[Federal Register Volume 60, Number 217 (Thursday, November 9, 1995)]
[Notices]
[Pages 56687-56695]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: X95-51109]
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Comptroller of the Currency
Treasury/Comptroller .004
Consumer Complaint and Inquiry Information System (CCIS)--
Treasury/Comptroller.
Office of the Comptroller of the Currency, 250 E Street, SW,
Washington, DC 20219. Components of the CCIS are geographically
dispersed through- out six (6) district offices. (See addresses listed
in Appendix of OCC District Offices.)
Persons who file complaints against banks either directly or
through second parties, e.g. attorneys, Congressional representatives
or others who make inquiries about banks or banking issues.
The records are maintained in three general categories:
Correspondence; computer tapes; and hard copies of computer generated
reports. Data contained in these records are: The name and address of
the writer or their representative; the name and charter number of
bank; the date of incoming letter; the date letter received by the OCC;
numerical codes identifying the nature of the complaint, the source of
the complaint, and the type of resolution; identification of the
district and the person assigned to examine the complaint; the
resolution date; and, if appropriate, the amount of reimbursement.
12 U.S.C. 1, et.seq., 5 U.S.C. 301, 15 U.S.C. 41 et.seq.
Hard copy computerized reports are used to monitor the system,
provide data for the Annual Report to Congress and inquiries from other
agencies, public and private. Redacted copies of the files may be used
in response to Congressional inquiries on specific subjects.
Records in active use are stored in file cabinets in the
processing offices. Resolved complaints and inquiries are stored in the
office having primary responsibility for the bank, generally the field
office. Complaints regarding banks with over one billion dollars in
assets are stored in the appropriate district office. Complaints which
appeal the district office's resolution and complaints and inquiries
received from Congressional sources are stored in Central Files in the
Washington Office or in the Congressional Liaison office. Active
computer tapes are secured in the Information Systems and Technology
Division and the computerized reports are stored in file cabinets.
Correspondence records are retrieved from the appropriate office
using the bank and complainant's or Congressman's or Senator's name.
Other records are retrieved using the complainant's or inquirer's name
or the identification number assigned to the correspondence.
Access to locations where active complaint and inquiry files are
located is controlled. Computer tapes are also located in a controlled
access location. Inactive files are located in locked file rooms.
(a) Consumer complaint correspondence generating administrative
action is part of the permanent bank record set that is retained at OCC
for three calendar years, then transferred to Washington National
Records Center (WNRC) and offered to National Archives and Records
Administration when 30 years old. (b) Consumer complaints and inquiries
of a routine nature are held for two years, then may be transferred to
WNRC, and destroyed when five years old. (c) Computer tapes and one
record copy of reports are retained in OCC for three years, then
transferred to WNRC, and offered to NARA when 20 years old.
Compliance Management, Comptroller of the Currency, 250 E Street,
SW, Washington, DC 20219.
Individuals who wish to be notified if they are named in the
system or to gain access to records maintained in the system may write
or call the Director of Compliance Management to obtain this
information. They must provide their name, address, name of subject
bank, complaint identification number, if available, and the
approximate date. The requesting individual will only be provided an
affirmative or negative answer. If additional information is requested,
procedures under access must be followed.
Access to a record can be requested by writing to the Disclosure
Officer, Communications Division, Office of the Comptroller of the
Currency, 250 E Street, SW, Washington, DC 20219.
Decisions by the district offices can be appealed to the Director
of Compliance Management. Such an appeal is the final level of
administrative action available to persons filing complaints.
The initial source is from the person filing a complaint against a
national bank or the person making an inquiry about a bank or banking
issue. Subsequent sources are from bank correspondence, bank files, or
from reports based on on-site investigations.
None.
Treasury/Comptroller .012
Freedom of Information Index and Log--Treasury/Comptroller.
Comptroller of the Currency, 250 E Street, SW, Washington, DC
20219.
[[Page 56688]]
Persons making requests under the Freedom of Information Act
(FOIA).
List of names of persons making requests under the Freedom of
Information Act.
12 U.S.C. 1 and 12 U.S.C. 9, 5 U.S.C. 301.
Any party within or outside of the office of the Comptroller of
the Currency or the Department of Treasury who wishes to review the
Freedom of Information Act request log may do so by contacting or
writing to the Director of Communications.
Magnetic media.
Log is arranged sequentially by case number of a Freedom of
Information Act request. Log entries can be sorted by name of
requester.
Unlocked file cabinet.
Records are updated periodically to reflect changes and are
maintained as long as needed.
Disclosure Officer, Communications, 250 E Street, SW, Washington,
DC 20219.
Individuals wishing to be notified if they are named in this
system or gain access to records maintained in this system must submit
a request containing the following elements: (1) Identify the record
system; (2) Identify the category and type of records sought; (3)
Indicate the location of the Comptroller of the Currency Office where
the record might be stored; and (4) Provide at least two items of
secondary identification (date of birth, employee identification
number, date(s) of employment or similar information).
