[Federal Register Volume 60, Number 217 (Thursday, November 9, 1995)]
[Notices]
[Pages 56687-56695]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: X95-51109]




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Comptroller of the Currency

Treasury/Comptroller .004
     Consumer Complaint and Inquiry Information System (CCIS)--
Treasury/Comptroller.
     Office of the Comptroller of the Currency, 250 E Street, SW, 
Washington, DC 20219. Components of the CCIS are geographically 
dispersed through- out six (6) district offices. (See addresses listed 
in Appendix of OCC District Offices.)
     Persons who file complaints against banks either directly or 
through second parties, e.g. attorneys, Congressional representatives 
or others who make inquiries about banks or banking issues.
     The records are maintained in three general categories: 
Correspondence; computer tapes; and hard copies of computer generated 
reports. Data contained in these records are: The name and address of 
the writer or their representative; the name and charter number of 
bank; the date of incoming letter; the date letter received by the OCC; 
numerical codes identifying the nature of the complaint, the source of 
the complaint, and the type of resolution; identification of the 
district and the person assigned to examine the complaint; the 
resolution date; and, if appropriate, the amount of reimbursement.
     12 U.S.C. 1, et.seq., 5 U.S.C. 301, 15 U.S.C. 41 et.seq.
     Hard copy computerized reports are used to monitor the system, 
provide data for the Annual Report to Congress and inquiries from other 
agencies, public and private. Redacted copies of the files may be used 
in response to Congressional inquiries on specific subjects.
     Records in active use are stored in file cabinets in the 
processing offices. Resolved complaints and inquiries are stored in the 
office having primary responsibility for the bank, generally the field 
office. Complaints regarding banks with over one billion dollars in 
assets are stored in the appropriate district office. Complaints which 
appeal the district office's resolution and complaints and inquiries 
received from Congressional sources are stored in Central Files in the 
Washington Office or in the Congressional Liaison office. Active 
computer tapes are secured in the Information Systems and Technology 
Division and the computerized reports are stored in file cabinets.
     Correspondence records are retrieved from the appropriate office 
using the bank and complainant's or Congressman's or Senator's name. 
Other records are retrieved using the complainant's or inquirer's name 
or the identification number assigned to the correspondence.
     Access to locations where active complaint and inquiry files are 
located is controlled. Computer tapes are also located in a controlled 
access location. Inactive files are located in locked file rooms.
     (a) Consumer complaint correspondence generating administrative 
action is part of the permanent bank record set that is retained at OCC 
for three calendar years, then transferred to Washington National 
Records Center (WNRC) and offered to National Archives and Records 
Administration when 30 years old. (b) Consumer complaints and inquiries 
of a routine nature are held for two years, then may be transferred to 
WNRC, and destroyed when five years old. (c) Computer tapes and one 
record copy of reports are retained in OCC for three years, then 
transferred to WNRC, and offered to NARA when 20 years old.
     Compliance Management, Comptroller of the Currency, 250 E Street, 
SW, Washington, DC 20219.
     Individuals who wish to be notified if they are named in the 
system or to gain access to records maintained in the system may write 
or call the Director of Compliance Management to obtain this 
information. They must provide their name, address, name of subject 
bank, complaint identification number, if available, and the 
approximate date. The requesting individual will only be provided an 
affirmative or negative answer. If additional information is requested, 
procedures under access must be followed.
     Access to a record can be requested by writing to the Disclosure 
Officer, Communications Division, Office of the Comptroller of the 
Currency, 250 E Street, SW, Washington, DC 20219.
     Decisions by the district offices can be appealed to the Director 
of Compliance Management. Such an appeal is the final level of 
administrative action available to persons filing complaints.
     The initial source is from the person filing a complaint against a 
national bank or the person making an inquiry about a bank or banking 
issue. Subsequent sources are from bank correspondence, bank files, or 
from reports based on on-site investigations.
     None.
Treasury/Comptroller .012
     Freedom of Information Index and Log--Treasury/Comptroller.
     Comptroller of the Currency, 250 E Street, SW, Washington, DC 
20219. 

[[Page 56688]]

