[Federal Register Volume 66, Number 183 (Thursday, September 20, 2001)]
[Notices]
[Pages 48519-48524]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-23369]


-----------------------------------------------------------------------

DEPARTMENT OF THE TREASURY

Office of Thrift Supervision


Privacy Act of 1974, as Amended; System of Records

AGENCY: Office of Thrift Supervision, Treasury.

ACTION: Notice of systems of records.

-----------------------------------------------------------------------

SUMMARY: In accordance with the requirements of the Privacy Act of 
1974, as amended, 5 U.S.C. 552a, the Office of Thrift Supervision 
(OTS), Treasury, is publishing its Privacy Act systems of records.

SUPPLEMENTARY INFORMATION: Pursuant to the Privacy Act of 1974 (5 
U.S.C. 552a) and the Office of Management and Budget (OMB) Circular No. 
A-130, the OTS has completed a review of its Privacy Act systems of 
records notices to identify minor changes that will more accurately 
describe these records.
    Other changes throughout the document are editorial in nature and 
consist principally of changes to system locations and system manager 
addresses and or titles in several systems of records. Editorial 
changes were also made to Appendix A.
    The following systems of records have been deleted from OTS' 
inventory of Privacy Act notices: OTS .007--Employee Parking (December 
14, 2000, at 65 FR 78263); OTS .010--Inquiry/Request System (January 
12, 1999, at 64 FR 67966), and OTS .013--Personnel Security and 
Suitability Program (December 14, 2000, at 65 FR 78261).

Systems Covered by This Notice

    This notice covers all systems of records adopted by OTS up to 
August 15, 2001. The systems notices are reprinted in their entirety 
following the Table of Contents.

    Dated: September 10, 2001.
W. Earl Wright, Jr.,
Chief Management and Administrative Programs Officer.

Table of Contents

OTS .001--Confidential Individual Information System
OTS .002--Correspondence/Correspondence Tracking
OTS .003--Consumer Complaint
OTS .004--Criminal Referral Database
OTS .005--Employee Counseling Service
OTS .006--Employee Locator File
OTS .008--Employee Training Database
OTS .011--Positions/Budget
OTS .012--Payroll/Personnel Systems & Payroll Records.
Office of Thrift Supervision
Treasury/OTS .001

System name:
    Confidential Individual Information System--Treasury/OTS

System location:
    Enforcement Division, Office of Thrift Supervision, 1700 G Street, 
NW, Washington, DC 20552. Computerized records of Suspicious Activity 
Reports (SAR), with status updates, are managed by FinCEN pursuant to a 
contractual agreement, and are stored at the Internal Revenue Service's 
Computing Center in Detroit, Michigan. Authorized personnel at the 
Federal financial regulatory agencies have on-line access to the 
computerized database managed by FinCEN through individual work 
stations that are linked to the database central computer.

Categories of individuals covered by the system:
    Directors, officers, employees, agents, borrowers, and persons 
participating in the conduct of the affairs of entities regulated by 
the OTS who have been involved in suspected criminal activity or 
suspicious financial transactions and referred to law enforcement 
officials; and other individuals who have been involved in 
irregularities, violations of law, or unsafe or unsound practices 
referenced in documents received by OTS in the exercising of its 
supervisory functions.
    These records also contain 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; and organizers of savings 
associations who have sought Federal Savings and Loan Insurance 
Corporation (FSLIC) or Saving Association Insurance Fund (SAIF) 
insurance of accounts or federal charters.

Categories of records in the system:
    Application information and inter-agency and intra-agency 
correspondence, memoranda and reports. The SAR contains information 
identifying the financial institution involved, the suspected person, 
the type of suspicious activity involved, the amount of loss known, and 
any witnesses.

Authority for maintenance of the system:
    12 U.S.C. 1464; 44 U.S.C. 3101.

