[Federal Register Volume 66, Number 208 (Friday, October 26, 2001)]
[Notices]
[Pages 54333-54340]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-27002]


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DEPARTMENT OF THE TREASURY

Office of the Comptroller of the Currency

[Docket No. 00-17]


Privacy Act of 1974, as amended; System of Records

AGENCY: Office of the Comptroller of the Currency, Treasury.

ACTION: Notice of proposed alterations to six Privacy Act Systems of 
Records.

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SUMMARY: In accordance with the Privacy Act of 1974, as amended, the 
Office of the Comptroller of the Currency (OCC) gives notice of 
proposed alterations to six Privacy Act systems of records.

DATES: The proposed altered systems of records will become effective 
November 26, 2001 unless comments are received which would result in a 
contrary determination.

ADDRESSES: You should send your comments to the Office of the 
Comptroller of the Currency, Public Information Room, Docket No. 00-17, 
250 E Street, SW, Washington, DC 20219. You may inspect comments 
received at the same location. You may send your comments by facsimile 
transmission to FAX number 202-874-4448 or by electronic mail to 
[email protected].

FOR FURTHER INFORMATION CONTACT: Frank Vance, Jr., Disclosure Officer, 
Communications Division, (202) 874-4700 or Ellen M. Warwick, Special 
Counsel, Administrative and Internal Law Division, (202) 874-4460.

SUPPLEMENTARY INFORMATION: The OCC has conducted a review of its 
Privacy Act systems of records for compliance with the Privacy Act (5 
U.S.C. 552a) and with Appendix 1 to OMB Circular A-130, Federal Agency 
Responsibilities for Maintaining Records About Individuals, dated 
November 30, 2000, and is proposing to alter six of its current systems 
of records. In addition to the changes noted below, the proposed 
alterations also update the notices by restating many of the other data 
elements, such as ``notification procedure,'' for each of the notices. 
More specific alterations to the six current systems of records are as 
follows:

(1) Treasury/Comptroller .013--Enforcement and Compliance 
Information System

    The proposed alterations to this system of records include:
    (a) To change the title and number of the system to ``Treasury/
Comptroller .110--Reports of Suspicious Activities;''
    (b) To add witnesses to the categories of individuals covered by 
the system;
    (c) To consolidate and restate existing routine uses and add two 
routine uses.
    Records maintained in the Enforcement and Compliance Information 
System have been exempted by rule, and the records maintained in the 
altered Treasury/Comptroller .110--Reports of Suspicious Activities 
system will continue to be exempted by rule from certain provisions of 
the Privacy Act pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). The notice 
for this system of records was last published in the Federal Register 
at 63 FR 69757 dated December 17, 1998.

(2) Treasury/Comptroller .015--Chain Banking Organizations System

    The OCC is proposing to alter this system of records covering chain 
banking organization records for the following reasons:
    (a) To renumber the system as ``Treasury/Comptroller .200;''
    (b) To more fully describe, by addition of a definition for chain 
banking, the categories of individuals covered by the system; and
    (c) To consolidate and restate existing routine uses and add three 
routine uses.
    The notice for this system of records was last published in the 
Federal Register at 63 FR 69758 dated December 17, 1998.

(3) Treasury/ Comptroller .221--Registration Records for Municipal 
and United States Government Securities Dealers

    The OCC proposes to alter this system of records covering bank 
securities dealer records:
    (a) To change the title and number of the system to ``Treasury/
Comptroller .210--Bank Securities Dealers System;'' and
    (b) To consolidate and restate existing routine uses and add five 
routine uses.
    The notice for this system of records was last published in the 
Federal Register at 63 FR 69760 dated December 17, 1998.

(4) Treasury/Comptroller .500--Chief Counsel's Management 
Information System

    The OCC proposes to alter this system of records covering the Chief 
Counsel's management information records to restate existing routine 
uses and add six routine uses.
    Records maintained in the Chief Counsel's Management Information 
System have been, and will continue to be, exempted by rule from 
certain provisions of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2) 
and (k)(2). The notice for this system of records was last published in 
the Federal Register at 63 FR 69763 dated December 17, 1998.

