[Federal Register Volume 70, Number 131 (Monday, July 11, 2005)]
[Notices]
[Pages 39853-39864]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 05-13548]


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DEPARTMENT OF THE TREASURY

Office of the Comptroller of the Currency


Privacy Act of 1974, as Amended; System of Records

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

ACTION: Notice of systems of records.

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SUMMARY: In accordance with the requirements of the Privacy Act of 
1974, as amended, 5 U.S.C. 552a, the Office of the Comptroller of the 
Currency, 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 Comptroller of the Currency (OCC) has completed a review of 
its Privacy Act systems of records notices to identify minor changes 
that will more accurately describe these records.
    The following new systems of records, published on October 26, 
2001, at 66 FR 54327, have been added to the OCC's inventory of Privacy 
Act notices: CC .100--Enforcement Action Report System; CC .120--Bank 
Fraud Information System; CC .220--Section 914 Tracking System; CC 
.340--Access Control System, and CC .700--Correspondence Tracking 
System as published on October 26, 2001, beginning at 66 FR 54327.
    This publication incorporates the amendments to: CC .200--Chain 
Banking Organizations System; CC .210--Bank Securities Dealers System; 
CC .500--Chief Counsel's Management Information System; CC .510--
Litigation Information System, and CC .600--Consumer Complaint and 
Inquiry Information System which were published October 26, 2001, 
beginning at 66 FR 54333. It also incorporates the amendment to 
Comptroller .110 published on April 27, 2005, at 70 FR 21840.
    The following systems of records are being deleted by the OCC: CC 
.300--Administrative Personnel System; CC .310--Financial System, and 
CC .320--General Personnel System.

Systems Covered by This Notice

    This notice covers all systems of records adopted by the OCC up to 
June 21, 2005. The systems notices are reprinted in their entirety 
following the Table of Contents.

    Dated: July 1, 2005.
Nicholas Williams,
Deputy Assistant Secretary for Headquarters Operations.

The Comptroller of the Currency (OCC)

Table of Contents

CC .100--Enforcement Action Report System
CC .110--Reports of Suspicious Activities
CC .120--Bank Fraud Information System
CC .200--Chain Banking Organizations System
CC .210--Bank Securities Dealers System
CC .220--Section 914 Tracking System
CC .340--Access Control System
CC .500--Chief Counsel's Management Information System
CC .510--Litigation Information System
CC .600--Consumer Complaint and Inquiry Information System
CC .700--Correspondence Tracking System

TREASURY/COMPTROLLER .100

System Name:
    Enforcement Action Report System--Treasury/Comptroller.

System Location:
    Office of the Comptroller of the Currency (OCC), Enforcement and 
Compliance Division, 250 E Street, SW., Washington, DC 20219-0001.

Categories of Individuals Covered by the System:
    Individuals covered by this system are: (1) Current and former 
directors, officers, employees, shareholders, and independent 
contractors of financial institutions who have had enforcement actions 
taken against them by the OCC, the Board of Governors of the Federal 
Reserve System, the Federal Deposit Insurance Corporation, the Office 
of Thrift Supervision, or the National Credit Union Administration;
    (2) Current and former directors, officers, employees, 
shareholders, and independent contractors of financial institutions who 
are the subjects of pending enforcement actions initiated by the OCC; 
and
    (3) Individuals who must obtain the consent of the Federal Deposit 
Insurance Corporation pursuant to 12 U.S.C. 1829 to become or continue 
as an institution-affiliated party within the meaning of 12 U.S.C. 
1813(u) of a federally-insured depository institution, a direct or 
indirect owner or controlling person of such an entity, or a direct or 
indirect participant in the conduct of the affairs of such an entity.

Categories of Records in the System:
    Records maintained in this system may contain the names of 
individuals, their positions or titles with financial institutions, 
descriptions of offenses and enforcement actions, and descriptions of 
offenses requiring Federal Deposit Insurance Corporation approval under 
12 U.S.C. 1829.

Authority for Maintenance of the System:
    12 U.S.C. 1, 27, 481, 1817(j), 1818, 1820, and 1831i.