Purpose(s):
    The overall system serves as a central OTS repository for 
investigatory or enforcement information related to the responsibility 
of OTS to examine and supervise savings associations. It also serves to 
store information on applicants to acquire, control, or insure a 
savings association in connection with OTS's regulatory 
responsibilities.
    The system maintained by FinCEN serves as the database for the 
cooperative storage, retrieval, analysis, and use of information 
relating to Suspicious Activity Reports made to or by the Federal 
financial regulatory agencies and FinCEN to various law enforcement 
agencies for possible criminal, civil or administrative proceedings 
based on known or suspected violations affecting or involving persons, 
financial institutions, or other entities under the supervision or 
jurisdiction of such Federal financial regulatory agencies.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    Information in these records may be used to: (1) Provide the 
Department of Justice with periodic reports on the number, amount, 
individual identity and other details concerning outstanding potential 
criminal violations of the law that have been referred to the 
Department; (2) Provide the Federal financial regulatory agencies and 
FinCEN with information relevant to their operations; (3) Provide 
information to third parties during the course of an investigation to 
the extent necessary to obtain information pertinent to the 
investigation; (4) Provide information or records to any appropriate 
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, policy, or license; (5) Disclose, when 
considered appropriate, information to a bar association, or other 
professional organizations performing similar functions, for possible 
disciplinary action; (6) Disclose information when appropriate to 
international and foreign governmental authorities in accordance with 
law and formal or informal international agreements; and (7) 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

[[Page 48520]]

clerical or stenographic functions relating to the official business of 
the OTS.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are maintained on electronic media and in paper files.

Retrievability:
    Computer output and file folders are retrievable by indexes of data 
fields, including name of financial institution and individual's name.

Safeguards:
    Paper files are stored in lockable metal file cabinets with access 
limited to authorized individuals. Computer disks maintained at OTS are 
accessed only by authorized personnel. The database maintained by 
FinCEN complies with applicable security requirements of the Department 
of the Treasury. On-line access to the information in the database is 
limited to authorized individuals, and each individual has been issued 
a non-transferable identifier or password.

Retention and disposal:
    Records are periodically updated to reflect changes and maintained 
as long as needed.

System manager(s) and addresses:
    Deputy Chief Counsel for Enforcement. See ``System location'' for 
address.

Notification procedure:
    The system is exempt from notification and record-access 
requirements and requirements that an individual be permitted to 
contest its contents under 5 U.S.C. 552a(j)(2) and (k)(2) as relating 
to investigatory material compiled for law enforcement purposes.

Record access procedure:
    See ``Notification procedure'' above.

Contesting record procedures:
    See ``Notification procedure'' above.

Record source categories:
    Suspicious activity reports and related historical information and 
updating forms compiled by financial institutions, the OTS, and other 
Federal financial regulatory agencies for law enforcement purposes. The 
OTS will also include information from applicants, inter-agency and 
intra-agency correspondence, memoranda, and reports.

Exemptions claimed for the system:
    This system is exempt from 5 U.S.C. 552a(c)(3), (c)(4), (d)(1), 
(d)(2), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), 
(e)(4)(I), (e)(5), (e)(8), (f) and (g) of the Privacy Act pursuant to 5 
U.S.C. 552a(j)(2) and (k)(2). See 31 CFR 1.36.
Treasury/OTS .002

System name:
    Correspondence/Correspondence Tracking.

System location:
    Office of Thrift Supervision, Department of the Treasury, 1700 G 
Street, NW, Washington, DC 20552.

Categories of individuals covered by the system:
    White House and Executive Office of the President officials, 
Members of Congress, Treasury Department officials, the general public, 
and businesses.

Categories of records in the system:
    Incoming correspondence addressed to the Director of OTS, letters 
from members of Congress transmitting letters from constituents or 
making inquiries; OTS responses; OTS memoranda and notes used to 
prepare responses; and information concerning internal office 
assignments, processing and response to the correspondence.

Purpose(s):
    To maintain written records of correspondence addressed to the 
Director of OTS and Congressional correspondence; to track the progress 
of the response; to document the completion of the response to the 
incoming correspondence.

Routine uses of records maintained in the system, including categories 
of users and the purpose of such uses:
    (1) Disclosures may be made to a Congressional office from the 
records of an individual in response to an inquiry made at the request 
of the individual to whom the record pertains; (2) Information may be 
disclosed to the appropriate governmental agency charged with the 
responsibility of administering law or investigating or prosecuting 
violations of law or charged with enforcing or implementing a statute, 
rule, regulation, order or license.