Persons wishing to review the FOIA log/index should contact the
Disclosure Officer, Communications, 250 E Street, SW, Washington, DC
20219.
Submit requests to the Disclosure Officer, Communications at the
above address.
Persons making requests under Freedom of Information Act.
None.
Treasury/Comptroller .013
Enforcement and Compliance Information System--Treasury/
Comptroller.
Comptroller of the Currency, 250 E Street, SW, Washington, DC
20219.
Individuals and entities involved in actual or suspected
fraudulent activities, or other violations of law, and bank directors,
officers and shareholders named in administrative enforcement actions,
actual or potential witnesses in investigations and enforcement
actions.
These records contain information identifying the individual,
describing the known or suspected criminal activity or violation of law
enforcement action in which the individual is involved or named, giving
the bank name and location, and where applicable, the law enforcement
agency to which referred and date referred, indicating if a grand jury
subpoena has been issued, indicating other actions and identifying the
OCC attorney. These records also include evidentiary material,
transcripts of testimony, documents prepared for administrative or
court proceedings, correspondence and staff memoranda.
12 U.S.C. 481, 1817(j), 1818, and 1820; 15 U.S.C. 78c(a)(34),
78l(I), 78u, 78o-4
Information in these records may be used to: (1) Provide the
Department of Justice with periodic reports which indicate the number,
place and individual identity of outstanding potential criminal
violations of the law which have been referred to the Department; (2)
provide the Office of the Comptroller of the Currency with statistical
information to respond to general information requests from the
Congress; (3) disclose information to foreign governments in accordance
with formal or informal international agreements; (4) disclose
information to the news media in accordance with guidelines contained
in 28 CFR 50.2 which covers release of information relating to civil
and criminal proceedings; (5) disclose information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation; (6) provide information or
records to any other appropriate domestic or foreign governmental
agency or self-regulatory organization charged with the responsibility
of administering law or investigating or prosecuting violations of law
or charged with enforcing or implementing a statute, rule, regulation,
order or license; (7) disclose information to a court, magistrate, or
administrative tribunal, including disclosure to opposing counsel or
potential or actual witnesses in the course of discovery, in litigation
or settlement negotiations, or in response to a subpoena, where
relevant or potentially relevant to the processing; (8) disclose
information of Federally insured financial institutions in connection
with such institutions' hiring or retention of an employee, when
considered appropriate; (9) disclose, when considered, appropriate,
information to a bar association, the American Institute of Certified
Public Accountants, or other professional organization performing
similar functions, for possible disciplinary action; (10) disclose
information to members of Congress in response to an inquiry made at
the request of the individual to whom the record pertains; (11)
disclose information to any person with whom the Comptroller contracts
to reproduce, by typing, photocopying or other means, any record within
this system for use by the Comptroller and its staff in connection with
their official duties or to any person who is utilized by the
Comptroller to perform clerical or stenographic functions relating to
the official business of the Comptroller.
Records will be maintained in general correspondence files,
enforcement actions and investigatory files, criminal referral files,
in card files and on computer disks.
Some records will be indexed by bank name and location. In
addition, records on computer discs or in enforcement
[[Page 56689]]
action, investigatory, or criminal referral files will be indexed by
name of individual. Records on computer discs will also be indexed by
code provision known or suspected to be violated.
Correspondence files are stored in the Office`s Central File room
and may only be retrieved by authorized personnel. Enforcement,
investigation, and criminal referral files are stored in lockable file
cabinets and accessible only to authorized personnel. Card files will
be stored in lockable file cabinets. Computer discs will be accessible
only to authorized personnel.
Records are periodically updated to reflect changes and maintained
as long as needed.
Director, Enforcement and Compliance Division, and Director,
Securities and Corporate Practices Division, Law Department,
Comptroller of the Currency, 250 E Street, SW, Washington, DC 20219.
Certain records in this system are exempt from notification
requirements under 5 U.S.C. 552a (k)(2) of the Act as relating to
investigatory material compiled for law enforcement purposes. Requests
relating to records not subject to the exemption should contain the
following elements: (1) Identity of the records system; (2) identity of
the category and type of records sought; (3) the location of the
Comptroller of the Currency office where the record might be stored;
and (4) at least two items of secondary identification (date of birth,
employee identification number, dates of employment or similar
information).
Submit requests to the Disclosure Officer, Communications
Division, 250 E Street, SW, Washington, DC 20219.
Submit requests to the Disclosure Officer, Communications
Division, 250 E Street, SW, Washington, DC 20219.
Examinations of national banks by national bank examiners;
investigations performed by agency attorneys and notifications from the
Department of Justice, other Federal and State law enforcement
agencies, and other Federal and State bank regulatory agencies; filings
made with the Office of the Comptroller of the Currency pursuant to
law; communications and documents received by the agency in the course
of its bank supervisory activities.