Purpose:
    This system of records is used by the OCC to monitor enforcement 
actions and to assist it in its regulatory responsibilities, including 
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) An OCC-regulated entity when the information is relevant to the 
entity's operations;
    (2) Third parties to the extent necessary to obtain information 
that is relevant to an examination or investigation;
    (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, 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) 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.

[[Page 39854]]

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 Manager 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 federal financial 
regulatory agencies, and criminal law enforcement authorities.

Exemptions Claimed for this 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.
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 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;

[[Page 39855]]

    (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.

System Managers and Address:
    Director, Special Supervision Division, Midsize/Community Bank 
Supervision, 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 
CC 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 .120

System Name:
    Bank Fraud Information System--Treasury/Comptroller.

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

Categories of Individuals Covered by the System:
    Individuals covered by this system are those who submit complaints 
or inquiries about fraudulent or suspicious financial instruments or 
transactions or who are the subjects of complaints or inquiries.

Categories of Records in the System:
    Records maintained in this system may contain: The name, address, 
or telephone number of the individual who submitted a complaint or 
inquiry; the name, address, or telephone number of the individual or 
entity who is the subject of a complaint or inquiry; the types of 
activity involved; the date of a complaint or inquiry; and numeric 
codes identifying a complaint or inquiry's nature or source. Supporting 
records may contain correspondence between the OCC and the individual 
or entity submitting a complaint or inquiry, correspondence between the 
OCC and an OCC-regulated entity, or correspondence between the OCC and 
other law enforcement or regulatory bodies. 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 complaints or inquiries.

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 tracks complaints or inquiries concerning 
fraudulent or suspicious financial instruments and transactions. These 
records assist the OCC in its efforts to protect banks and their 
customers from fraudulent or suspicious banking activities.

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 to the extent that such entity is the 
subject of a complaint, inquiry, or fraudulent activity;
    (2) Third parties to the extent necessary to obtain information 
that is relevant to the resolution of a complaint or inquiry, an 
examination, or an investigation;
    (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, 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;
    (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.

[[Page 39856]]

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System:
Storage:
    Records maintained in this system are stored electronically, in 
card files, 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:
    Director, Special Supervision/Fraud, Bank Supervision Operations, 
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 and entities who submit complaints or inquiries, OCC 
personnel, OCC-regulated entities, criminal law enforcement 
authorities, and governmental or self-regulatory bodies.

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 .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;

[[Page 39857]]

    (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.

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 Manager 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.

Purpose:
    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

[[Page 39858]]

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 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 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 .220

System Name:
    Section 914 Tracking System--Treasury/Comptroller.

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

Categories of Individuals Covered by the System:
    Individuals covered by this system are those who are named in 
notices filed under 12 CFR 5.51 as proposed directors or senior 
executive officers of national banks, District of Columbia banks 
operating under the OCC's regulatory authority, or federal branches of 
foreign banks (OCC-regulated entities). OCC-regulated entities file 
notices if they:
    (1) Have a composite rating of 4 or 5 under the Uniform Financial 
Institutions Rating System;
    (2) Are subject to cease and desist orders, consent orders, or 
formal written agreements;
    (3) Have been determined by the OCC to be in ``troubled 
condition;''
    (4) Are not in compliance with minimum capital requirements 
prescribed under 12 CFR Part 3; or
    (5) Have been advised by the OCC, in connection with its review of 
an entity's capital restoration plan, that such filings are 
appropriate.

Categories of Records in the System:
    Records maintained in this electronic database may contain: the 
names, charter numbers, and locations of the OCC-regulated entities 
that have submitted notices pursuant to 5 CFR 5.51; the names, 
addresses, dates of birth, and social security numbers of individuals 
proposed as either directors or senior executive officers; and the 
actions taken by the OCC in connection with these notices.

Authority for Maintenance of the System:
    12 U.S.C. 1, 27, 93a, 481, 1817(j), 1818, 1820, and 1831i.

Purpose:
    Information maintained in this system is used by the OCC to carry 
out its statutory and other regulatory responsibilities, including 
other reviews of the qualifications and fitness of individuals who 
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) An OCC-regulated entity in connection with review and action on 
a notice filed by that entity pursuant to 12 CFR 5.51;
    (2) Third parties to the extent necessary to obtain information 
that is pertinent to the OCC's review and action on a notice received 
under 12 CFR 5.51;
    (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, including the review of the 
qualifications and fitness of individuals who are or propose to become 
responsible for the business operations of such 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

[[Page 39859]]

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.