Policies and practices for storing, retrieving, accessing, retaining, 
disposing of records in the system:
Storage:
    Records are maintained in electronic media and in paper files.

Retrievability:
    Records are maintained by name of individual; assignment control 
number.

Safeguards:
    Access to paper records is limited to authorized personnel with a 
direct need to know. Some paper records are maintained in locked file 
cabinets in a secured office with access limited to those personnel 
whose official duties require access. Access to computerized records is 
limited, through the use of a password, to those whose official duties 
require access.

Retention and disposal:
    Computerized records relating to non-congressional correspondence 
are retained for two (2) years after the Director's term. Computerized 
records relating to congressional correspondence are kept permanently. 
Paper records are retained for two (2) years after the Director's or 
member of Congress' term, then transferred directly to the National 
Archives.

System manager(s) and address:
    Director, Congressional Affairs. See ``System location'' for 
address.

Notification procedure:
    Individuals wishing to be notified if they are named in this system 
or gain access to records maintained in this system must submit a 
request containing the following elements: (1) Identify the record 
system; (2) identify the category and type of records sought; and (3) 
provide at least two items of secondary identification (date of birth, 
employee identification number, dates of employment or similar 
information). Address inquiries to Manager, Dissemination Branch, 
Office of Thrift Supervision, 1700 G Street, NW, Washington, DC 20552.

Records access procedure:
    See ``Notification procedure'' above.

Contesting record procedures:
    See ``Notification procedure'' above.

Record source categories:
    Congressional letters and responses from a Member of Congress and/
or a constituent.

Exemptions claimed for the system:
    None.
Treasury/OTS .003

System name:
    Consumer Complaint System.

System location:
    Office of Thrift Supervision, Department of the Treasury, 1700 G 
Street, NW, Washington, DC 20552. See Appendix A for appropriate local 
address of OTS Regional Offices.

[[Page 48521]]

Categories of individuals covered by the system:
    Persons who submit inquiries or complaints concerning federally 
insured depository institutions, service corporations, and 
subsidiaries.

Categories of records in the system:
    Consumer's name, savings association's docket number, case number 
as designated by a Consumer Complaint Case number. Within these 
categories of records, the following information may be obtained: 
consumer's address, source of inquiry or complaint, nature of the 
inquiry or complaint, nature of the inquiry or complaint designated by 
instrument and complaint code, information on the investigation and 
resolution of inquiries and complaints.

Authority for maintenance of the system:
    15 U.S.C. 57a(f), 5 U.S.C. 301.

Purpose(s):
    OTS uses this system to track individual complaints and to provide 
additional information about each institution's compliance with 
regulatory requirements.

Routine uses of records maintained in the system, including categories 
of users and the purpose of such uses:
    (1) Information may be disclosed to officials of regulated savings 
associations in connection with investigation and resolution of 
complaints and inquiries; (2) relevant information may be made 
available to appropriate law enforcement agencies or authorities in 
connection with investigation and/or prosecution of alleged civil, 
criminal and administrative violations; (3) disclosures may be made to 
a Congressional office in response to an inquiry made at the request of 
the individual to whom the record pertains; (4) disclosures may be made 
to other Federal and nonfederal governmental supervisory or regulatory 
authorities when the subject matter is within such other agency's 
jurisdiction.

Policies and practices for storing, retrieving, accessing, retaining, 
disposing of records in the system:
Storage:
    Records are maintained in paper files and on electronic media.

Retrievability:
    By name of individual, complaint case number, savings association 
name, docket number, region complaint code, instrument code, source 
code or by some combination thereof.

Safeguards:
    Paper records are maintained in locked file cabinets with access 
limited to those personnel whose official duties require access. Access 
to computerized records is limited, through use of the system 
passwords, to those whose official duties require access.

Retention and disposal:
    Active paper files are maintained until the case is closed. Closed 
files are retained six (6) years then destroyed.

System manager(s) and address:
    Manager, Consumer Programs. See ``System location'' for address.

Notification procedure:
    Individuals wishing to be notified if they are named in this system 
or gain access to records maintained in this system must submit a 
request containing the following elements: (1) Identify the record 
system; (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 Manager, Dissemination Branch, 
Office of Thrift Supervision, 1700 G Street, NW, Washington, DC 20552.