Components of this system have been designated as exempt from 5
U.S.C. 552a (j)(4). To the extent that the exemption under 5 U.S.C.
552a (j)(4) does not apply, the exemption under 5 U.S.C. 552a (k)(2)
applies.
Treasury/Comptroller .014
Personnel Security/Investigation Files/Employee/Applicant
Reference File--Treasury/Comptroller.
Comptroller of the Currency, Human Resources Division, 250 E
Street, SW, Washington, DC 20219. Components of this system are
geographically dispersed throughout six (6) district offices. Contact
District Offices for addresses of field offices within their
jurisdiction. (See addresses listed in Appendix of OCC District
Offices.)
Applicants for employment with and employees of the Comptroller of
the Currency.
Compilation of material for a determination regarding
employability and/or Security Clearance.
12 U.S.C. 1 and 9; 5 U.S.C. 301; and EO 10450 and 12356.
Disclosures are not made outside the Department.
Locked steel file cabinets located in a room secured with a key
lock.
Filed in alphabetical order.
Locked Steel file cabinets located in a room secured with a key
lock. Only the security officer within the Human Resources area have
access.
Materials are retained for three months after employee leaves and
the records are disposed by shredding.
Deputy Comptroller for Resource Management, Comptroller of the
Currency, 250 E Street, SW, Washington, DC 20219.
Individuals wishing to be notified if they are named in this
system or gain access to records maintained in this system must submit
a request containing the following elements: (1) Identify the record
system; (2) Identify the category and type of records sought; (3)
Provide at least two items of secondary identification (date of birth,
employee identification number, dates of employment or similar
information).
Contact the Disclosure Officer, Communications Division, Office of
the Comptroller of the Currency, 250 E Street, SW, Washington, DC
20219.
Submit requests to the Disclosure Officer, Communications
Division, Office of the Comptroller of the Currency, 250 E Street, SW,
Washington, DC 20219.
The information contained in these records is provided by subject
of the record--employers, co-workers, friends, neighbors and
associates, and finances.
Portions of this system have been designated as exempt from
certain provisions of the Privacy Act pursuant to 5 U.S.C. 552a (k)(5).
Treasury/Comptroller .015
Chain Banking Organizations System--Treasury/Comptroller.
Office of the Comptroller of the Currency, 250 E Street, SW,
Washington, DC 20219; 1114 Avenue of the Americas, Suite 3900, New
York, NY 10036; Marquis One Tower, Suite 600, 245 Peachtree Center
Avenue N.E., Atlanta, GA 30303; One Financial Place, Suite 2700, 440
South LaSalle Street, Chicago, IL 60605; 2345 Grand Avenue, Suite 700,
Kansas City, MO 64108; 1600 Lincoln Plaza, 500 North Akard, Dallas, TX
75201; 50 Fremont Street, Suite 3900, San Francisco, CA 94105.
Individuals who directly, indirectly, or in concert with others,
own and/or control a chain banking organization.
[[Page 56690]]
The Chain Banking Organizations System consists of word processing
and microprocessing programs which perform editing, updating and
reporting functions on two types of data: (1) Name of an individual (or
group of individuals acting in concert) that owns or controls a chain
banking organization and (2) information concerning individual chain
banks, such as; name, location, charter number, charter type, date of
last examination, percentage of outstanding stock owned by controlling
individual or group and, if applicable, name of intermediate holding
entity and percentage of it held by controlling individual or group.
12 U.S.C. 1, 12 U.S.C. 481, 12 U.S.C. 1817(j).
The System may be used to: (1) Disclose information about specific
chain banking organizations to other financial institution supervisory
authorities for: (a) Coordination of examining resources when the chain
banking organization is composed of banks or financial institutions
subject to multiple supervisory jurisdiction; (b) coordination of
evaluations and analysis of the condition of the consolidated chain
group; (c) coordination of supervisory, corrective or enforcement
actions. (2) Disclose information to the extent provided by law or
regulation and as necessary to report any apparent violations of law to
appropriate law enforcement agencies. (3) Disclose pertinent
information to appropriate Federal, State, local or foreign agencies
responsible for investigating or prosecuting the violations of, or for
enforcing or implementing, a statute, rule, regulation, order, or
license, where the disclosing agency becomes aware of an indication of
a violation or potential violation of civil or criminal law or
regulation. (4) Disclose information to a Federal, State, or local
agency, maintaining civil, criminal or other relevant enforcement
information or other pertinent information, which has requested
information relevant to or necessary to the requesting agency's or the
bureau's hiring or retention of an individual, or issuance of a
security clearance, license, contract, grant, or other benefit. (5)
Disclose information to a court, magistrate, or administrative tribunal
in the course of presenting evidence, including disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation, or
settlement negotiations, in response to a subpoena, or in connection
with criminal law proceedings. (6) Provide information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains.