(5) Treasury/Comptroller .016--Litigation Information System

    The OCC is proposing to alter its current system of records 
covering litigation records to consolidate and restate existing routine 
uses and add four routine uses. This system of records is to be 
renumbered Treasury/Comptroller .510.
    The OCC proposes to exempt records maintained in the Litigation 
Information System from certain of the Privacy Act's requirements 
pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). The notice for this system 
was last published in the Federal Register at 63 FR 69759 dated 
December 17, 1998.

[[Page 54334]]

(6) Treasury/Comptroller .004--Consumer Complaint and Inquiry 
Information System

    The proposed alterations to this system of records include:
    (a) To renumber the system as ``Treasury/Comptroller .600;''
    (b) To add individuals who submit inquiries to the categories of 
individuals covered by the system; and
    (c) To restate an existing routine use and add seven routine uses.
    The OCC proposes to exempt records maintained in the Consumer 
Complaint and Inquiry Information System from certain of the Privacy 
Act's requirements pursuant to 5 U.S.C. 552a(k)(2). The notice for this 
system was last published in the Federal Register at 63 FR 69956 dated 
December 17, 1998.
    In the notice of proposed rulemaking, which is published separately 
in the Federal Register, the Department and the OCC are giving public 
notice of a proposed rule to add exemptions to two existing systems of 
records (Treasury/Comptroller .016--Litigation Information System, and 
Treasury/Comptroller .004--Consumer Complaint and Inquiry Information 
System) from certain provisions of 5 U.S.C. 552a pursuant to subsection 
(j)(2) and/or (k)(2). Comments relating to this proposed rulemaking may 
be directed to the OCC as provided in the notice for that proposed 
action.
    The altered system of records reports, required by the Privacy Act, 
5 U.S.C. 552a(r), have been submitted to the Committee on Government 
Reform and Oversight of the House of Representatives, the Committee on 
Governmental Affairs of the Senate, and the Office of Management and 
Budget, pursuant to Appendix 1 to OMB Circular A-130, Federal Agency 
Responsibilities for Maintaining Records About Individuals, dated 
February 8, 1996.
    The six proposed altered systems of records, described above, are 
published in their entirety below.

    Dated: September 10, 2001.
W. Earl Wright, Jr.,
Chief Management and Administrative Programs Officer.
TREASURY/COMPTROLLER .110

System Name:
    Reports of Suspicious Activities--Treasury/Comptroller.

System Location:
    Office of the Comptroller of the Currency (OCC), Enforcement and 
Compliance Division, 250 E Street, SW., Washington, DC 20219-0001.
    Suspicious Activity Reports (SARs) are managed by the Financial 
Crimes Enforcement Network (FinCEN), Department of the Treasury, 2070 
Chain Bridge Road, Vienna, Virginia 22182, and stored at the IRS 
Computing Center in Detroit, Michigan. Information extracted from or 
relating to SARs or reports of crimes and suspected crimes filed by OCC 
personnel or by national banks, District of Columbia banks operating 
under the OCC's regulatory authority, or federal branches or agencies 
of foreign banks (OCC-regulated entities) is maintained in an OCC 
electronic database. This database, as well as the database managed by 
FinCEN, is accessible to designated OCC headquarters and district 
office personnel.

Categories of Individuals Covered by The System:
    Individuals covered by this system are individuals who have been 
designated as suspects or witnesses in SARs or reports of crimes and 
suspected crimes.

Categories of Records in The System:
    Records maintained in this system may contain the name of the 
entity to which a report pertains, the names of individual suspects and 
witnesses, the types of suspicious activity involved, and the amounts 
of known losses. Other records maintained in this system may contain 
arrest, indictment and conviction information, and information relating 
to administrative actions taken or initiated in connection with 
activities reported in a SAR or a report of crime and suspected crime.