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 Manager and Address:
    Director, Special Supervision/Fraud, 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, individuals named in notices filed pursuant to 5 
CFR 5.51, Federal or State financial regulatory agencies, criminal law 
enforcement authorities, credit bureaus, and OCC personnel.

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.
TREASURY/COMPTROLLER .340

System Name:
    Access Control System--Treasury/Comptroller.

System Location:
    Office of the Comptroller of the Currency (OCC), Security Office, 
Administrative Services Division, 250 E Street, SW., Washington, DC 
20219-0001.

Categories of Individuals Covered by the System:
    Individuals covered by this system are OCC employees, contractors, 
agents, and volunteers who have been issued an OCC identification card.

Categories of Records in the System:
    Records maintained in this system may contain an individual's name, 
social security number, picture, and authorizations to use the OCC's 
fitness facility or its headquarters parking garage, if applicable. 
This system of records also may contain time records of entrances and 
exits and attempted entrances and exits of OCC premises.

Authority for Maintenance of the System:
    12 U.S.C. 1, 481, and 482; 5 U.S.C. 301.

Purpose:
    The OCC has an electronic security system linked to identification 
cards which limits access to its premises to authorized individuals and 
records the time that individuals are on the premises. This system of 
records is used to assist the OCC in maintaining the security of its 
premises and to permit the OCC to identify individuals on its premises 
at particular times.

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 an investigation concerning access to or the 
security of the OCC's premises;
    (2) An appropriate governmental authority if the information is 
relevant to a known or suspected violation of a law within that 
organization's jurisdiction;
    (3) 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;
    (4) A congressional office when the information is relevant to an 
inquiry made at the request of the individual about whom the record is 
maintained;
    (5) A contractor or agent who needs to have access to this system 
of records to perform an assigned activity; or
    (6) 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

[[Page 39860]]

policies and National Archives and Records Administration regulations.

System Manager and Address:
    Security Officer, 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 individuals 
and the OCC's official personnel records. Information concerning entry 
and exit of OCC premises is obtained from identification card scanners.

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:
    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 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:
    Executive Assistant to the Chief Counsel, Law Department, Office of 
the Comptroller of the Currency, 250 E Street, SW., Washington, DC 
20219-0001.

[[Page 39861]]

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 Manager 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 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

[[Page 39862]]

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:
    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 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

[[Page 39863]]

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.
TREASURY/COMPTROLLER .700

System Name:
    Correspondence Tracking 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. Components of 
this record system are maintained in the Comptroller of the Currency's 
Office and the Chief Counsel's Office.

Categories of Individuals Covered by the System:
    Individuals covered by this system are those whose correspondence 
is submitted to the Comptroller of the Currency or the Chief Counsel.

Categories of Records in the System:
    Records maintained in this system may contain the names of 
individuals who correspond with the OCC, information concerning the 
subject matter of the correspondence, correspondence disposition 
information, correspondence tracking dates, and internal office 
assignment information. Supporting records may contain correspondence 
between the OCC and the individual.

Authority for Maintenance of the System:
    12 U.S.C. 1; 5 U.S.C. 301.

Purpose:
    This system of records is used by the OCC to track the Comptroller 
of the Currency's or the Chief Counsel's correspondence, including the 
progress and disposition of the OCC's response.

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 OCC-regulated entity involved in correspondence;
    (2) Third parties to the extent necessary to obtain information 
that is relevant to the response;
    (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 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-transferable access codes and passwords. Other 
records are maintained in locked file cabinets or rooms.

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

System Managers and Addresses:
    Deputy to the Chief of Staff, Office of the Comptroller of the 
Currency, 250 E Street, SW., Washington, DC 20219-0001. Special 
Assistant to the Chief Counsel, 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 (such as credit cards). 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.

[[Page 39864]]

Record Source Categories:
    Information maintained in this system is obtained from individuals 
who submit correspondence and OCC personnel.

Exemptions Claimed for the System:
    None.

[FR Doc. 05-13548 Filed 7-8-05; 8:45 am]
BILLING CODE 4810-33-P