These records are maintained in a computer data base and on
computer floppy disks or hard copy printouts stored in file cabinets.
All retrievable records are indexed by district location, state,
alphabetically by surname of the individual(s) and/or entity
controlling the chain banking organization.
Access to records in electronic storage systems is restricted by
user identification procedures and passwords which limit access to
authorized employees of the Office. Computer disks and hard copy
printouts will be stored in locked file cabinets when the Office is
vacant.
Records are generally maintained in electronic storage disks in an
off-line capacity until needed. Certain records are archived in off-
line storage. All records, including those in printout form, are
periodically updated to reflect changes and maintained as long as
needed.
Senior Deputy Comptroller for Bank Supervision Operations, Office
of the Comptroller of the Currency, 250 E Street, SW, Washington, DC
20019. District Offices - The Deputy Comptroller for each District is
responsible for assuring the accuracy and routine maintenance of that
portion of the System applicable to the district.
Individuals who wish to be notified if they are named in the
system shall submit a signed, written request to the appropriate
District Office (or to the System Manager at the address listed). The
request must contain: (1) The requestor's name and address; (2) the
name of the system of records; and (3) the name and location of the
bank(s) which they control individually or in concert with others. In
order to avoid excessive delay and unneeded correspondence, individuals
requesting notification should simultaneously request access to records
pertaining to them.
Portions of this system of records may be accessed under the
Privacy Act for purposes of inspection by identified controlling
individuals for the express purpose of verifying that their
relationships are accurately recorded.
Individuals who wish to contest a record in the system must submit
a signed written request to the Senior Deputy Comptroller for Bank
Supervision Operations, Office of the Comptroller of the Currency, 250
E Street, SW, Washington, DC 20219.
The requests should contain: (1) The name and address of the
individual contesting the record; (2) the name of the system of
records; (3) the name and location of the chain bank(s) which they
reportedly control individually or in concert with others; and (4) the
specific information being contested and the reason for contesting (it
is believed to be inaccurate, irrelevant, incomplete, etc.).
Information that identifies chain banking groups primarily is
gathered from: (1) Examination reports and related materials; (2)
regulatory filings; and (3) Change in Bank Control Notices filed
pursuant to 12 U.S.C. 1817 (j).
None.
Treasury/Comptroller .016
Litigation Information System (LIS)--Treasury/Comptroller.
Office of the Comptroller of the Currency, 250 E Street, SW,
Washington, DC 20219.
LIS covers: (a) Individuals who file administrative or judicial
claims against the OCC and/or officials or employees of the OCC in
their capacity as such, against whom the OCC files claims, or who are
parties to claims in which the OCC participates, but is not a party;
(b) All other individuals, including actual or potential witnesses,
involved in litigation brought by or against the OCC or in which the
OCC participates as a nonparty; (c) persons submitting requests for
testimony and/or production of documents pursuant to 12 CFR 4.19.
[[Page 56691]]
All records generated in connection with the litigation including
evidentiary material, transcripts of testimony, documents prepared for
administrative or judicial proceedings, correspondence, requests for
information pursuant to 12 CFR 4.19, and staff memoranda.
12 U.S.C. 1 and 481; 15 U.S.C. SS78c(a)(34), 78l(I), 78o-4.
The information contained in these records may be used to: (1)
Provide the Department of Justice with pleadings, memoranda,
correspondence, litigation reports, and other documents that will
assist it in the preparation of litigation involving the OCC; (2)
disclose information to the news media in accordance with guidelines
contained in 28 CFR 50.2, which covers the release of information
relating to civil and criminal proceedings; (3) disclose information to
a court, magistrate, or administrative tribunal in the course of
presenting evidence, including disclosure to opposing counsel or
potential or actual witnesses in the course of discovery, in litigation
or settlement negotiations, or in response to a subpoena, where
relevant or potentially relevant to the proceeding; (4) provide
information or records to any other appropriate domestic or foreign
governmental agency or self-regulatory organization charged with the
responsibility of administering law or investigating or prosecuting
violations of law or charged with enforcing or implementing statutes,
rules, regulations or orders pursuant thereto; (5) disclose information
to bank and consumer groups; (6) disclose information to any person
with whom the OCC contracts to reproduce, by typing, photocopy or other
means, any record within the system of records for use by the OCC and
its staff in connection with their official duties or to any person who
is utilized by the OCC to perform clerical or stenographic functions
relating to the official business of the OCC.
Records comprising this system are maintained in file folders kept
in lockable file cabinets.
Access to the records is by name of the individual litigant(s).
Records are accessible only to authorized personnel.
Records are updated periodically to reflect changes and are
maintained as long as needed.
