OTS Regional 
Offices.
    Persons who submit inquiries of complaints concerning federally 
insured depository institutions, service corporations, and 
subsidiaries.
    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.
    OTS uses this system to track individual complaints and to provide 
additional information about each institution's compliance with 
regulatory requirements.
    (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.
    Records are maintained in paper files and on magnetic media.
    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.
    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.
    Active files are maintained until the case is closed. Closed files 
are retained for six (6) years then destroyed.
    Manager, Consumer Programs, See ``System Location'' for address.
    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.
    See ``Notification Procedure'' above.
    See ``Notification Procedure'' above.
    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.
    None.
Treasury/OTS .004
    Criminal Referral Database.
    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.
    Individuals suspected of having committed crime(s) and individuals 
indicated or convicted of crime(s) against or involving savings 
associations.
    Criminal Referrals.
    12 U.S.C. 1464; 44 U.S.C. 3101.
    This system lists all matters referred to the Department of Justice 
for possible criminal proceedings.
    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.
    Records are maintained in paper files and on magnetic media.
    Records are filed by name of individual, savings institution or 
referral control number.
    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.
    Records are retained and disposed of in accordance with appropriate 
National Archives and Records Administration General Records Schedules.
    Chief Counsel, Office of Enforcement. See ``System Location'' for 
address.
    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.
    See ``Notification Procedure'' above.
    See ``Notification procedure'' above. [[Page 13773]] 
    Criminal referral forms compiled for law enforcement purposes.
    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
    Employee Counseling Service.
    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.
    Employees who seek counseling services.
    Counseling records.
    5 U.S.C. 301, 44 U.S.C. 3101.
    To provide a history and record of the employee counseling 
session(s) and to assist the counselor in identifying and resolving 
employee problem(s).
    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.
    Records are maintained in paper files.
    Records are retrieved by a number assigned to employee.
    Records are maintained in locked file cabinet. Access is limited to 
the employee counselor.
    Records are retained and disposed of in accordance with the 
appropriate National Archives and Records Administration General 
Records Schedules.
    Director of Human Resources. See ``System Location'' for address.
    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.
    See ``Notification Procedure'' above.
    See ``Notification Procedure'' above.
    Employees and Counselors.
    None.
Treasury/OTS .006
    Employee Locator File.
    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.
    All present employees of the OTS and persons whose employment has 
been terminated within the last six months.
    Employee's name, present address, telephone number, and the name, 
address, and telephone number of another person to notify in case of 
emergency.
    5 U.S.C. 301, 44 U.S.C. 3101.
    This system provides current information on employee's address and 
emergency contact person.
    (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.
    Records are maintained in paper files and on magnetic media.
    Records are filed by name of individual.
    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.
    Records are maintained until the termination of the employee's 
employment with OTS. After termination, records are retained for six 
months then destroyed.
    Director, Human Resources. See ``System Location'' for address.
    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.
    See ``Notification Procedure'' above.
    See ``Notification Procedure'' above.
    The individual whose record is being maintained. [[Page 13774]] 
    None.
Treasury/OTS .007
    Employee Parking.
    Office of Thrift Supervision, Department of the Treasury, 1700 G 
Street, NW., Washington, DC 20552.
    All OTS employees (and their corresponding car-pool members) who 
apply for agency-controlled parking.
    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.
    5 U.S.C. 301, 44 U.S.C. 3101.
    To control and maintain parking applications and spaces.
    No disclosures are made outside of OTS.
    Records are maintained in paper files and on magnetic media.
    Records are filed by parking pass number, name of OTS employee and 
social security number.
    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.
    Records are retained and disposed of in accordance with National 
Archives and Records Administration General Records Schedules.
    Director for Administration. See ``System Location'' for address.
    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.
    See ``Notification Procedure'' above.
    See ``Notification Procedure'' above.
    Applications submitted by OTS employees and non-OTS riders.
    None.
Treasury/OTS .008
    Employee Training Database.
    Office of Thrift Supervision, Department of the Treasury, 1700 G 
Street, NW., Washington, DC 20552.
    All employees of the Office of Thrift Supervision.
    Individual employee records are maintained by name, course taken, 
social security number, position, division, and manager name.
    5 U.S.C. 301 and 44 U.S.C. 3101.
    To maintain necessary information on training taken by employees 
through outside sources and vendors.
    Records are not disclosed outside of OTS.
    Records are maintained on magnetic media.
    Records are filed by individual name, social security number and 
course taken.
    Access to computerized records is limited, through use of a 
password, to those whose official duties require access.