     Persons making requests under the Freedom of Information Act 
(FOIA).
     List of names of persons making requests under the Freedom of 
Information Act.
     12 U.S.C. 1 and 12 U.S.C. 9, 5 U.S.C. 301.
     Any party within or outside of the office of the Comptroller of 
the Currency or the Department of Treasury who wishes to review the 
Freedom of Information Act request log may do so by contacting or 
writing to the Director of Communications.
     Magnetic media.
     Log is arranged sequentially by case number of a Freedom of 
Information Act request. Log entries can be sorted by name of 
requester.
     Unlocked file cabinet.
     Records are updated periodically to reflect changes and are 
maintained as long as needed.
     Disclosure Officer, Communications, 250 E Street, SW, Washington, 
DC 20219.
     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; (3) 
Indicate the location of the Comptroller of the Currency Office where 
the record might be stored; and (4) Provide at least two items of 
secondary identification (date of birth, employee identification 
number, date(s) of employment or similar information).
     Persons wishing to review the FOIA log/index should contact the 
Disclosure Officer, Communications, 250 E Street, SW, Washington, DC 
20219.
     Submit requests to the Disclosure Officer, Communications at the 
above address.
     Persons making requests under Freedom of Information Act.
     None.
Treasury/Comptroller .013
     Enforcement and Compliance Information System--Treasury/
Comptroller.
     Comptroller of the Currency, 250 E Street, SW, Washington, DC 
20219.
     Individuals and entities involved in actual or suspected 
fraudulent activities, or other violations of law, and bank directors, 
officers and shareholders named in administrative enforcement actions, 
actual or potential witnesses in investigations and enforcement 
actions.
     These records contain information identifying the individual, 
describing the known or suspected criminal activity or violation of law 
enforcement action in which the individual is involved or named, giving 
the bank name and location, and where applicable, the law enforcement 
agency to which referred and date referred, indicating if a grand jury 
subpoena has been issued, indicating other actions and identifying the 
OCC attorney. These records also include evidentiary material, 
transcripts of testimony, documents prepared for administrative or 
court proceedings, correspondence and staff memoranda.
     12 U.S.C. 481, 1817(j), 1818, and 1820; 15 U.S.C. 78c(a)(34), 
78l(I), 78u, 78o-4
     Information in these records may be used to: (1) Provide the 
Department of Justice with periodic reports which indicate the number, 
place and individual identity of outstanding potential criminal 
violations of the law which have been referred to the Department; (2) 
provide the Office of the Comptroller of the Currency with statistical 
information to respond to general information requests from the 
Congress; (3) disclose information to foreign governments in accordance 
with formal or informal international agreements; (4) disclose 
information to the news media in accordance with guidelines contained 
in 28 CFR 50.2 which covers release of information relating to civil 
and criminal proceedings; (5) disclose information to third parties 
during the course of an investigation to the extent necessary to obtain 
information pertinent to the investigation; (6) 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; (7) disclose information to a court, magistrate, or 
administrative tribunal, including disclosure to opposing counsel or 
potential or actual witnesses in the course of discovery, in litigation 
or settlement negotiations, or in response to a subpoena, where 
relevant or potentially relevant to the processing; (8) disclose 
information of Federally insured financial institutions in connection 
with such institutions' hiring or retention of an employee, when 
considered appropriate; (9) disclose, when considered, appropriate, 
information to a bar association, the American Institute of Certified 
Public Accountants, or other professional organization performing 
similar functions, for possible disciplinary action; (10) disclose 
information to members of Congress in response to an inquiry made at 
the request of the individual to whom the record pertains; (11) 
disclose information to any person with whom the Comptroller contracts 
to reproduce, by typing, photocopying or other means, any record within 
this system for use by the Comptroller and its staff in connection with 
their official duties or to any person who is utilized by the 
Comptroller to perform clerical or stenographic functions relating to 
the official business of the Comptroller.
     Records will be maintained in general correspondence files, 
enforcement actions and investigatory files, criminal referral files, 
in card files and on computer disks.
     Some records will be indexed by bank name and location. In 
addition, records on computer discs or in enforcement 