Director, Litigation Division, Law Department, Comptroller of the
Currency, 250 E Street, SW, Washington, DC 20219.
Individuals wishing to be notified if they are named in the system
or to gain access to records maintained in the system must submit a
request containing the following elements: (1) Identity of the record
system; (2) identity of the category and type of records sought; (3)
the location of the Comptroller of the Currency office where the record
might be stored; and (4) at least two items of secondary identification
(date of birth, employee identification number, dates of employment or
similar information).
Contact the Disclosure Officer, Communications Division, Office of
the Comptroller of the Currency, 250 E Street, SW, Washington, DC
20219.
Submit comments to the Disclosure Officer, Communications
Division, Office of the Comptroller of the Currency, 250 E Street, SW,
Washington, DC 20219.
Individuals who file claims against or otherwise are involved in
legal proceedings with the OCC and/or an official or employee thereof
in his or her capacity as such; communications and documents generated
or received by the OCC, its officials or employees in the course of the
legal proceedings; applications and other filings made with the OCC
pursuant to law.
None.
Treasury/Comptroller .221
Professional Qualifications Records for Municipal Securities
Principals, Municipal Securities Representatives, and U.S. Government
Securities Associated Persons--Treasury/Comptroller.
Office of the Comptroller of the Currency, 250 E Street SW,
Washington, DC 20219. Records stored in computerized files are
maintained off premises at the National Association of Securities
Dealers, 9513 Key West Avenue, Rockville, Maryland 20850.
Persons who are or seek to be associated with a municipal
securities dealer or a government securities broker/dealer which is a
national or District of Columbia bank, or a department, division, or
subsidiary of any such bank, in the capacity of municipal securities
principals, municipal securities representatives, or government
security associated person.
These records contain identifying information, detailed
educational and occupational histories, certain professional
qualifications, examination information, disciplinary histories, and
information concerning the termination of employment of individuals
covered by the system. Identifying information includes name, address
history, date and place of birth, and may include Social Security
number.
Section 15B(c), 17 and 23 of the Securities Exchange Act of 1934
(15 U.S.C. 78o-4(c)(5), 78o-5(a)(1)(B)(ii), 78q and 78w); and the
general authority of the National Banking Laws, 12 U.S.C. 1 et seq.
The information contained in these records may be subject to the
following uses: (1) Referral to the appropriate governmental authority,
whether Federal, State, local, or foreign, or to the appropriate self-
regulatory organization, of such information as may indicate a
violation or potential violation of law, regulation or rule. (2)
Referral to the appropriate court, magistrate, or administrative law
judge of such information as may be relevant to proceedings before any
such court or judicial officer. (3) Disclosure of such information as
may aid in the resolution of any action or proceeding: (a) In which the
Federal securities or banking laws are at issue; (b) In which the
propriety of any disclosure of information contained in the system is
at issue; or (c) To which the Comptroller of the Currency or a past or
present member of its staff is a party or otherwise involved in an
official capacity. (4) Disclosure to a Federal, State, local, or
foreign governmental authority, or to a self-regulatory organization,
of such
[[Page 56692]]
information as may be necessary to obtain from such authority or
organization additional information concerning the qualifications of an
individual covered by the system. (5) Disclosure of such information as
may be necessary to respond to a request from a Federal, State, local,
or foreign governmental authority, or from a self-regulatory
organization, for information needed in connection with the issuance of
a license, granting of a benefit, or similar action by such authority
or organization affecting an individual covered by the system. (6)
Disclosure of such information as may be necessary to respond to any
Congressional inquiry undertaken at the request of an individual
covered by the system.
Records are maintained in file folders and on magnetic media.
Records are indexed by name of individual, and by a numerical
identifier assigned by the National Association of Securities Dealers
File folders are stored in lockable metal cabinets and computer
memory discs are accessed only by Authorized Personnel.
Records are updated periodically to reflect changes and maintained
thirty (30) years.
Capital Markets Division, Office of the Chief National Bank
Examiner, Office of the Comptroller of the Currency, 250 E Street SW,
Washington, DC 20219.
Inquiries, including name, date and place of birth, should be
addressed to the System Manager. Inquirers may be required to include a
notarized statement attesting to identity.
Same as notification procedure.
Same as notification procedure.
Those individuals, and municipal and U.S. Government securities
dealers described in the section entitled ``Categories of Individuals
Covered by the System'' provide the bulk of the information in the
system. Additional input is provided by Federal, State, local, and
foreign governmental authorities, and by self-regulatory organizations,
which regulate the securities industry.
None.
Treasury/Comptroller .300
Administrative Personnel System--Treasury/Comptroller.
Office of the Comptroller of the Currency, 250 E Street, SW,
Washington, DC 20219. Components of this system are geographically
dispersed throughout six (6) district offices. Contact District Offices
for addresses of field offices within their jurisdiction. (See
addresses listed in Appendix of OCC District Offices.)