Record access procedures:
    See ``Notification procedure'' above.

Contesting record procedures:
    See ``Notification procedure'' above.

Record source categories:
    Inquirer or complainant (or his or her representative which may 
include a member of Congress or an attorney); savings association 
officials and employees; compliance/safety and soundness examiner(s); 
and other supervisory records.

Exemptions claimed for the system:
    None.
Treasury/OTS .004

System name:
    Criminal Referral Database.

System location:
    Office of Thrift Supervision, Department of the Treasury, 1700 G 
Street, NW, Washington, DC 20552. See Appendix A for appropriate local 
address of OTS Regional Offices.

Categories of individuals covered by the system:
    Individuals suspected of having committed crime(s) and individuals 
indicted or convicted of crime(s) against or involving savings 
associations.

Categories of records in the system:
    Criminal referrals.

Authority for maintenance of the system:
    12 U.S.C. 1464; 44 U.S.C. 3101.

Purpose(s):
    This system lists all matters referred to the Department of Justice 
for possible criminal proceedings.

Routine uses of records maintained in the system, including categories 
of users and the purpose of such uses:
    Information may be disclosed to the appropriate governmental agency 
charged with the responsibility of administering law or investigating 
or prosecuting violations of law or charged with enforcing or 
implementing a statute, rule, regulation, order or license.

Policies and practices for storing, retrieving, accessing, retaining, 
disposing of records in the system:
Storage:
    Records are maintained in paper files and on electronic media.

Retrievability:
    Records are filed by name of individual, savings institution or 
referral control number.

Safeguards:
    Paper records are maintained in locked file cabinets. Access is 
limited to personnel whose official duties require such access and who 
have a need to know the information in a record for a job-related 
purpose. Access to computerized records is limited, through use of a 
password, to those whose official duties require access.

Retention and disposal:
    Records are periodically updated to reflect changes, and maintained 
in electronic form as long as needed for the purpose for which the 
information was collected. Records will then be disposed of in 
accordance with applicable law.

System manager(s) and address:
    Deputy Chief Counsel for Enforcement. See ``System location'' for 
address.

Notification procedure:
    This system is exempt from notification and record-access 
requirements and requirements that an individual be permitted to 
contest its contents under 5 U.S.C. 552a(j)(2) and (k)(2) as relating 
to investigatory material compiled for law enforcement purposes.

Records access procedure:
    See ``Notification procedure'' above.

[[Page 48522]]

Contesting record procedures:
    See ``Notification procedure'' above.

Record source categories:
    Criminal Referral forms compiled for law enforcement purposes.

Exemptions claimed for the system:
    This system is exempt from 5 U.S.C. 552a(c)(3), (c)(4), (d)(1), 
(d)(2), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), 
(e)(4)(I), (e)(5), (e)(8), (f) and (g) of the Privacy Act pursuant to 5 
U.S.C. 552a(j)(2) and (k)(2). See 31 CFR 1.36.
Treasury/OTS .005

System name:
    Employee Counseling Services.

System location:
    Office of Thrift Supervision, Department of the Treasury, 1700 G 
Street, NW, Washington, DC 20552. See Appendix A for appropriate local 
address of OTS Regional Offices.

Categories of individuals covered by the system:
    Employees who seek counseling services.

Categories of records in the system:
    Counseling records.

Authority for maintenance of the system:
    5 U.S.C. 301, 44 U.S.C. 3101.

Purpose(s):
    To provide a history and record of the employee counseling 
session(s) and to assist the counselor in identifying and resolving 
employee problem(s).

Routine uses of records maintained in the system, including categories 
of users and the purpose of such uses:
    This system will have minimal effect on individual privacy because 
access is limited to the employee counseling program counselor. Under 
special and emergency circumstances records may be released to medical 
personnel, research personnel, and as a result of a court order.

Policies and practices for storing, retrieving, accessing, retaining, 
disposing of records in the system:
Storage:
    Records are maintained in paper files.

Retrievability:
    Records are retrieved by a number assigned to employee.

Safeguards:
    Records are maintained in locked file cabinet. Access is limited to 
the employee counselor.