[[Page 56689]]
action, investigatory, or criminal referral files will be indexed by 
name of individual. Records on computer discs will also be indexed by 
code provision known or suspected to be violated.
     Correspondence files are stored in the Office`s Central File room 
and may only be retrieved by authorized personnel. Enforcement, 
investigation, and criminal referral files are stored in lockable file 
cabinets and accessible only to authorized personnel. Card files will 
be stored in lockable file cabinets. Computer discs will be accessible 
only to authorized personnel.
     Records are periodically updated to reflect changes and maintained 
as long as needed.
     Director, Enforcement and Compliance Division, and Director, 
Securities and Corporate Practices Division, Law Department, 
Comptroller of the Currency, 250 E Street, SW, Washington, DC 20219.
     Certain records in this system are exempt from notification 
requirements under 5 U.S.C. 552a (k)(2) of the Act as relating to 
investigatory material compiled for law enforcement purposes. Requests 
relating to records not subject to the exemption should contain the 
following elements: (1) Identity of the records system; (2) identity of 
the category and type of records sought; (3) the location of the 
Comptroller of the Currency office where the record might be stored; 
and (4) at least two items of secondary identification (date of birth, 
employee identification number, dates of employment or similar 
information).
     Submit requests to the Disclosure Officer, Communications 
Division, 250 E Street, SW, Washington, DC 20219.
     Submit requests to the Disclosure Officer, Communications 
Division, 250 E Street, SW, Washington, DC 20219.
     Examinations of national banks by national bank examiners; 
investigations performed by agency attorneys and notifications from the 
Department of Justice, other Federal and State law enforcement 
agencies, and other Federal and State bank regulatory agencies; filings 
made with the Office of the Comptroller of the Currency pursuant to 
law; communications and documents received by the agency in the course 
of its bank supervisory activities.
     Components of this system have been designated as exempt from 5 
U.S.C. 552a (j)(4). To the extent that the exemption under 5 U.S.C. 
552a (j)(4) does not apply, the exemption under 5 U.S.C. 552a (k)(2) 
applies.
Treasury/Comptroller .014
     Personnel Security/Investigation Files/Employee/Applicant 
Reference File--Treasury/Comptroller.
     Comptroller of the Currency, Human Resources Division, 250 E 
Street, SW, Washington, DC 20219. Components of this system are 
geographically dispersed throughout six (6) district offices. Contact 
District Offices for addresses of field offices within their 
jurisdiction. (See addresses listed in Appendix of OCC District 
Offices.)
     Applicants for employment with and employees of the Comptroller of 
the Currency.
     Compilation of material for a determination regarding 
employability and/or Security Clearance.
     12 U.S.C. 1 and 9; 5 U.S.C. 301; and EO 10450 and 12356.
     Disclosures are not made outside the Department.
     Locked steel file cabinets located in a room secured with a key 
lock.
     Filed in alphabetical order.
     Locked Steel file cabinets located in a room secured with a key 
lock. Only the security officer within the Human Resources area have 
access.
     Materials are retained for three months after employee leaves and 
the records are disposed by shredding.
     Deputy Comptroller for Resource Management, Comptroller of the 
Currency, 250 E Street, SW, Washington, DC 20219.
     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; (3) 
Provide at least two items of secondary identification (date of birth, 
employee identification number, dates of employment or similar 
information).
     Contact the Disclosure Officer, Communications Division, Office of 
the Comptroller of the Currency, 250 E Street, SW, Washington, DC 
20219.
     Submit requests to the Disclosure Officer, Communications 
Division, Office of the Comptroller of the Currency, 250 E Street, SW, 
Washington, DC 20219.
     The information contained in these records is provided by subject 
of the record--employers, co-workers, friends, neighbors and 
associates, and finances.
     Portions of this system have been designated as exempt from 
certain provisions of the Privacy Act pursuant to 5 U.S.C. 552a (k)(5).
Treasury/Comptroller .015
     Chain Banking Organizations System--Treasury/Comptroller.
     Office of the Comptroller of the Currency, 250 E Street, SW, 
Washington, DC 20219; 1114 Avenue of the Americas, Suite 3900, New 
York, NY 10036; Marquis One Tower, Suite 600, 245 Peachtree Center 
Avenue N.E., Atlanta, GA 30303; One Financial Place, Suite 2700, 440 
South LaSalle Street, Chicago, IL 60605; 2345 Grand Avenue, Suite 700, 
Kansas City, MO 64108; 1600 Lincoln Plaza, 500 North Akard, Dallas, TX 
75201; 50 Fremont Street, Suite 3900, San Francisco, CA 94105.
     Individuals who directly, indirectly, or in concert with others, 
own and/or control a chain banking organization.

[[Page 56690]]