Employment related administrative records. This system contains
internal control type information about employees and contractual users
of agency facilities and systems. The type of records found within this
system are: List of individuals who are issued building passes, credit
or identification cards, parking permits, accountable property and
travel documents; lists of individuals who perform specialized duties
(building wardens, relocation teams, safety officers, and civil defense
officers); reports about individuals who are involved in accidents
while employed, and authorization codes for use of internal computer
systems.
General authority -- 12 U.S.C. 1 and 9, 5 U.S.C. 301. Specific
authority is derived from a number of laws, regulations and Executive
Orders. Individuals wishing to obtain more detailed information should
write to the Disclosure Officer, Communications, 250 E Street, SW,
Washington, DC 20219.
A record in this system may be disclosed as a routine use to: (1)
The Office of Personnel Management (OPM) for the purpose of complying
with regulations issued by the OPM; (2) the General Services
Administration (GSA) for the purpose of complying with regulations
issued by the GSA; (3) the Department of Labor for the purpose of
investigating claims for work related injuries.
File folders, magnetic tape, lists and forms.
Records are retrieved primarily by name (filed alphabetically by
category of records); secondary identifiers are used to assure accuracy
(date of birth, social security number or employee identification
number).
Records are stored in lockable cabinets or secure rooms; access is
limited to officials who have a need for the information; employees are
trained to make only authorized disclosures.
Personnel-type records are retained for thirty (30) days after
termination. All other records are retained and destroyed in accordance
with published disposition and retention schedules. Individuals wishing
more detailed information should write to the Disclosure Officer,
Communications, 250 E Street, SW, Washington, DC 20219.
Senior Deputy Comptroller for Administration, 250 E Street, SW,
Washington, DC 20219; Director, Multinational and Regional Bank
Supervision, 250 E Street, SW, Washington, DC 20219 (multinational
records only).
Individuals wishing to be notified if they are named in this
system of records, or gain access to records maintained in this system
must submit a written request containing the following elements: (1)
Identify the record system; (2) Identify the category and type of
records sought; (3) Indicate the location of the Comptroller of the
Currency office where last employed; (4) Provide at least two items of
secondary identification (date of birth, employee identification
number, dates of employment or similar information).
Access to a record can be requested by writing to the Disclosure
Officer, Communications, 250 E Street, SW, Washington, DC 20219.
Submit requests to the Disclosure Officer at the above address.
[[Page 56693]]
The information in these records was provided by or verified by
the subject of the record, employers and co-workers.
None.
Treasury/Comptroller .310
Financial System--Treasury/Comptroller.
Office of the Comptroller of the Currency and Financial Management
Division, 250 E Street, SW, Washington, DC 20219. Components of this
system are geographically dispersed throughout six (6) district offices
as well as Washington, DC. (See addresses listed in appendix of OCC
District Offices.)
Present and past employees of the Office of the Comptroller of the
Currency.
This system contains payroll and disbursement type records
including: Travel records, debt information, and information about
employees. The types of records found within this system are: Award,
allowance, salary, fund advancement justification and disbursement
records; personnel information; leave information; payroll deductions
for taxes, life and health insurance, financial institutions,
retirement funds including the Federal Employees Retirement System and
the Civil Service Retirement System, Thrift Savings Plan, and
charitable groups.
General authority -- 12 U.S.C. 1, 5 U.S.C. 301. Individuals
wishing to obtain more detailed information should write to the Deputy
Comptroller, Communications, Office of the Comptroller of the Currency,
Communications, 250 E Street, SW, Washington, DC 20219.
These records and information in these records may be used to: (1)
Furnish the Internal Revenue Service and other jurisdictions which are
authorized to tax the employee's compensation, with wage and tax
information in accordance with a withholding agreement with the
Department of the Treasury pursuant to 5 U.S.C. 5516, 5517, and 5520;
(2) furnish the Office of Personnel Management (OPM) with data to
update the Central Personnel Data File and other statistical reports as
required for the purpose of complying with regulations issued by OPM;
(3) furnish another Federal agency information to effect interagency
salary offset; to furnish another Federal agency information to effect
interagency administrative offset, except that addresses obtained from
the Internal Revenue Service shall not be disclosed to other
governmental agencies; and to furnish a debt collection agency
information for debt collection services. Current mailing addresses
acquired from the Internal Revenue Service are routinely released to
debt collection agencies for collection services; (4) the General
Services Administration (GSA) for the purpose of complying with
regulations issued by GSA; (5) the General Accounting Office for the
purpose of conducting audits; (6) entities designated to receive
payroll deductions; (7) Department of Labor to determine eligibility
for unemployment benefits; (8) disclose information to a court,
magistrate, or administrative tribunal in the course of presenting
evidence, including disclosures to opposing Counsel or witnesses in the
course of civil discovery, litigation or settlement negotiations in
response to a subpoena, or in connection with criminal law proceedings.