Retention and disposal:
    Records are retained and disposed of in accordance with the 
appropriate National Archives and Records Administration General 
Records Schedules.

System manager(s) and address:
    Manager, Human Resources Branch. See ``System location'' for 
address.

Notification procedure:
    Individuals wishing to be notified if they are named in this system 
or gain access to records maintained in this system must submit a 
request containing the following elements: (1) Identify the record 
system; (2) identify the category and type of records sought; and (3) 
provide at least two items of secondary identification (date of birth, 
employee identification number, dates of employment or similar 
information). Address inquiries to Manager, Dissemination Branch, 
Office of Thrift Supervision, 1700 G Street, NW, Washington, DC 20552.

Record access procedures:
    See ``Notification procedure'' above.

Contesting record procedures:
    See ``Notification procedure'' above.

Record source categories:
    Employees and counselors.

Exemptions claimed for the system:
    None.
Treasury/OTS .006

System name:
    Employee Locator File.

System location:
    Office of Thrift Supervision, Department of the Treasury, 1700 G 
Street, NW, Washington, DC 20552. See Appendix A for appropriate local 
address of OTS Regional Offices.

Categories of individuals covered by the system:
    All present employees of the OTS and persons whose employment has 
been terminated within the last six months.

Categories of records in the system:
    Employee's name, present address, telephone number, and the name, 
address, and telephone number of another person to notify in case of 
emergency.

Authority for maintenance of the system:
    5 U.S.C. 301, 44 U.S.C. 3101.

Purpose(s):
    This system provides current information on employee's address and 
emergency contact person.

Routine uses of records maintained in the system, including categories 
of users and the purpose of such uses:
    (1) Disclosure of information may be made to a congressional office 
in response to an inquiry made at the request of the individual to whom 
the record pertains; (2) medical personnel in case of an emergency.

Policies and practices for storing, retrieving, accessing, retaining, 
disposing of records in the system:
Storage:
    Records are maintained in paper files and on electronic media.

Retrievability:
    Records are filed by name of individual.

Safeguards:
    Paper records are maintained in locked file cabinets. Access is 
limited to those personnel whose official duties require such access 
and who have a need to know information in a record for a particular 
job-related purpose. Access to computerized records is limited, through 
use of a password, to those whose official duties require access.

Retention and disposal:
    Records are maintained until termination of employee's employment 
with OTS. After termination, records are retained for six months then 
destroyed.

System manager(s) and address:
    Manager, Human Resources Branch. See ``System location'' for 
address.

Notification procedure:
    Individuals wishing to be notified if they are named in this system 
or gain access to records maintained in this system must submit a 
request containing the following elements: (1) Identify the record 
system; (2) identify the category and type of records sought; and (3) 
provide at least two items of secondary identification (date of birth, 
employee identification number, dates of employment or similar 
information). Address inquiries to Manager, Dissemination Branch, 
Office of Thrift Supervision, 1700 G Street, NW, Washington, DC 20552.

Record access procedures:
    See ``Notification procedure'' above.

Contesting record procedures:
    See ``Notification procedure'' above.

Record source categories:
    The individual whose record is being maintained.

Exemptions claimed for the system:
    None.

[[Page 48523]]

Treasury/OTS .008

System name:
    Employee Training Database.

System location:
    Office of Thrift Supervision, Department of the Treasury, 1700 G 
Street, NW, Washington, DC 20552.

Categories of individuals covered by the system:
    All employees of the Office of Thrift Supervision.

Categories of records in the system:
    Individual employee records are maintained by name, course taken, 
social security number, position, division, and manager name.

Authority for maintenance of the system:
    5 U.S.C. 301 and 44 U.S.C. 3101.

Purpose(s):
    To maintain necessary information on training taken by employees 
through outside sources and vendors.

Routine uses of records maintained in the system, including categories 
of users and the purpose of such uses:
    Records are not disclosed outside of OTS.

Policies and practices for storing, retrieving, accessing, retaining, 
disposing of records in the system:
Storage:
    Records are maintained on electronic media.

Retrievability:
    Records are filed by individual name, social security number and 
course taken.

Safeguards:
    Access to computerized records is limited, through use of a 
password, to those persons whose official duties require access.