Authority For Maintenance of The System:
    12 U.S.C. 1, 27, 481, 1817(j), 1818, 1820, and 1831i; 31 U.S.C. 
5318.

Purpose:
    This system of records is used by the OCC to monitor criminal law 
enforcement actions taken with respect to known or suspected criminal 
activities affecting OCC-regulated entities. System information is used 
to determine whether matters reported in SARs warrant the OCC's 
supervisory action. Information in this system also may be used for 
other supervisory and licensing purposes, including the review of the 
qualifications and fitness of individuals who are or propose to become 
responsible for the business operations of OCC-regulated entities.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    Information maintained in this system may be disclosed to:
    (1) The Department of Justice through periodic reports containing 
the identities of individuals suspected of having committed violations 
of criminal law;
    (2) An OCC-regulated entity if the SAR relates to that institution;
    (3) Third parties to the extent necessary to obtain information 
that is relevant to an examination or investigation;
    (4) Appropriate governmental or self-regulatory organizations when 
the OCC determines that the records are relevant and necessary to the 
governmental or self-regulatory organization's regulation and 
supervision of financial service providers, including the review of the 
qualifications and fitness of individuals who are or propose to become 
responsible for the business operations of such providers;
    (5) An appropriate governmental, international, tribal, self-
regulatory, or professional organization if the information is relevant 
to a known or suspected violation of a law or licensing standard within 
that organization's jurisdiction;
    (6) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (7) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity; or
    (8) Third parties when mandated or authorized by statute.

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

Retrievability:
    Records maintained in this system may be retrieved by the name of 
an individual covered by the system.

Safeguards:
    Access to electronic records is restricted to authorized personnel 
who have been issued non-transferrable access codes and passwords.

Retention and Disposal:
    Records are retained in accordance with the OCC's records 
management policies and National Archives and Records Administration 
regulations.

[[Page 54335]]

System Managers and Address:
    Director, Enforcement and Compliance Division, Law Department, 
Office of the Comptroller of the Currency, 250 E Street, SW., 
Washington, DC 20219-0001.

Notification Procedure:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Disclosure Officer, Communications Division, Office of the 
Comptroller of the Currency, 250 E Street, SW., Washington, DC 20219-
0001. See 31 CFR part 1, subpart C, appendix J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an 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 information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

Record Access Procedures:
    See ``Notification Procedure'' above.

Contesting Record Procedures
    See ``Notification Procedure'' above.

Record Source Categories:
    Non-exempt information maintained in this system is obtained from 
OCC personnel, OCC-regulated entities, other financial regulatory 
agencies, criminal law enforcement authorities, and FinCEN.

Exemptions Claimed for the System:
    Records in this system have been designated as exempt from 5 U.S.C. 
552a(c)(3) and (4), (d)(1), (2), (3), and (4), (e)(1), (e)(2), (e)(3), 
(e)(4)(G), (H), and (I), (e)(5), and (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/COMPTROLLER .200

System Name:
    Chain Banking Organizations System--Treasury/Comptroller.

System Location:
    Office of the Comptroller of the Currency (OCC), Core Policy 
Development, 250 E Street, SW, Washington, DC 20219-0001, and the OCC's 
district offices, as follows:
    (1) Northeastern District Office, 1114 Avenue of the Americas, 
Suite 3900, New York, NY 10036-7780;
    (2) Southeastern District Office, Marquis One Tower, Suite 600, 245 
Peachtree Center Ave., NE, Atlanta, GA 30303-1223;
    (3) Central District Office, One Financial Plaza, Suite 2700, 440 
South LaSalle Street, Chicago, IL 60605-1073;
    (4) Midwestern District Office, 2345 Grand Boulevard, Suite 700, 
Kansas City, MO 64108-2683;
    (5) Southwestern District Office, 500 North Akard Street, Suite 
1600, Dallas, TX 75201-3394; and
    (6) Western District Office, 50 Fremont Street, Suite 3900, San 
Francisco, CA 94105-2292.