Disclosures pursuant to 5 U.S.C. 552(b)(12) and section 3 of the
Debt Collection Act of 1982; Debt information concerning a government
claim against an individual is also furnished in accordance with 5
U.S.C. 552a(b)(12) and section 3 of the Debt Collection Act of 1982
(Pub. L. 97-365), to consumer reporting agencies to encourage repayment
of an overdue debt.
Maintained in file folders, magnetic media including computer
discs and tapes, microfiche, and hard copy printout. Disbursement
records are stored at the Federal Records Center.
Records are retrieved primarily by name (filed alphabetically), or
an assigned identification number (Social Security Number or an
assigned identification number). Secondary identifiers are used to
assure accuracy of data assessed, including date of birth, Social
Security number, or employee identification number.
File folders are stored in lockable cabinets or secure rooms;
access is limited to officials who have a need for the information;
employees are trained to make only authorized disclosures. Computer
records are accessed only by authorized personnel.
Payroll and disbursement records are retained by the Office in
accordance with the Comptroller of the Currency's Comprehensive Records
Disposition Schedule. Individuals wishing further information should
write to the Disclosure Officer, Communications, 250 E Street, SW,
Washington, DC 20219.
Deputy Comptroller for Systems and Financial Management, 250 E
Street, SW, Washington, DC 20219.
Individuals wishing to be notified if they are named in this
system or gain access to records maintained in this system or contest
any records contained in the system must submit a request containing
the following elements: (1) Identify the record system; (2) Identify
the category and type of records sought; (3) Indicate the location of
the Comptroller of the Currency office where last employed; and (4)
Provide at least two items of secondary identification (date of birth,
employee identification number, dates of employment or similar
information).
Submit request to the Disclosure Officer, Communications, 250 E
Street, SW, Washington, DC 20219.
See Record access procedures above.
The information contained in these records is provided by or
verified by the subject of the record and OCC employees.
None.
Treasury/Comptroller .320
General Personnel System--Treasury/Comptroller.
Office of the Comptroller of the Currency, 250 E Street, SW,
[[Page 56694]]
Washington, DC 20219. Components of this system are geographically
dispersed throughout six (6) District Offices. (See addresses listed in
Appendix of OCC District Offices.)
Present and past employees and applicants for employment.
Employment related biographical and performance material. This
category of records is typically identified as personnel type records
and contains data about employees and applicants. The records found
within this category include: Performance evaluations; educational,
employment, medical and military histories; employee benefit
applications, forms and claims; travel and relocation claims; locator
and emergency contact information; dependent and beneficiary
information; physical and qualification descriptions; financial
interest statements; personal and family assets, liabilities and other
interests in business enterprises.
General authority -- 12 U.S.C. 1 and 9, 5 U.S.C. 301. Specific
authority is derived from a number of laws, regulations and Executive
Orders. Individuals wishing to obtain more detailed information should
write to the Deputy Controller, Communications, 250 E Street, SW,
Washington, DC 20219.
A record in this system may be disclosed as a routine use to: (1)
The Office of Personnel Management (OPM) for the purpose of complying
with regulations issued by the OPM; (2) the Veterans Administration
(VA) for the purposes of determining veterans preference and pension
benefits; (3) the Equal Employment Opportunity Commission for the
purpose of providing minority information and case reports; (4) respond
to requests from labor organizations for names of employees and
identifying information; (5) the Department of Labor for the purpose of
reporting health and safety matters; (6) the General Services
Administration (GSA) for the purpose of complying with regulations
issued by GSA; (7) the Merit Systems Protection Board for the purpose
of providing necessary information relating to employee appeals; (8)
the Department of Labor to provide information relative to Unemployment
Compensation and OWCP claims.
File folders, magnetic media, microfiche, printouts, lists and
forms.
Records are retrieved primarily by name (filed alphabetically by
category of records). Secondary identifiers are used to assure accuracy
(date of birth, Social Security number or employee identification
number).
Records are stored in lockable cabinets, electronic data bases
requiring security access codes or secure rooms; access is limited to
officials who have a need for the information; employees are trained to
make only authorized disclosures. Records maintained with vendors are
under contractual obligation to maintain confidentiality.
Most personnel-type records are retained for thirty (30) days
after termination, at which time they are transferred to the Federal
Records Center or destroyed. Some records are retained for varying
periods of time in accordance with Federal Personnel Manual
Regulations. Individuals wishing more detailed information should write
to the Disclosure Officer, Communications, 250 E Street, SW,
Washington, DC 20219.
Deputy Comptroller for Resource Management, 250 E Street, SW,
Washington, DC 20219.