     The Chain Banking Organizations System consists of word processing 
and microprocessing programs which perform editing, updating and 
reporting functions on two types of data: (1) Name of an individual (or 
group of individuals acting in concert) that owns or controls a chain 
banking organization and (2) information concerning individual chain 
banks, such as; name, location, charter number, charter type, date of 
last examination, percentage of outstanding stock owned by controlling 
individual or group and, if applicable, name of intermediate holding 
entity and percentage of it held by controlling individual or group.
     12 U.S.C. 1, 12 U.S.C. 481, 12 U.S.C. 1817(j).
     The System may be used to: (1) Disclose information about specific 
chain banking organizations to other financial institution supervisory 
authorities for: (a) Coordination of examining resources when the chain 
banking organization is composed of banks or financial institutions 
subject to multiple supervisory jurisdiction; (b) coordination of 
evaluations and analysis of the condition of the consolidated chain 
group; (c) coordination of supervisory, corrective or enforcement 
actions. (2) Disclose information to the extent provided by law or 
regulation and as necessary to report any apparent violations of law to 
appropriate law enforcement agencies. (3) Disclose pertinent 
information to appropriate Federal, State, local or foreign agencies 
responsible for investigating or prosecuting the violations of, or for 
enforcing or implementing, a statute, rule, regulation, order, or 
license, where the disclosing agency becomes aware of an indication of 
a violation or potential violation of civil or criminal law or 
regulation. (4) Disclose information to a Federal, State, or local 
agency, maintaining civil, criminal or other relevant enforcement 
information or other pertinent information, which has requested 
information relevant to or necessary to the requesting agency's or the 
bureau's hiring or retention of an individual, or issuance of a 
security clearance, license, contract, grant, or other benefit. (5) 
Disclose information to a court, magistrate, or administrative tribunal 
in the course of presenting evidence, including disclosures to opposing 
counsel or witnesses in the course of civil discovery, litigation, or 
settlement negotiations, in response to a subpoena, or in connection 
with criminal law proceedings. (6) Provide information to a 
congressional office in response to an inquiry made at the request of 
the individual to whom the record pertains.
     These records are maintained in a computer data base and on 
computer floppy disks or hard copy printouts stored in file cabinets.
     All retrievable records are indexed by district location, state, 
alphabetically by surname of the individual(s) and/or entity 
controlling the chain banking organization.
     Access to records in electronic storage systems is restricted by 
user identification procedures and passwords which limit access to 
authorized employees of the Office. Computer disks and hard copy 
printouts will be stored in locked file cabinets when the Office is 
vacant.
     Records are generally maintained in electronic storage disks in an 
off-line capacity until needed. Certain records are archived in off-
line storage. All records, including those in printout form, are 
periodically updated to reflect changes and maintained as long as 
needed.
     Senior Deputy Comptroller for Bank Supervision Operations, Office 
of the Comptroller of the Currency, 250 E Street, SW, Washington, DC 
20019. District Offices - The Deputy Comptroller for each District is 
responsible for assuring the accuracy and routine maintenance of that 
portion of the System applicable to the district.
     Individuals who wish to be notified if they are named in the 
system shall submit a signed, written request to the appropriate 
District Office (or to the System Manager at the address listed). The 
request must contain: (1) The requestor's name and address; (2) the 
name of the system of records; and (3) the name and location of the 
bank(s) which they control individually or in concert with others. In 
order to avoid excessive delay and unneeded correspondence, individuals 
requesting notification should simultaneously request access to records 
pertaining to them.
     Portions of this system of records may be accessed under the 
Privacy Act for purposes of inspection by identified controlling 
individuals for the express purpose of verifying that their 
relationships are accurately recorded.
     Individuals who wish to contest a record in the system must submit 
a signed written request to the Senior Deputy Comptroller for Bank 
Supervision Operations, Office of the Comptroller of the Currency, 250 
E Street, SW, Washington, DC 20219.
    The requests should contain: (1) The name and address of the 
individual contesting the record; (2) the name of the system of 
records; (3) the name and location of the chain bank(s) which they 
reportedly control individually or in concert with others; and (4) the 
specific information being contested and the reason for contesting (it 
is believed to be inaccurate, irrelevant, incomplete, etc.).
     Information that identifies chain banking groups primarily is 
gathered from: (1) Examination reports and related materials; (2) 
regulatory filings; and (3) Change in Bank Control Notices filed 
pursuant to 12 U.S.C. 1817 (j).
     None.
Treasury/Comptroller .016
     Litigation Information System (LIS)--Treasury/Comptroller.
     Office of the Comptroller of the Currency, 250 E Street, SW, 
Washington, DC 20219.
     LIS covers: (a) Individuals who file administrative or judicial 
claims against the OCC and/or officials or employees of the OCC in 
their capacity as such, against whom the OCC files claims, or who are 
parties to claims in which the OCC participates, but is not a party; 
(b) All other individuals, including actual or potential witnesses, 
involved in litigation brought by or against the OCC or in which the 
OCC participates as a nonparty; (c) persons submitting requests for 
testimony and/or production of documents pursuant to 12 CFR 4.19.

[[Page 56691]]