Categories of Individuals Covered by The System:
    Individuals covered by this system are individuals who directly, 
indirectly, or acting through or in concert with one or more other 
individuals, own or control a chain banking organization. A chain 
banking organization exists when two or more independently chartered 
financial institutions, including at least one OCC-regulated entity, 
are controlled either directly or indirectly by the same individual, 
family, or group of individuals closely associated in their business 
dealings. Control generally exists when the common ownership has the 
ability or power, directly or indirectly, to:
    (1) Control the vote of 25 percent or more of any class of an 
organization's voting securities;
    (2) Control in any manner the election of a majority of the 
directors of an organization; or
    (3) Exercise a controlling influence over the management or 
policies of an organization. A registered multibank holding company and 
its subsidiary banks are not ordinarily considered a chain banking 
group unless the holding company is linked to other banking 
organizations through common control.

Categories of Records in the System:
    Records maintained in this system contain the names of individuals 
who, either alone or in concert with others, own or control a chain 
banking organization. Other information may contain: the name, 
location, charter number, charter type, and date of last examination of 
each organization comprising a chain; the percentage of outstanding 
stock owned or controlled by controlling individuals or groups; and the 
name of any intermediate holding entity and the percentage of such 
entity owned or controlled by the individual or group.

Authority For Maintenance of The System:
    12 U.S.C. 1, 481, 1817(j), and 1820.

Purpose:
    Information maintained in this system is used by the OCC to carry 
out its supervisory responsibilities with respect to national banks and 
District of Columbia banks operating under the OCC's regulatory 
authority, including the coordination of examinations, supervisory 
evaluations and analyses, and administrative enforcement actions with 
other financial regulatory agencies.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    Information maintained in this system may be disclosed to:
    (1) An OCC-regulated entity when information is relevant to the 
entity's operation;
    (2) Appropriate governmental or self-regulatory organizations when 
the OCC determines that the records are relevant and necessary to the 
governmental or self-regulatory organization's regulation or 
supervision of financial service providers;
    (3) An appropriate governmental, tribal, self-regulatory, or 
professional organization if the information is relevant to a known or 
suspected violation of a law or licensing standard within the 
organization's jurisdiction;
    (4) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (5) A Congressional office when the information is relevant to an 
inquiry made at the request of the individual about whom the record is 
maintained;
    (6) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity; or
    (7) Third parties when mandated or authorized by statute.

[[Page 54336]]

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

Retrievability:
    Records maintained in this system may be retrieved by the name of 
an individual covered by the system.

Safeguards:
    Access to electronic records is restricted to authorized personnel 
who have been issued non-transferrable access codes and passwords.

Retention and Disposal:
    Records are retained in accordance with the OCC's records 
management policies and National Archives and Records Administration 
regulations.

System Managers and Address:
    Director, Core Policy Development, Office of the Comptroller of the 
Currency, 250 E Street, SW, Washington, DC 20219-0001.

Notification Procedure:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Disclosure Officer, Communications Division, Office of the 
Comptroller of the Currency, 250 E Street, SW, Washington, DC 20219-
0001. See 31 CFR part 1, subpart C, appendix J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an 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 information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

Record Access Procedures:
    See ``Notification Procedure'' above.

Contesting Record Procedures:
    See ``Notification Procedure'' above.

RECORD SOURCE CATEGORIES:
    Information maintained in this system is obtained from OCC 
personnel, other Federal financial regulatory agencies, and individuals 
who file notices of their intention to acquire control over an OCC-
regulated financial institution.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
TREASURY/COMPTROLLER .210

SYSTEM NAME:
    Bank Securities Dealers System--Treasury/Comptroller.

