[Federal Register Volume 60, Number 116 (Friday, June 16, 1995)]
[Rules and Regulations]
[Pages 31631-31633]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-14807]



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DEPARTMENT OF THE TREASURY

Departmental Office

31 CFR Part 1


Freedom of Information Act and Privacy Act of 1974; 
Implementation

AGENCY: Departmental Offices, Treasury.

ACTION: Final Rule.

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SUMMARY: The Department of the Treasury is amending its regulations 
implementing the Freedom of Information Act (FOIA) and the Privacy Act 
(PA) to add the Office of Thrift Supervision as a component of the 
Department and to include instructions on gaining access to information 
maintained by the Office of Thrift Supervision.

EFFECTIVE DATE: June 16, 1995.

ADDRESSES: Comments may be submitted to the Department of the Treasury, 
Disclosure Services, Room 1054-MT, 1500 Pennsylvania Avenue, NW., 
Washington, DC 20220.

FOR FURTHER INFORMATION CONTACT: 
Dale Underwood, Privacy Act Officer, Disclosure Services, Department of 
the Treasury. Telephone (202) 622-0874.


[[Page 31632]]

SUPPLEMENTARY INFORMATION: The Office of Thrift Supervision (OTS), as a 
component of the Department of the Treasury (Department), is subject to 
the Department's FOIA regulations at 31 CFR part 1, subpart A. The 
amendment adds the OTS to the list of components of the Department by 
inserting new language at 31 CFR 1.1(d)(13). This amendment also 
removes language identifying the office of the Assistant Secretary for 
Tax Policy as a distinct component because it is a part of the 
Departmental Offices and therefore, subject to appendix A of this 
subpart. The amendment adds language in appendix M to reflect the 
inclusion of OTS' FOIA appendix covering the OTS FOIA program as part 
of the Departmentwide regulations. The amended appendix covering the 
OTS FOIA program identifies the location of the public reading room. It 
also describes how to make a request under 31 CFR 1.5(g), 
administrative appeals under 31 CFR 1.5(h), and where each request or 
appeal should be addressed and where a request can be delivered.
    The Department's Privacy Act regulations at 31 CFR part 1, Subpart 
C, refer to the Department's Privacy Act program as part of the 
Departmentwide disclosure program. The appendices to subpart C apply to 
all records which are contained in systems of records maintained by the 
Department of the Treasury, or any one of its components, and which are 
retrieved by an individual's name or personal identifier.
    The amendment to Subpart C adds the OTS to the list of components 
of the Department by inserting new language at 31 CFR 1.20(m). Appendix 
M is being added to include the OTS' implementation of provisions of 
the Privacy Act of 1974 (5 U.S.C. 552a). Appendix M sets forth the 
procedures by which individuals may request notification of whether the 
OTS maintains or has disclosed a record pertaining to them, or seek 
access to such records maintained in any nonexempt system of records, 
request correction of such records, appeal any initial adverse 
determination of any request for amendment.
    The rules being published amending 31 CFR 1.1(d)(2), 1.20 and the 
appendices are not substantial rules, nor do they have an adverse 
effect on an individual's rights or benefits. In addition, the 
appendices are not substantially different from the existing 
departmentwide regulations implementing the Freedom of Information Act 
and Privacy Act.
    The appendices identify particular offices and addresses for the 
public to contact when making a request under either act, or for 
service of process, and are applicable to OTS only. The immediate 
adoption of the appendices is warranted as they are the best means of 
informing the public of the procedures which should be used to gain 
access to the records of OTS pursuant to the FOIA and PA. Such rules 
and regulations are required by FOIA and PA to be published by an 
agency pursuant to 5 U.S.C. 552(3)(B) and 5 U.S.C. 552a(f).
    Accordingly, pursuant to the administrative procedures provisions 
of 5 U.S.C. 553, the Department of the Treasury finds good cause that 
prior notice and other public procedure with respect to this rule are 
impracticable and unnecessary; and finds good cause for making this 
rule effective less than 30 days after publication of this document in 
the Federal Register.
    As required by Executive Order 12866, it has been determined that 
this rule does not constitute a ``significant regulatory action.''
    Because no notice of proposed rulemaking is required, the 
provisions of the Regulatory Flexibility Act, 5 U.S.C. 601-612, do not 
apply.
    In accordance with the provisions of the Paperwork Reduction Act of 
1980, the Department of the Treasury has determined that this rule 
would not impose new recordkeeping, application, reporting, or other 
types of information collection requirements.

List of Subjects in 31 CFR Part 1

    Freedom of information, Privacy.

    Part 1 of Title 31 of the Code of Federal Regulations is amended as 
follows:
    1. The authority citation for part 1 continues to read as follows:

    Authority: 5 U.S.C. 301 and 31 U.S.C. 321. Subpart A also issued 
under 5 U.S.C. 552, as amended. Subpart C also issued under 5 U.S.C. 
552a.