     All records generated in connection with the litigation including 
evidentiary material, transcripts of testimony, documents prepared for 
administrative or judicial proceedings, correspondence, requests for 
information pursuant to 12 CFR 4.19, and staff memoranda.
     12 U.S.C. 1 and 481; 15 U.S.C. SS78c(a)(34), 78l(I), 78o-4.
     The information contained in these records may be used to: (1) 
Provide the Department of Justice with pleadings, memoranda, 
correspondence, litigation reports, and other documents that will 
assist it in the preparation of litigation involving the OCC; (2) 
disclose information to the news media in accordance with guidelines 
contained in 28 CFR 50.2, which covers the release of information 
relating to civil and criminal proceedings; (3) disclose information to 
a court, magistrate, or administrative tribunal in the course of 
presenting evidence, including disclosure to opposing counsel or 
potential or actual witnesses in the course of discovery, in litigation 
or settlement negotiations, or in response to a subpoena, where 
relevant or potentially relevant to the proceeding; (4) 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 statutes, 
rules, regulations or orders pursuant thereto; (5) disclose information 
to bank and consumer groups; (6) disclose information to any person 
with whom the OCC contracts to reproduce, by typing, photocopy or other 
means, any record within the system of records for use by the OCC and 
its staff in connection with their official duties or to any person who 
is utilized by the OCC to perform clerical or stenographic functions 
relating to the official business of the OCC.
     Records comprising this system are maintained in file folders kept 
in lockable file cabinets.
     Access to the records is by name of the individual litigant(s).
     Records are accessible only to authorized personnel.
     Records are updated periodically to reflect changes and are 
maintained as long as needed.
     Director, Litigation Division, Law Department, Comptroller of the 
Currency, 250 E Street, SW, Washington, DC 20219.
     Individuals wishing to be notified if they are named in the system 
or to gain access to records maintained in the system must submit a 
request containing the following elements: (1) Identity of the record 
system; (2) identity of the category and type of records sought; (3) 
the location of the Comptroller of the Currency office where the record 
might be stored; and (4) at least two items of secondary identification 
(date of birth, employee identification number, dates of employment or 
similar information).
     Contact the Disclosure Officer, Communications Division, Office of 
the Comptroller of the Currency, 250 E Street, SW, Washington, DC 
20219.
     Submit comments to the Disclosure Officer, Communications 
Division, Office of the Comptroller of the Currency, 250 E Street, SW, 
Washington, DC 20219.
     Individuals who file claims against or otherwise are involved in 
legal proceedings with the OCC and/or an official or employee thereof 
in his or her capacity as such; communications and documents generated 
or received by the OCC, its officials or employees in the course of the 
legal proceedings; applications and other filings made with the OCC 
pursuant to law.
     None.
Treasury/Comptroller .221
     Professional Qualifications Records for Municipal Securities 
Principals, Municipal Securities Representatives, and U.S. Government 
Securities Associated Persons--Treasury/Comptroller.
     Office of the Comptroller of the Currency, 250 E Street SW, 
Washington, DC 20219. Records stored in computerized files are 
maintained off premises at the National Association of Securities 
Dealers, 9513 Key West Avenue, Rockville, Maryland 20850.
     Persons who are or seek to be associated with a municipal 
securities dealer or a government securities broker/dealer which is a 
national or District of Columbia bank, or a department, division, or 
subsidiary of any such bank, in the capacity of municipal securities 
principals, municipal securities representatives, or government 
security associated person.
     These records contain identifying information, detailed 
educational and occupational histories, certain professional 
qualifications, examination information, disciplinary histories, and 
information concerning the termination of employment of individuals 
covered by the system. Identifying information includes name, address 
history, date and place of birth, and may include Social Security 
number.
     Section 15B(c), 17 and 23 of the Securities Exchange Act of 1934 
(15 U.S.C. 78o-4(c)(5), 78o-5(a)(1)(B)(ii), 78q and 78w); and the 
general authority of the National Banking Laws, 12 U.S.C. 1 et seq.
     The information contained in these records may be subject to the 
following uses: (1) Referral to the appropriate governmental authority, 
whether Federal, State, local, or foreign, or to the appropriate self-
regulatory organization, of such information as may indicate a 
violation or potential violation of law, regulation or rule. (2) 
Referral to the appropriate court, magistrate, or administrative law 
judge of such information as may be relevant to proceedings before any 
such court or judicial officer. (3) Disclosure of such information as 
may aid in the resolution of any action or proceeding: (a) In which the 
Federal securities or banking laws are at issue; (b) In which the 
propriety of any disclosure of information contained in the system is 
at issue; or (c) To which the Comptroller of the Currency or a past or 
present member of its staff is a party or otherwise involved in an 
official capacity. (4) Disclosure to a Federal, State, local, or 
foreign governmental authority, or to a self-regulatory organization, 
of such 

[[Page 56692]]
information as may be necessary to obtain from such authority or 
organization additional information concerning the qualifications of an 
individual covered by the system. (5) Disclosure of such information as 
may be necessary to respond to a request from a Federal, State, local, 
or foreign governmental authority, or from a self-regulatory 
organization, for information needed in connection with the issuance of 
a license, granting of a benefit, or similar action by such authority 
or organization affecting an individual covered by the system. (6) 
Disclosure of such information as may be necessary to respond to any 
Congressional inquiry undertaken at the request of an individual 
covered by the system.
     Records are maintained in file folders and on magnetic media.
     Records are indexed by name of individual, and by a numerical 
identifier assigned by the National Association of Securities Dealers
     File folders are stored in lockable metal cabinets and computer 
memory discs are accessed only by Authorized Personnel.
     Records are updated periodically to reflect changes and maintained 
thirty (30) years.
     Capital Markets Division, Office of the Chief National Bank 
Examiner, Office of the Comptroller of the Currency, 250 E Street SW, 
Washington, DC 20219.
     Inquiries, including name, date and place of birth, should be 
addressed to the System Manager. Inquirers may be required to include a 
notarized statement attesting to identity.
     Same as notification procedure.
     Same as notification procedure.
     Those individuals, and municipal and U.S. Government securities 
dealers described in the section entitled ``Categories of Individuals 
Covered by the System'' provide the bulk of the information in the 
system. Additional input is provided by Federal, State, local, and 
foreign governmental authorities, and by self-regulatory organizations, 
which regulate the securities industry.
     None.
Treasury/Comptroller .300
     Administrative Personnel System--Treasury/Comptroller.
     Office of the Comptroller of the Currency, 250 E Street, SW, 
Washington, DC 20219. Components of this system are geographically 
dispersed throughout six (6) district offices. Contact District Offices 
for addresses of field offices within their jurisdiction. (See 
addresses listed in Appendix of OCC District Offices.)
     Employment related administrative records. This system contains 
internal control type information about employees and contractual users 
of agency facilities and systems. The type of records found within this 
system are: List of individuals who are issued building passes, credit 
or identification cards, parking permits, accountable property and 
travel documents; lists of individuals who perform specialized duties 
(building wardens, relocation teams, safety officers, and civil defense 
officers); reports about individuals who are involved in accidents 
while employed, and authorization codes for use of internal computer 
systems.
     General authority -- 12 U.S.C. 1 and 9, 5 U.S.C. 301. Specific 
authority is derived from a number of laws, regulations and Executive 
Orders. Individuals wishing to obtain more detailed information should 
write to the Disclosure Officer, Communications, 250 E Street, SW, 
Washington, DC 20219.
     A record in this system may be disclosed as a routine use to: (1) 
The Office of Personnel Management (OPM) for the purpose of complying 
with regulations issued by the OPM; (2) the General Services 
Administration (GSA) for the purpose of complying with regulations 
issued by the GSA; (3) the Department of Labor for the purpose of 
investigating claims for work related injuries.
     File folders, magnetic tape, lists and forms.
     Records are retrieved primarily by name (filed alphabetically by 
category of records); secondary identifiers are used to assure accuracy 
(date of birth, social security number or employee identification 
number).
     Records are stored in lockable cabinets or secure rooms; access is 
limited to officials who have a need for the information; employees are 
trained to make only authorized disclosures.
     Personnel-type records are retained for thirty (30) days after 
termination. All other records are retained and destroyed in accordance 
with published disposition and retention schedules. Individuals wishing 
more detailed information should write to the Disclosure Officer, 
Communications, 250 E Street, SW, Washington, DC 20219.
     Senior Deputy Comptroller for Administration, 250 E Street, SW, 
Washington, DC 20219; Director, Multinational and Regional Bank 
Supervision, 250 E Street, SW, Washington, DC 20219 (multinational 
records only).
     Individuals wishing to be notified if they are named in this 
system of records, or gain access to records maintained in this system 
must submit a written request containing the following elements: (1) 
Identify the record system; (2) Identify the category and type of 
records sought; (3) Indicate the location of the Comptroller of the 
Currency office where last employed; (4) Provide at least two items of 
secondary identification (date of birth, employee identification 
number, dates of employment or similar information).
     Access to a record can be requested by writing to the Disclosure 
Officer, Communications, 250 E Street, SW, Washington, DC 20219.
     Submit requests to the Disclosure Officer at the above address.