SYSTEM LOCATION:
    Office of the Comptroller of the Currency (OCC), Treasury and 
Market Risk Division, 250 E Street, SW, Washington, DC 20219-0001.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals covered by this system are individuals who are or seek 
to be associated with a municipal securities dealer or a government 
securities broker/dealer that is a national bank, a District of 
Columbia bank operating under the OCC's regulatory authority, or a 
department or division of any such bank in the capacity of a municipal 
securities principal, municipal securities representative, or 
government securities associated person.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records maintained in this system may contain an individual's name, 
address history, date and place of birth, social security number, 
educational and occupational history, certain professional 
qualifications and testing information, disciplinary history, or 
information about employment termination.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    12 U.S.C. 1, 481, 1818, and 1820; 15 U.S.C. 78o-4, 78o-5, 78q, and 
78w.

PURPOSES:
    This system of records will be used by the OCC to carry out its 
responsibilities under the Federal securities laws relating to the 
professional qualifications and fitness of individuals who engage or 
propose to engage in securities activities on behalf of national banks 
and District of Columbia banks operating under the OCC's regulatory 
authority.
  

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH SYSTEMS:
    Information maintained in this system may be disclosed to:
    (1) An OCC-regulated entity in connection with its filing relating 
to the qualifications and fitness of an individual serving or proposing 
to serve the entity in a securities-related capacity;
    (2) Third parties to the extent needed to obtain additional 
information concerning the professional qualifications and fitness of 
an individual covered by the system;
    (3) Third parties inquiring about the subject of an OCC enforcement 
action;
    (4) Appropriate governmental or self-regulatory organizations when 
the OCC determines that the records are relevant and necessary to the 
governmental or self-regulatory organization's regulation or 
supervision of financial service providers, including the review of the 
qualifications and fitness of individuals who are or propose to become 
involved in the provider's securities business;
    (5) An appropriate governmental, tribal, self-regulatory, or 
professional organization if the information is relevant to a known or 
suspected violation of a law or licensing standard within that 
organization's jurisdiction;
    (6) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (7) A Congressional office when the information is relevant to an 
inquiry made at the request of the individual about whom the record is 
maintained;
    (8) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity; or
    (9) Third parties when mandated or authorized by statute.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records maintained in this system are stored electronically and in 
file folders.

RETRIEVABILITY:
    Records maintained in this system may be retrieved by the name of 
an individual covered by the system.

[[Page 54337]]

Safeguards:
    Access to the electronic database is restricted to authorized 
personnel who have been issued non-transferrable access codes and 
passwords. Other records are maintained in locked file cabinets or 
rooms.

Retention and Disposal:
    Records are retained in accordance with the OCC's records 
management policies and National Archives and Records Administration 
regulations.

System Manager(s) and Address:
    Director, Treasury and Market Risk Division, Office of the 
Comptroller of the Currency, 250 E Street SW, Washington, DC 20219-
0001.

Notification Procedure:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Disclosure Officer, Communications Division, Office of the 
Comptroller of the Currency, 250 E Street, SW, Washington, DC 20219-
0001. See 31 CFR part 1, subpart C, appendix J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an 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 information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

Record Access Procedures:
    See ``Notification Procedure'' above.

Contesting Record Procedures:
    See ``Notification Procedure'' above.

Record Source Categories:
    Information maintained in this system is obtained from OCC-
regulated entities that are: municipal securities dealers and/or 
government securities brokers/dealers; individuals who are or propose 
to become municipal securities principals, municipal securities 
representatives, or government securities associated persons; or 
governmental and self-regulatory organizations that regulate the 
securities industry.

Exemptions Claimed for the System:
    None.
TREASURY/COMPTROLLER .500

System Name:
    Chief Counsel's Management Information System--Treasury/
Comptroller.

System Location:
    Office of the Comptroller of the Currency (OCC), Office of Chief 
Counsel, 250 E Street, SW, Washington, DC 20219-0001.

Categories of Individuals Covered by The System:
    Individuals covered by the system are: individuals who have 
requested information or action from the OCC; parties or witnesses in 
civil proceedings or administrative actions; individuals who have 
submitted requests for testimony and/or production of documents 
pursuant to 12 CFR Part 4, Subpart C; individuals who have been the 
subjects of administrative actions or investigations initiated by the 
OCC, including current or former shareholders, directors, officers, 
employees and agents of OCC-regulated entities, current, former, or 
potential bank customers, and OCC employees.