Individuals wishing to be notified if they are named in this
system of records, or gain access to records maintained in this system
must submit a written request containing the following elements: (1)
Identify the record system; (2) Identify the category and type of
records sought; (3) Indicate the location of the Comptroller of the
Currency office where last employed or where application for employment
was made; (4) Provide at least two secondary identifications (date of
birth, employee identification number, dates of employment or similar
information).
Disclosure Officer, Communications, 250 E Street, SW, Washington,
DC 20219.
Submit requests to the Disclosure Officer, Communications, 250 E
Street, SW, Washington, DC 20219.
The information contained in these records was provided or
verified by the subject of the record, employers, co-workers, friends,
neighbors and associates listed as references, financial and
educational institutions.
None.
Treasury/Comptroller .500
Chief Counsel's Management Information System--Treasury/
Comptroller.
Office of the Comptroller of the Currency, 250 E Street, SW,
Washington, DC 20219. Physical components of this system are also
located in district offices.
Individuals who have requested information or action from the Law
Department of the Comptroller of the Currency and individuals
referenced in documents received by the Law Department in the course of
the Agency's bank supervisory functions.
The Chief Counsel's Management Information System consists of one
database: The Work Assignment and Control System; Information contained
in the system includes, inter alia, name of the author and/or
correspondent and the organization to which the author/correspondent
belongs, the date of the correspondence, the city, state and region in
which correspondent organization is located, the work type, the bank
involved, and the subject.
12 U.S.C. 1, 12 U.S.C. 9, 12 U.S.C. 481, 5 U.S.C. 301.
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or
[[Page 56695]]
other pertinent information, which has requested information relevant
to or necessary to the requesting agency's or the bureau's hiring or
retention of an individual, or issuance of a security clearance,
license, contract, grant, or other benefit; (3) disclose information to
a court, magistrate, or administrative tribunal in the course of
presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations, in response to a subpoena, or in connection with criminal
law proceedings; (4) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
These records are maintained in computer data banks, computer
tapes and printouts, and in file cabinets.
All records are indexed on a variety of data fields including
correspondent name and location, bank name and location, subject,
statutory provisions, and date.
All records are indexed through computer indices. Only employees
within the Law Department with proper user identification and passwords
have access to the computer banks. Employees are trained to make
authorized disclosures only to those individuals who have a need for
the information. Passwords and user IDs are changed frequently.
Records are generally maintained in the on-line data bank until it
is determined that on-line access is not required. Thereafter the
records are archived in an off-line storage system. Records in file
cabinets are maintained indefinitely.
Executive Assistant to the Chief Counsel, Comptroller of the
Currency, 250 E Street, SW, Washington, DC 20219.
Individuals wishing to be notified if they are named in the system
or to gain access to records maintained in the system must submit a
request containing the following elements: (1) Identity of the record
system; (2) identity of the category type of records sought; (3) the
location of the Comptroller of the Currency Office where the record
might be stored; and (4) at least two items of secondary identification
(date of birth, employee identification number, dates of employment, or
similar information). Submit request to the Disclosure Officer,
Communications, 250 E Street, SW., Washington, DC 20219. The system
contains records which are exempt under 5 U.S.C. 552a (j)(2) or 552a
(k)(2).
Same as Notification.
Same as Notification. Requests should be submitted to the
Disclosure Officer, Communications, Comptroller of the Currency, 250 E
Street, SW, Washington, DC 20219.
Materials received by the Law Department from various sources
including, inter alia, persons involved in sending inquiries to the Law
Department and documents received by the Law Department in the course
of the Agency's bank supervisory function. The Chief Counsel's
Management Information System contains certain records which have been
designated as exempt from certain provisions of the Privacy Act.
This system is exempt from 5 U.S.C. 552a (c)(3)(4),
(d)(1)(2)(3)(4), (e)(1)(2)(3)(4), (G), (H), and (I), (e)(5) and (8),
(f) and (g) of the Privacy Act pursuant to 5 U.S.C. 552a (j)(2) and
(k)(2).
Appendix A - Addresses of OCC District Offices:
Northeastern District: New York District Office, 1114 Avenue of the
Americas, Suite 3900, New York, NY 10036. (212) 819-9860.
Southeastern District: Atlanta District Office, Marquis One Tower,
Suite 600, 245 Peachtree Center Ave., N.E., Atlanta, GA 30303. (404)
659-8855.
Central District: Chicago District Office, One Financial Place,
Suite 2700, 44 South LaSalle Street, Chicago, IL 60605. (312) 663-
8000.
Midwestern District: Kansas City District Office, 2345 Grand Avenue,
Suite 700, Kansas City, MO 64108-2683. (816) 556-1800.
Southwestern District: Dallas District Office, 1600 Lincoln Plaza,
500 North Akard, Dallas, TX. (214) 720-0656.
Western District: San Francisco District Office, 50 Fremont Street,
Suite 3900, San Francisco, CA 94105. (415) 545-5900.
BILLING CODE: 4810-33-F