[[Page 56693]]

     The information in these records was provided by or verified by 
the subject of the record, employers and co-workers.
     None.
Treasury/Comptroller .310
     Financial System--Treasury/Comptroller.
     Office of the Comptroller of the Currency and Financial Management 
Division, 250 E Street, SW, Washington, DC 20219. Components of this 
system are geographically dispersed throughout six (6) district offices 
as well as Washington, DC. (See addresses listed in appendix of OCC 
District Offices.)
     Present and past employees of the Office of the Comptroller of the 
Currency.
     This system contains payroll and disbursement type records 
including: Travel records, debt information, and information about 
employees. The types of records found within this system are: Award, 
allowance, salary, fund advancement justification and disbursement 
records; personnel information; leave information; payroll deductions 
for taxes, life and health insurance, financial institutions, 
retirement funds including the Federal Employees Retirement System and 
the Civil Service Retirement System, Thrift Savings Plan, and 
charitable groups.
     General authority -- 12 U.S.C. 1, 5 U.S.C. 301. Individuals 
wishing to obtain more detailed information should write to the Deputy 
Comptroller, Communications, Office of the Comptroller of the Currency, 
Communications, 250 E Street, SW, Washington, DC 20219.
     These records and information in these records may be used to: (1) 
Furnish the Internal Revenue Service and other jurisdictions which are 
authorized to tax the employee's compensation, with wage and tax 
information in accordance with a withholding agreement with the 
Department of the Treasury pursuant to 5 U.S.C. 5516, 5517, and 5520; 
(2) furnish the Office of Personnel Management (OPM) with data to 
update the Central Personnel Data File and other statistical reports as 
required for the purpose of complying with regulations issued by OPM; 
(3) furnish another Federal agency information to effect interagency 
salary offset; to furnish another Federal agency information to effect 
interagency administrative offset, except that addresses obtained from 
the Internal Revenue Service shall not be disclosed to other 
governmental agencies; and to furnish a debt collection agency 
information for debt collection services. Current mailing addresses 
acquired from the Internal Revenue Service are routinely released to 
debt collection agencies for collection services; (4) the General 
Services Administration (GSA) for the purpose of complying with 
regulations issued by GSA; (5) the General Accounting Office for the 
purpose of conducting audits; (6) entities designated to receive 
payroll deductions; (7) Department of Labor to determine eligibility 
for unemployment benefits; (8) disclose information to a court, 
magistrate, or administrative tribunal in the course of presenting 
evidence, including disclosures to opposing Counsel or witnesses in the 
course of civil discovery, litigation or settlement negotiations in 
response to a subpoena, or in connection with criminal law proceedings.
     Disclosures pursuant to 5 U.S.C. 552(b)(12) and section 3 of the 
Debt Collection Act of 1982; Debt information concerning a government 
claim against an individual is also furnished in accordance with 5 
U.S.C. 552a(b)(12) and section 3 of the Debt Collection Act of 1982 
(Pub. L. 97-365), to consumer reporting agencies to encourage repayment 
of an overdue debt.
     Maintained in file folders, magnetic media including computer 
discs and tapes, microfiche, and hard copy printout. Disbursement 
records are stored at the Federal Records Center.
     Records are retrieved primarily by name (filed alphabetically), or 
an assigned identification number (Social Security Number or an 
assigned identification number). Secondary identifiers are used to 
assure accuracy of data assessed, including date of birth, Social 
Security number, or employee identification number.
     File folders are stored in lockable cabinets or secure rooms; 
access is limited to officials who have a need for the information; 
employees are trained to make only authorized disclosures. Computer 
records are accessed only by authorized personnel.
     Payroll and disbursement records are retained by the Office in 
accordance with the Comptroller of the Currency's Comprehensive Records 
Disposition Schedule. Individuals wishing further information should 
write to the Disclosure Officer, Communications, 250 E Street, SW, 
Washington, DC 20219.
     Deputy Comptroller for Systems and Financial Management, 250 E 
Street, SW, Washington, DC 20219.
     Individuals wishing to be notified if they are named in this 
system or gain access to records maintained in this system or contest 
any records contained in the system must submit a request containing 
the following elements: (1) Identify the record system; (2) Identify 
the category and type of records sought; (3) Indicate the location of 
the Comptroller of the Currency office where last employed; and (4) 
Provide at least two items of secondary identification (date of birth, 
employee identification number, dates of employment or similar 
information).
     Submit request to the Disclosure Officer, Communications, 250 E 
Street, SW, Washington, DC 20219.
     See Record access procedures above.
     The information contained in these records is provided by or 
verified by the subject of the record and OCC employees.
     None.
Treasury/Comptroller .320
     General Personnel System--Treasury/Comptroller.
     Office of the Comptroller of the Currency, 250 E Street, SW, 