PART 1--[AMENDED]
Subpart A--Freedom of Information Act

    2. Section 1.1 is amended by adding paragraph (d)(13) to read as 
follows:
* * * * *
    (d) * * *
    (13) The Office of Thrift Supervision.
* * * * *
    3. Appendix M of Subpart A is revised to read as follows:

Appendix M--Office of Thrift Supervision

    1. In general. This appendix applies to the Office of Thrift 
Supervision. It identifies the location of the public reading room 
at which the following documents are available for public inspection 
and copying: Description of the central and field offices; the 
established places where the public may obtain information, 
decisions, statements of the general course and method by which 
functions are channeled and determined; rules of procedure, 
descriptions of forms and where they may be obtained; final 
adjudications of cases; instructions to staff that affect a member 
of the public; filings under the Security Exchange Act of 1934; 
consent agreements in enforcement matters; pleadings, opinions and 
decisions in administrative adjudications; Regulatory and Thrift 
Bulletins; Chief Counsel Opinions, substantive rules and statements 
of general policy and interpretations adopted by the agency, and 
each amendment, revisions, or repeal of the foregoing, including 
those which have not been published in the Federal Register;  draft 
rules and comment letters, and final Orders of the Director. Office 
of Thrift Supervision (OTS) regulatory handbooks and other 
publications are available for sale. Information may be obtained by 
calling the OTS Order Department at (301) 645-6264. OTS regulatory 
handbook and other publications may be purchased by forwarding a 
request, along with a check to: OTS Order Department, P.O. Box 753, 
Waldorf, MD 20604 or by calling (301) 645-6264. to pay the VISA or 
MASTERCARD. In addition, the appendix identifies the officers 
designated to make the initial and appellate determinations to FOIA 
requests, the officers designated to receive service of process, and 
the addresses for delivery of requests, appeals and service of 
process.
    2. Public reading room. The public reading room for the Office 
of Thrift Supervision is maintained at the following location: 
Public Reading Room, 1700 G Street, NW., Washington, DC 20552.
    3. Requests for records. Initial determinations under 31 CFR 
1.5(g) as to whether to grant requests for records of the Office of 
Thrift Supervision will be made by the Director, Information 
Services Division. Requests for records should be addressed to: 
Freedom of Information Request, Chief, Disclosure Branch, 
Information Services Division, Office of Thrift Supervision, 1700 G 
Street, NW., Washington, DC 20552.
    Requests may be delivered in person to: Office of Thrift 
Supervision, Information, Services Division, 1700 G Street, NW., 
Washington, DC.
    4. Administrative appeal of initial determination to deny 
records. Appellate determinations under 31 CFR 1.5(h) with respect 
to records of the Office of Thrift Supervision will be made by the 
Director, Public Affairs, Office of Thrift Supervision or the 
delegate of such officer. Appeals made by mail should be addressed 
to: Freedom of Information Appeal, Chief, Disclosure Branch, 
Information Services Division, Office of Thrift Supervision, 1700 G 
Street, NW., Washington, DC 20552.
    Appeals may be delivered in person to: Office of Thrift 
Supervision, Information Services Division, 1700 G Street, NW., 
Washington, DC.
    5. Delivery of process. Service of process will be received by 
the Corporate Secretary 

[[Page 31633]]
of the Office of Thrift Supervision or the delegate of such officer and 
shall be delivered to the following location: Corporate Secretary, 
Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 
20552.
* * * * *
Subpart C--Privacy Act

    4. Section 1.20 is amended by adding paragraph (m) to read as 
follows:
* * * * *
    (m) The Office of Thrift Supervision.
* * * * *
    5. Subpart C of 31 CFR part 1 is amended by adding Appendix M:

Appendix M--Office of Thrift Supervision

    1. In general. This appendix applies to the Office of Thrift 
Supervision. It sets forth specific notification and access 
procedures with respect to particular systems of records, and 
identifies the officers designated to make the initial 
determinations with respect to notification and access to records, 
the officers designated to make the initial and appellate 
determinations with respect to requests for amendment of records, 
the officers designated to grant extensions of time on appeal, the 
officers with whom ``Statement of Disagreement'' may be filed, the 
officer designated to receive services of process and the addresses 
for delivery of requests, appeals, and service of process. In 
addition, it references the notice of systems of records and notices 
of the routine uses of the information in the system required by 5 
U.S.C. 552a(e) (4) and (11) and published biennially by the Office 
of the Federal Register in ``Privacy Act Issuances.''
    2. Requests for notification and access to records and 
accounting of disclosures. Initial determinations under 31 CFR 1.26, 
whether to grant requests for notification and access to records and 
accountings of disclosures for the Office of Thrift Supervision, 
will be made by the head of the organizational unit having immediate 
custody of the records requested, or the delegate of such official. 
This information is contained in the appropriate system notice in 
the ``Privacy Act Issuances,'' published biennially by the Office of 
the Federal Register. Requests for information and specific guidance 
on where to send requests for records should be addressed to: 
Privacy Act Request, Chief, Disclosure Branch, Information Services 
Division, Office of Thrift Supervision, 1700 G Street, NW., 
Washington, DC 20552.
    Requests may be delivered in person to: Office of Thrift 
Supervision, Information Services Division, 1700 G Street, NW., 
Washington, DC.
    3. Requests for amendments of records. Initial determinations 
under 31 CFR 1.27 (a) through (d) with respect to requests to amend 
records maintained by the Office of Thrift Supervision will be made 
by the head of the organization or unit having immediate custody of 
the records or the delegates of such official. Requests for 
amendment of records should be addressed as indicated in the 
appropriate system notice in ``Privacy Act Issuances'' published by 
the Office of the Federal Register. Requests for information and 
specific guidance on where to send these requests should be 
addressed to: Privacy Act Amendment Request, Chief, Disclosure 
Branch, Information Services Division, Office of Thrift Supervision, 
1700 G Street, NW., Washington, DC 20552.
    Privacy Act Amendment Requests may be delivered in person to: 
Office of Thrift Supervision, Information Services Division, 1700 G 
Street, NW., Washington, DC.
    4. Administrative appeal of initial determination refusing to 
amend record. Appellate determination under 31 CFR 1.27(e) with 
respect to records of the Office of Thrift Supervision, including 
extensions of time on appeal, will be made by the Director, Public 
Affairs, Office of Thrift Supervision, or the delegate of such 
official, as limited by 5 U.S.C. 552a(d) (2) and (3). Appeals made 
by mail should be addressed as indicated in the letter of initial 
decision or to: Privacy Act Amendment Request, Chief, Disclosure 
Branch, Information Services Division, Office of Thrift Supervision, 
1700 G Street, NW., Washington, DC 20552.
    Appeals may be delivered in person to: Office of Thrift 
Supervision, Information Services Division, 1700 G Street, NW., 
Washington, DC.
    5. Statements of Disagreement. ``Statements of Disagreement'' as 
described in 31 CFR 1.27(e)(4) shall be filed with the official 
signing the notification of refusal to amend at the address 
indicated in the letter of notification within 35 days of the date 
of notification and should be limited to one page.
    6. Service of process. Service of process will be received by 
the Corporate Secretary of the Office of Thrift Supervision or the 
delegate of such official and shall be delivered to the following 
location: Corporate Secretary, Office of Thrift Supervision, 1700 G 
Street, NW., Washington, DC 20552.
    7. Annual notice of systems of record. The annual notice of 
systems of records required to be published by the Office of the 
Federal Register is included in the publication entitled ``Privacy 
Act Issuances,'' as specified in 5 U.S.C. 552a(f). Any specific 
requirements for access, including identification requirements, in 
addition to the requirements set forth in 31 CFR 1.26 and 1.27 and 
(8) below, and locations for access are indicated in the notice for 
the pertinent system.
    8. Verification of identity. An individual seeking notification 
or access to records, or seeking to amend a record, must satisfy one 
of the following identification requirements before action will be 
taken by the Office of Thrift Supervision on any such request:
    (i) An individual seeking notification or access to records in 
person, or seeking to amend a record in person, may establish 
identity by the presentation of a single official document bearing a 
photograph (such as a passport or identification badge) or by the 
presentation of two items of identification which do not bear a 
photograph but do bear both a name and signature (such as a driver's 
license or credit card).
    (ii) An individual seeking notification or access to records by 
mail, or seeking to amend a record by mail, may establish identity 
by a signature, address, and one other identifier such as a 
photocopy of a driver's license or other official document bearing 
the individual's signature.
    (iii) Notwithstanding subdivisions (i) and (ii) of this 
subparagraph, an individual seeking notification or access to 
records by mail or in person, or seeking to amend a record by mail 
or in person, who so desires, may establish identity by providing a 
notarized statement, swearing or affirming to such 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 access to records under false pretenses. Alternatively, an 
individual may provide a statement that the individual understands 
the penalties provided in 5 U.S.C. 552a(i)(3) for requesting or 
obtaining access to records under false pretenses which is 
subscribed by the individual as true and correct under penalty of 
perjury pursuant to 28 U.S.C. 1746. Notwithstanding subdivision (i), 
(ii), or (iii) of this subparagraph, a designated official may 
require additional proof of an individual's identity before action 
will be taken on any request, if such official determines that it is 
necessary to protect against unauthorized disclosure of information 
in a particular case. In addition, a parent of any minor or a legal 
guardian of any individual will be required to provide adequate 
proof of legal relationship before such person may act on behalf of 
such minor or such individual.
* * * * *
    Dated: May 16, 1995.
Alex Rodriguez,
Deputy Assistant Secretary (Administration).
[FR Doc. 95-14807 Filed 6-15-95; 8:45 am]
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