Categories of Records in The System:
    Records maintained in this system may contain the names of: banks; 
requestors; parties; witnesses; current or former shareholders; 
directors, officers, employees and agents of OCC-regulated entities; 
current, former or potential bank customers; and current or former OCC 
employees. These records contain summarized information concerning the 
description and status of Law Department work assignments. Supporting 
records may include pleadings and discovery materials generated in 
connection with civil proceedings or administrative actions, and 
correspondence or memoranda related to work assignments.

Authority for Maintenance of the System:
    12 U.S.C. 1, 93(d)(second), 481, 1818, and 1820.

Purpose(s):
    This system of records is used to track the progress and 
disposition of OCC Law Department work assignments.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    Information maintained in this system may be disclosed to:
    (1) An OCC-regulated entity involved in an assigned matter;
    (2) Third parties to the extent necessary to obtain information 
that is relevant to the resolution of an assigned matter;
    (3) The news media in accordance with guidelines contained in 28 
CFR 50.2;
    (4) Appropriate governmental or self-regulatory organizations when 
the OCC determines that the records are relevant and necessary to the 
governmental or self-regulatory organization's regulation or 
supervision of financial service providers;
    (5) An appropriate governmental, tribal, self-regulatory, or 
professional organization if the information is relevant to a known or 
suspected violation of a law or licensing standard within that 
organization's jurisdiction;
    (6) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (7) A Congressional office when the information is relevant to an 
inquiry made at the request of the individual about whom the record is 
maintained;
    (8) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity; or
    (9) Third parties when mandated or authorized by statute.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records maintained in this system are stored electronically and in 
file folders.

Retrievability:
    Records maintained in this system may be retrieved by the name of 
an individual covered by the system.

Safeguards:
    Access to electronic records is restricted to authorized personnel 
who have been issued non-transferrable

[[Page 54338]]

access codes and passwords. Other records are maintained in locked file 
cabinets or rooms.

Retention and Disposal:
    Records are retained in accordance with the OCC's records 
management policies and National Archives and Records Administration 
regulations.

System Manager(s) and Address:
    Executive Assistant to the Chief Counsel, Law Department, Office of 
the Comptroller of the Currency, 250 E Street, SW., Washington, DC 
20219-0001.

Notification Procedure:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Disclosure Officer, Communications Division, Office of the 
Comptroller of the Currency, 250 E Street, SW., Washington, DC 20219-
0001. See 31 CFR part 1, subpart C, appendix J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an 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 information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

Record Access Procedures:
    See ``Notification Procedure'' above.

Contesting Record Procedures:
    See ``Notification Procedure'' above.

Record Source Categories:
    Non-exempt information maintained in this system is obtained from 
individuals who request information or action from the OCC, individuals 
who are involved in legal proceedings in which the OCC is a party or 
has an interest, OCC personnel, and OCC-regulated entities and other 
entities, including governmental, tribal, self-regulatory, and 
professional organizations.

Exemptions Claimed for the System:
    Records maintained in this system have been designated as exempt 
from 5 U.S.C. 552a(c)(3) and (4), (d)(1), (2), (3), and (4), (e)(1), 
(e)(2), (e)(3), (e)(4)(G), (H), and (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/COMPTROLLER .510

System Name:
    Litigation Information System--Treasury/Comptroller.

System Location:
    Office of the Comptroller of the Currency (OCC), Office of Chief 
Counsel, Litigation Division, 250 E Street, SW., Washington, DC 20219-
0001.

Categories of Individuals Covered by The System:
    Individuals covered by the system are parties or witnesses in civil 
proceedings or administrative actions, and individuals who have 
submitted requests for testimony or the production of documents 
pursuant to 12 CFR part 4, subpart C.

Categories of Records in the System:
    Records maintained in this system are those generated in connection 
with civil proceedings or administrative actions, such as discovery 
materials, evidentiary materials, transcripts of testimony, pleadings, 
memoranda, correspondence, and requests for information pursuant to 12 
CFR part 4, subpart C.