[[Page 56694]]
    Washington, DC 20219. Components of this system are geographically 
dispersed throughout six (6) District Offices. (See addresses listed in 
Appendix of OCC District Offices.)
     Present and past employees and applicants for employment.
     Employment related biographical and performance material. This 
category of records is typically identified as personnel type records 
and contains data about employees and applicants. The records found 
within this category include: Performance evaluations; educational, 
employment, medical and military histories; employee benefit 
applications, forms and claims; travel and relocation claims; locator 
and emergency contact information; dependent and beneficiary 
information; physical and qualification descriptions; financial 
interest statements; personal and family assets, liabilities and other 
interests in business enterprises.
     General authority -- 12 U.S.C. 1 and 9, 5 U.S.C. 301. Specific 
authority is derived from a number of laws, regulations and Executive 
Orders. Individuals wishing to obtain more detailed information should 
write to the Deputy Controller, Communications, 250 E Street, SW, 
Washington, DC 20219.
     A record in this system may be disclosed as a routine use to: (1) 
The Office of Personnel Management (OPM) for the purpose of complying 
with regulations issued by the OPM; (2) the Veterans Administration 
(VA) for the purposes of determining veterans preference and pension 
benefits; (3) the Equal Employment Opportunity Commission for the 
purpose of providing minority information and case reports; (4) respond 
to requests from labor organizations for names of employees and 
identifying information; (5) the Department of Labor for the purpose of 
reporting health and safety matters; (6) the General Services 
Administration (GSA) for the purpose of complying with regulations 
issued by GSA; (7) the Merit Systems Protection Board for the purpose 
of providing necessary information relating to employee appeals; (8) 
the Department of Labor to provide information relative to Unemployment 
Compensation and OWCP claims.
     File folders, magnetic media, microfiche, printouts, lists and 
forms.
     Records are retrieved primarily by name (filed alphabetically by 
category of records). Secondary identifiers are used to assure accuracy 
(date of birth, Social Security number or employee identification 
number).
     Records are stored in lockable cabinets, electronic data bases 
requiring security access codes or secure rooms; access is limited to 
officials who have a need for the information; employees are trained to 
make only authorized disclosures. Records maintained with vendors are 
under contractual obligation to maintain confidentiality.
     Most personnel-type records are retained for thirty (30) days 
after termination, at which time they are transferred to the Federal 
Records Center or destroyed. Some records are retained for varying 
periods of time in accordance with Federal Personnel Manual 
Regulations. Individuals wishing more detailed information should write 
to the Disclosure Officer, Communications, 250 E Street, SW, 
Washington, DC 20219.
     Deputy Comptroller for Resource Management, 250 E Street, SW, 
Washington, DC 20219.
     Individuals wishing to be notified if they are named in this 
system of records, or gain access to records maintained in this system 
must submit a written request containing the following elements: (1) 
Identify the record system; (2) Identify the category and type of 
records sought; (3) Indicate the location of the Comptroller of the 
Currency office where last employed or where application for employment 
was made; (4) Provide at least two secondary identifications (date of 
birth, employee identification number, dates of employment or similar 
information).
     Disclosure Officer, Communications, 250 E Street, SW, Washington, 
DC 20219.
     Submit requests to the Disclosure Officer, Communications, 250 E 
Street, SW, Washington, DC 20219.
     The information contained in these records was provided or 
verified by the subject of the record, employers, co-workers, friends, 
neighbors and associates listed as references, financial and 
educational institutions.
     None.
Treasury/Comptroller .500
    Chief Counsel's Management Information System--Treasury/
Comptroller.
     Office of the Comptroller of the Currency, 250 E Street, SW, 
Washington, DC 20219. Physical components of this system are also 
located in district offices.
     Individuals who have requested information or action from the Law 
Department of the Comptroller of the Currency and individuals 
referenced in documents received by the Law Department in the course of 
the Agency's bank supervisory functions.
     The Chief Counsel's Management Information System consists of one 
database: The Work Assignment and Control System; Information contained 
in the system includes, inter alia, name of the author and/or 
correspondent and the organization to which the author/correspondent 
belongs, the date of the correspondence, the city, state and region in 
which correspondent organization is located, the work type, the bank 
involved, and the subject.
     12 U.S.C. 1, 12 U.S.C. 9, 12 U.S.C. 481, 5 U.S.C. 301.
     These records and information in the records may be used to: (1) 
Disclose pertinent information to appropriate Federal, State, local or 
foreign agencies responsible for investigating or prosecuting the 
violations of, or for enforcing or implementing, a statute, rule, 
regulation, order, or license, where the disclosing agency becomes 
aware of an indication of a violation or potential violation of civil 
or criminal law or regulation; (2) disclose information to a Federal, 
State, or local agency, maintaining civil, criminal or other relevant 
enforcement information or 