Retention and disposal:
    Records are retained and disposed of in accordance with National 
Archives and Records Administration General Records Schedules.

System manager(s) and address:
    Manager, Professional Development Branch. See ``System location'' 
for address.

Notification procedure:
    Individuals wishing to be notified if they are named in this system 
or gain access to records maintained in this system must submit a 
request containing the following elements: (1) Identify the record 
system; (2) identify the category and type of records sought; and (3) 
provide at least two items of secondary identification (date of birth, 
employee identification number, dates of employment or similar 
information). Address inquiries to Manager, Dissemination Branch, 
Office of Thrift Supervision, 1700 G Street, NW, Washington, DC 20552.

Record access procedures:
    See ``Notification procedure'' above.

Contesting record procedures:
    See ``Notification procedure'' above.

Record source categories:
    Personnel records and individual development plans completed by 
employee and supervisor.

Exemptions claimed for the system:
    None.
Treasury/OTS .011

System name:
    Positions/Budget.

System location:
    Office of Thrift Supervision, Department of the Treasury, 1700 G 
Street, NW, Washington, DC 20552. See Appendix A for appropriate local 
address of OTS Regional Offices.

Categories of individuals covered by the system:
    All current employees of the Office of Thrift Supervision.

Categories of records in the system:
    Individual employee records are kept by office and agency as 
follows: Name, title, entered on duty date, service computation date, 
occupation series, social security number, grade, current salary, 
location of employee, date of last promotion, and eligibility for 
promotion. Records are kept for each office (and, where appropriate, 
for the agency) on number of vacancies, authorized position ceilings, 
and number of employees.

Authority for maintenance of the system:
    5 U.S.C. 301, 44 U.S.C. 3101.

Purpose(s):
    The system allows the OTS Budget Division the ability to track 
positions by Office to assure that 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 
budget.

Routine uses of records maintained in the system, including categories 
of users and the purpose of such uses:
    Information may be disclosed to the appropriate governmental agency 
charged with the responsibility of administering law or investigating 
or prosecuting violations of law or charged with enforcing or 
implementing a statute, rule, regulation, order, or license.

Policies and practices for storing, retrieving, accessing, retaining, 
disposing of records in the system:
Storage:
    Records are maintained in paper files and on electronic media.

Retrievability:
    Records are filed by name of individual.

Safeguards:
    Paper records are maintained in file folders in secured areas. 
Access is limited to personnel whose official duties require such 
access and who have a need to know the information in a record for a 
particular job-related purpose. Access to computerized records is 
limited, through use of a password, to those whose official duties 
require access.

Retention and disposal:
    Records are retained and disposed of in accordance with National 
Archives and Records Administration General Records Schedules.

System manager(s) and address:
    Director, Planning, Budget and Finance Division. See ``System 
location'' for address.

Notification procedure:
    Individuals wishing to be notified if they are named in this system 
or gain access to records maintained in this system must submit a 
request containing the following elements: (1) Identify the record 
system; (2) identify the category and type of records sought; and (3) 
provide at least two items of secondary identification (date of birth, 
employee identification number, dates of employment or similar 
information). Address inquiries to Manager, Dissemination Branch, 
Office of Thrift supervision, 1700 G Street, NW, Washington, DC 20552.

Record access procedures:
    See ``Notification procedure'' above.

Contesting record procedures:
    See ``Notification procedure'' above.

Record source categories:
    Personnel records.

[[Page 48524]]

Exemptions claimed for the system:
    None.
Treasury/OTS .012

System name:
    Payroll/Personnel System & Payroll Records

System location:
    Office of Thrift Supervision, Department of the Treasury, 1700 G 
Street, NW, Washington, DC 20552. See Appendix A for appropriate local 
address of OTS Regional Offices.

Categories of individuals covered by the system:
    All current Office of Thrift Supervision (OTS) employees and all 
former employees of the OTS, within the past three years.