Authority For Maintenance of The System:
    12 U.S.C. 1, 93(d)(second), 481, 1818, and 1820.

Purpose:
    This system of records is used by the OCC in representing its 
interests in legal actions and proceedings in which the OCC, its 
employees, or the United States is a party or has an interest.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    Information maintained in this system may be disclosed to:
    (1) Third parties to the extent necessary to obtain information 
that is relevant to the subject matter of civil proceedings or 
administrative actions involving the OCC;
    (2) The news media in accordance with guidelines contained in 28 
CFR 50.2;
    (3) Appropriate governmental or self-regulatory organizations when 
the OCC determines that the records are relevant and necessary to the 
governmental or self-regulatory organization's regulation or 
supervision of financial service providers;
    (4) An appropriate governmental, tribal, self-regulatory, or 
professional organization if the information is relevant to a known or 
suspected violation of a law or licensing standard within that 
organization's jurisdiction;
    (5) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (6) A Congressional office when the information is relevant to an 
inquiry made at the request of the individual about whom the record is 
maintained;
    (7) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity; or
    (8) Third parties when mandated or authorized by statute.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records maintained in this system are stored in file folders.

Retrievability:
    Records maintained in this system may be retrieved by the name of 
an individual covered by the system.

Safeguards:
    System records are maintained in locked file cabinets or rooms.

Retention and Disposal:
    Records are retained in accordance with the OCC's records 
management policies and National Archives and Records Administration 
regulations.

System Managers and Address:
    Director, Litigation Division, Law Department, Office of the 
Comptroller of the Currency, 250 E Street, SW., Washington, DC 20219-
0001.

Notification Procedure:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the

[[Page 54339]]

Disclosure Officer, Communications Division, Office of the Comptroller 
of the Currency, 250 E Street, SW., Washington, DC 20219-0001. See 31 
CFR part 1, subpart C, appendix J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an 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 information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

Record Access Procedures:
    See ``Notification Procedure'' above.

Contesting Record Procedures
    See ``Notification Procedure'' above.

Record Source Categories:
    Non-exempt information maintained in this system is obtained from: 
individuals or entities involved in legal proceedings in which the OCC 
is a party or has an interest; OCC-regulated entities; and 
governmental, tribal, self-regulatory or professional organizations.

Exemptions Claimed for the System:
    Records maintained in this system have been designated as exempt 
from 5 U.S.C. 552a(c)(3) and (4), (d)(1), (2), (3), and (4), (e)(1), 
(e)(2), (e)(3), (e)(4)(G), (H), and (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/COMPTROLLER .600

System Name:
    Consumer Complaint and Inquiry Information System--Treasury/
Comptroller.

System Location:
    Office of the Comptroller of the Currency (OCC), Customer 
Assistance Group, 1301 McKinney Street, Suite 3725, Houston, Texas 
77010-3034.

Categories of Individuals Covered by The System:
    Individuals covered by this system are individuals who submit 
complaints or inquiries about national banks, District of Columbia 
banks operating under OCC's regulatory authority, federal branches and 
agencies of foreign banks, or subsidiaries of any such entity (OCC-
regulated entities), and other entities that the OCC does not regulate. 
This includes individuals who file complaints and inquiries directly 
with the OCC or through other parties, such as attorneys, members of 
Congress, or other governmental organizations.

Categories of Records in The System:
    Records maintained in this system may contain: the name and address 
of the individual who submitted the complaint or inquiry; when 
applicable, the name of the individual or organization referring a 
matter; the name of the entity that is the subject of the complaint or 
inquiry; the date of the incoming correspondence and its receipt; 
numeric codes identifying the complaint or inquiry's nature, source, 
and resolution; the OCC office and personnel assigned to review the 
correspondence; the status of the review; the resolution date; and, 
when applicable, the amount of reimbursement. Supporting records may 
contain correspondence between the OCC and the individual submitting 
the complaint or inquiry, correspondence between the OCC and the 
regulated entity, and correspondence between the OCC and other law 
enforcement or regulatory bodies.