[[Page 56695]]
other pertinent information, which has requested information relevant 
to or necessary to the requesting agency's or the bureau's hiring or 
retention of an individual, or issuance of a security clearance, 
license, contract, grant, or other benefit; (3) disclose information to 
a court, magistrate, or administrative tribunal in the course of 
presenting evidence, including disclosures to opposing counsel or 
witnesses in the course of civil discovery, litigation, or settlement 
negotiations, in response to a subpoena, or in connection with criminal 
law proceedings; (4) provide information to third parties during the 
course of an investigation to the extent necessary to obtain 
information pertinent to the investigation.
     These records are maintained in computer data banks, computer 
tapes and printouts, and in file cabinets.
     All records are indexed on a variety of data fields including 
correspondent name and location, bank name and location, subject, 
statutory provisions, and date.
     All records are indexed through computer indices. Only employees 
within the Law Department with proper user identification and passwords 
have access to the computer banks. Employees are trained to make 
authorized disclosures only to those individuals who have a need for 
the information. Passwords and user IDs are changed frequently.
     Records are generally maintained in the on-line data bank until it 
is determined that on-line access is not required. Thereafter the 
records are archived in an off-line storage system. Records in file 
cabinets are maintained indefinitely.
     Executive Assistant to the Chief Counsel, Comptroller of the 
Currency, 250 E Street, SW, Washington, DC 20219.
     Individuals wishing to be notified if they are named in the system 
or to gain access to records maintained in the system must submit a 
request containing the following elements: (1) Identity of the record 
system; (2) identity of the category type of records sought; (3) the 
location of the Comptroller of the Currency Office where the record 
might be stored; and (4) at least two items of secondary identification 
(date of birth, employee identification number, dates of employment, or 
similar information). Submit request to the Disclosure Officer, 
Communications, 250 E Street, SW., Washington, DC 20219. The system 
contains records which are exempt under 5 U.S.C. 552a (j)(2) or 552a 
(k)(2).
     Same as Notification.
     Same as Notification. Requests should be submitted to the 
Disclosure Officer, Communications, Comptroller of the Currency, 250 E 
Street, SW, Washington, DC 20219.
     Materials received by the Law Department from various sources 
including, inter alia, persons involved in sending inquiries to the Law 
Department and documents received by the Law Department in the course 
of the Agency's bank supervisory function. The Chief Counsel's 
Management Information System contains certain records which have been 
designated as exempt from certain provisions of the Privacy Act.
     This system is exempt from 5 U.S.C. 552a (c)(3)(4), 
(d)(1)(2)(3)(4), (e)(1)(2)(3)(4), (G), (H), and (I), (e)(5) and (8), 
(f) and (g) of the Privacy Act pursuant to 5 U.S.C. 552a (j)(2) and 
(k)(2).

 Appendix A - Addresses of OCC District Offices:

Northeastern District: New York District Office, 1114 Avenue of the 
Americas, Suite 3900, New York, NY 10036. (212) 819-9860.
Southeastern District: Atlanta District Office, Marquis One Tower, 
Suite 600, 245 Peachtree Center Ave., N.E., Atlanta, GA 30303. (404) 
659-8855.
Central District: Chicago District Office, One Financial Place, 
Suite 2700, 44 South LaSalle Street, Chicago, IL 60605. (312) 663-
8000.
Midwestern District: Kansas City District Office, 2345 Grand Avenue, 
Suite 700, Kansas City, MO 64108-2683. (816) 556-1800.
Southwestern District: Dallas District Office, 1600 Lincoln Plaza, 
500 North Akard, Dallas, TX. (214) 720-0656.
Western District: San Francisco District Office, 50 Fremont Street, 
Suite 3900, San Francisco, CA 94105. (415) 545-5900.
BILLING CODE: 4810-33-F