    Records are retained and disposed of in accordance with the 
appropriate National Archives and Records Administration General 
Records Schedules.
    Training Manager, Human Resources Division. See ``System Location'' 
for address.
    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.
    See ``Notification Procedure'' above.
    See ``Notification Procedure'' above.
    Personnel records and training request forms completed by employee.
    None.
Treasury/OTS .009
    Health Files.
    Office of Thrift Supervision, Department of the Treasury, 1700 G 
Street, NW., Washington, DC 20552.
    Categories of individuals covered by the system: [[Page 13775]] 
    Participating employees.
    Health Records.
    5 U.S.C. 301, 44 U.S.C. 3101.
    To maintain records regarding medical care provided to employees of 
OTS by the health care unit which is now closed.
    No disclosures are made outside of OTS.
    Records are maintained in paper files.
    Records are maintained by name of individual.
    Records re maintained at the Federal Records Center. Only 
authorized personnel have access to location.
    Records are retained and disposed of in accordance with the 
appropriate National Archives and Records Administration General 
Records Schedules.
    Director, Human Resources. See ``System Location'' for address.
    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.
    See ``Notification Procedure'' above.
    See ``Notification Procedure'' above.
    Health unit staff and subject of the record.
    None.
Treasury/OTS .010
    Inquiry/Request Control System.
    Office of Thrift Supervision, Department of the Treasury, 1700 G 
Street, NW., Washington, DC 20052.
    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.
    Selected items of information extracted from incoming inquiry, and 
records concerning internal office case assignments, processing and 
resolution of the inquiry/request.
    5 U.S.C. 301.
    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.
    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.
    Records are maintained in paper files and magnetic media.
    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.
    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.
    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.
    Director, Information Services Division. See ``System Location'' 
for address.
    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.
    See ``Notification Procedure'' above.
    See ``Notification Procedure'' above.
    Incoming inquiry or request (by mail, fax, or telephone), internal 
case assignment notations, case control, and close-out forms.
    None.
Treasury/OTS .011
    Positions/Budget.
    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.
    All current employees of the Office of Thrift Supervision.
    Individual employee records are kept by office and agency as 
follows: Name, [[Page 13776]] 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.
    5 U.S.C. 301, 44 U.S.C. 3101.
    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.
    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.
    Records are maintained in paper files and magnetic media.
    Records are filed by name of individual.
    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.
    Records are being retained and disposed of in accordance with 
appropriate National Archives and Records Administration General 
Records Schedule.
    Director Budget Division, See ``System Location'' for address.
    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.
    See ``Notification Procedure'' above.
    See ``Notification Procedure'' above.
    Personnel records.
    None.
Treasury/OTS .012
    Payroll/Personnel System & Payroll Records.
    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.
    All current Office of Thrift Supervision (OTS) employees and all 
former employees of the OTS, within the past three years.
    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 Allotment-Financial 
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).
    5 U.S.C. 301, 44 U.S.C. 3101.
    Provides all the key personnel and payroll data for each employee 
which is required for a variety of payroll and personnel functions.
    (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.
    Records are maintained on magnetic media, microfiche, and in paper 
files.
    Records are filed by individual name, social security number and by 
office.
    Paper and microfiche records are maintained in secured offices and 
access is limited to personnel whose official duties require such 
access and [[Page 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.
    Records are retained and disposed of in accordance with appropriate 
National Archives and Records Administration General Records Schedules.
    Director, Human Resources. See ``System Location'' for address.
    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.
    See ``Notification Procedure'' above.
    See ``Notification Procedure'' above.
    Personnel and payroll records of current and former employees.
    None.
Treasury/OTS .013
    Personnel Security and Suitability Program.
    Office of Thrift Supervision, Department of the Treasury, 1700 G 
Street, NW., Washington, DC 20552.
    Current and former government employees and applicants applying for 
employment with the Office of Thrift Supervision.
    Background investigations, limited background investigations, 
minimal background investigations, national agency check 
investigations, periodic re-investigations, 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.
    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.
    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.
    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.
    File folders, logs and index cards.
    Records are retrieved by name.
    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.
    Records are retained and disposed of in accordance with the 
appropriate National Archives and Records Administration General 
Records Schedules.
    Director, Human Resources Division. See ``System Location'' for 
address.
    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.
    See ``Notification Procedure'' above.
    See ``Notification Procedure'' above.
    Information is obtained from current and former employees, 
coworkers, neighbors, acquaintances, educational records and 
instructors, and police and credit record checks.
    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