Authority For Maintenance of The System:
    12 U.S.C. 1, 481, and 1820; 15 U.S.C. 41 et seq.

Purpose(s)
    This system of records is used to administer the OCC's Customer 
Assistance Program and to track the processing and resolution of 
complaints and inquiries.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    Information maintained in this system may be disclosed to:
    (1) An OCC-regulated entity that is the subject of a complaint or 
inquiry;
    (2) Third parties to the extent necessary to obtain information 
that is relevant to the resolution of a complaint or inquiry;
    (3) The appropriate governmental, tribal, self-regulatory or 
professional organization if that organization has jurisdiction over 
the subject matter of the complaint or inquiry, or the entity that is 
the subject of the complaint or inquiry;
    (4) An appropriate governmental, tribal, self-regulatory, or 
professional organization if the information is relevant to a known or 
suspected violation of a law or licensing standard within that 
organization's jurisdiction;
    (5) The Department of Justice, a court, an adjudicative body, a 
party in litigation, or a witness if the OCC determines that the 
information is relevant and necessary to a proceeding in which the OCC, 
any OCC employee in his or her official capacity, any OCC employee in 
his or her individual capacity represented by the Department of Justice 
or the OCC, or the United States is a party or has an interest;
    (6) A Congressional office when the information is relevant to an 
inquiry made at the request of the individual about whom the record is 
maintained;
    (7) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity; or
    (8) Third parties when mandated or authorized by statute.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records maintained in this system are stored electronically and in 
file folders.

Retrievability:
    Records maintained in this system may be retrieved by the name of 
an individual covered by the system.

Safeguards:
    Access to electronic records is restricted to authorized personnel 
who have been issued non-transferrable access codes and passwords. 
Other records are maintained in locked file cabinets or rooms.

Retention and Disposal:
    Records are retained in accordance with the OCC's records 
management policies and National Archives and Records Administration 
regulations.

System Manager and Address:
    Ombudsman, Office of the Comptroller of the Currency, 1301 McKinney 
Street, Suite 3725, Houston, Texas 77010-3034.

Notification Procedure:
    An individual wishing to be notified if he or she is named in non-
exempt records maintained in this system must submit a written request 
to the Disclosure Officer, Communications

[[Page 54340]]

Division, Office of the Comptroller of the Currency, 250 E Street, SW, 
Washington, DC 20219-0001. See 31 CFR part 1, subpart C, appendix J.
    Identification Requirements: An individual seeking notification 
through the mail must establish his or her identity by providing a 
signature and an address as well as one other identifier bearing the 
individual's name and signature (such as a photocopy of a driver's 
license or other official document). An individual seeking notification 
in person must establish his or her identity by providing proof in the 
form of a single official document bearing a photograph (such as a 
passport or identification badge) or two items of identification that 
bear both a name and signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an 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 information under false 
pretenses.
    Additional documentation establishing identity or qualification for 
notification may be required, such as in an instance where a legal 
guardian or representative seeks notification on behalf of another 
individual.

Record Access Procedures:
    See ``Notification Procedure'' above.

Contesting Record Procedures
    See ``Notification Procedure'' above.

Record Source Categories:
    Non-exempt information maintained in this system is obtained from 
individuals and entities filing complaints and inquiries, other 
governmental authorities, and OCC-regulated entities that are the 
subjects of complaints and inquiries.

Exemptions Claimed for the System:
    Records maintained in this system have been designated as exempt 
from 5 U.S.C. 552a(c)(3), (d)(1), (2), (3), and (4), (e)(1), (e)(4)(G), 
(H), and (I), and (f) of the Privacy Act pursuant to 5 U.S.C. 
552a(k)(2). See 31 CFR 1.36.
[FR Doc. 01-27002 Filed 10-25-01; 8:45 am]
BILLING CODE 4810-33-P