Categories of records in the system:
    Information pertaining to (1) employee status, grade, salary, pay 
plan, hours worked, hours of leave taken and earned, hourly rate, gross 
pay, taxes, deductions, net pay, location, and payroll history; (2) 
employee's residence, office, social security number, and address; (3) 
Personnel actions (SF-50), State employees' withholding exemption 
certificates, Federal employees' withholding allowance certificates 
(W4), Bond Allotment File (SF-1192), Federal Employee's Group Life 
Insurance (SF-2810 and 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 Thrift Plan (FITP-107 and K 1-2).

Authority for maintenance of the system:
    5 U.S.C. 301, 44 U.S.C. 3101.

Purpose(s):
    Provides all the key personnel and payroll data for each employee 
which is required for a variety of payroll and personnel functions.

Routine uses of records maintained in the system, including categories 
of users and the purpose of such uses:
    (1) In the event that records maintained in this system of records 
indicate a violation or potential violation of law, whether civil, 
criminal or regulatory in nature, and whether arising by general 
statute or particular program statute, or by regulation, rule or order 
pursuant thereto, the relevant records in the system of records may be 
referred, as a routine use, to the appropriate agency, whether Federal, 
state, local, or foreign, charged with the responsibility of 
implementing the statute, or rule or regulation or order issued 
pursuant thereto; (2) a record from this system may be disclosed to 
other Federal agencies and the Office of Personnel Management if 
necessary for or regarding the payment of salaries and expenses 
incident to employment at the Office of Thrift Supervision or other 
Federal employment, or the vesting, computation, and payment of 
retirement or disability benefits; (3) a record from this system may be 
disclosed if necessary to support the assessment, computation, and 
collection of federal, state, and local taxes, in accordance with 
established procedures; (4) disclosure of information may be made to a 
Congressional office in response to an inquiry made at the request of 
the individual to whom the record pertains; (5) records from this 
system may be disclosed to the Office of Child Support Enforcement, 
Administration for Children and Families, Department of Health and 
Human Services, for the purpose of locating individuals to establish 
paternity, establishing and modifying orders of child support, and 
identifying sources of income, and for other support enforcement 
actions as required by the Personal Responsibility and Work Opportunity 
Reconciliation Act (Welfare Reform Law, Pub. L. 104-193).

Policies and practices for storing, retrieving, accessing, retaining, 
disposing of records in the system:
Storage:
    Records are maintained on electronic media, microfiche, and in 
paper files.

Retrievability:
    Records are filed by individual name, social security number and by 
office.

Safeguards:
    Paper and microfiche records are maintained in secured offices and 
access is limited to personnel whose official duties require such 
access and who have a need to know the information in a record for a 
particular job-related purpose. Access to computerized records is 
limited, through the use of a password, to those whose official duties 
require access.

Retention and disposal:
    Records are retained and disposed of in accordance with National 
Archives and Records Administration General Records Schedules.

System manager(s) and address:
    Manager, Human Resources Branch. See ``System location'' for 
address.

Notification procedure:
    Individuals wishing to be notified if they are named in this system 
or gain access to records maintained in this system must submit a 
request containing the following elements: (1) Identify the record 
system; (2) identify the category and type of records sought; and (3) 
provide at least two items of secondary identification (date of birth, 
employee identification number, dates of employment or similar 
information). Address inquiries to Manager, Dissemination Branch, 
Office of Thrift Supervision, 1700 G Street, NW, Washington, DC 20552.

Record access procedures:
    See ``Notification procedure'' above.

Contesting record procedures:
    See ``Notification procedure'' above.

Record source categories:
    Personnel and payroll records of current and former employees.

Exemptions claimed for the system:
    None.

APPENDIX A

    Addresses of Office of Thrift Supervision Regional Offices:
    Northeast Region: 10 Exchange Place, 18th Floor, Jersey City, NJ 
07302.
    Southeast Region: 1475 Peachtree Street, NE, Atlanta, GA 30309.
    Central Region: One South Wacker Drive, Suite 2000, Chicago, IL 
60606.
    Midwest Region: 225 E. John Carpenter Freeway, Suite 500, 
Irving, TX 75062.
    West Region: Office of Thrift Supervision, Pacific Plaza, 2001 
Junipero Serra Boulevard, Suite 650, Daly City, CA 94014-1976.

[FR Doc. 01-23369 Filed 9-19-01; 8:45 am]
BILLING CODE 6720-01-P