80 FR 31095 - Privacy Act of 1974, as Amended

DEPARTMENT OF THE TREASURY
Office of the Comptroller of the Currency

Federal Register Volume 80, Issue 104 (June 1, 2015)

Page Range		31095-31096
FR Document		2015-13165

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 (OCC) gives notice of a proposed new system of records entitled ``Treasury/CC .800--Office of Inspector General Investigations System.''

Federal Register, Volume 80 Issue 104 (Monday, June 1, 2015)

[Federal Register Volume 80, Number 104 (Monday, June 1, 2015)]
[Notices]
[Pages 31095-31096]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-13165]


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DEPARTMENT OF THE TREASURY

Office of the Comptroller of the Currency


Privacy Act of 1974, as Amended

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

ACTION: Notice of proposed new Privacy Act system 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 (OCC) gives notice of a proposed new system of records 
entitled ``Treasury/CC .800--Office of Inspector General Investigations 
System.''

DATES: Comments must be received no later than July 1, 2015. This new 
system of records will be effective July 6, 2015 unless the OCC 
receives comments that would result in a contrary determination.

ADDRESSES: Because paper mail in the Washington, DC area and at the OCC 
is subject to delay, commenters are encouraged to submit comments by 
email, if possible. Please use the title ``Notice of Proposed New 
Privacy Act System of Records'' to facilitate the organization and 
distribution of the comments. You may submit comments by any of the 
following methods:
     Email: regs.comments@occ.treas.gov.
     Mail: Legislative and Regulatory Activities Division, 
Office of the Comptroller of the Currency, 400 7th Street SW., Suite 
3E-218, Mail Stop 9W-11, Washington, DC 20219.
     Hand Delivery/Courier: 400 7th Street SW., Suite 3E-218, 
Mail Stop 9W-11, Washington, DC 20219.
     Fax: (571) 465-4326.
    Instructions: You must include ``OCC'' as the agency name and the 
docket number in your comment. In general, OCC will enter all comments 
received into the docket without change, including any business or 
personal information that you provide such as name and address 
information, email addresses, or phone numbers. Comments received, 
including attachments and other supporting materials, are part of the 
public record and subject to public disclosure. Do not enclose any 
information in your comment or supporting materials that you consider 
confidential or inappropriate for public disclosure.
    You may review comments and other related materials that pertain to 
this notice by appearing personally to inspect and photocopy comments 
at the OCC, 400 7th Street SW., Washington, DC. For security reasons, 
the OCC requires that visitors make an appointment to inspect comments. 
You may do so by calling (202) 649-6700. Upon arrival, visitors will be 
required to present valid government-issued photo identification and to 
submit to security screening in order to inspect and photocopy 
comments.

FOR FURTHER INFORMATION CONTACT: Kristin Merritt, Special Counsel, 
Administrative and Internal Law, Office of the Comptroller of the 
Currency, 400 7th Street SW., Washington, DC 20219. Phone: (202) 649-
5585 (not a toll-free number).

SUPPLEMENTARY INFORMATION: By this notice, the OCC announces its intent 
to maintain a new Privacy Act system of records in its Office of 
Enterprise Governance and the Ombudsman.
    A proposed rule exempting the proposed system of records from 
certain provisions of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2) 
will be published separately in the Federal Register.
    As required by 5 U.S.C. 552a(r), a report of a new system of 
records has been provided to the Committee on Oversight and Government 
Reform of the House of Representatives, the Committee on Homeland 
Security and Governmental Affairs of the Senate, and the Office of 
Management and Budget.
    The system of records entitled ``Treasury/CC .800--Office of 
Inspector General Investigations System'' is published in its entirety 
below.

Helen Goff Foster,
Deputy Assistant Secretary for Privacy, Transparency, and Records.
Treasury/CC .800

System name:
    Office of Inspector General Investigations System

System location:
    OCC Headquarters, Office of Enterprise Governance and the 
Ombudsman, 400 7th Street SW., Washington, DC.

Categories of individuals covered by the system:
    (1) Current and former OCC employees who are being investigated by 
the Treasury Office of the Inspector General;
    (2) Current and former OCC contractors who are being investigated 
by the Treasury Office of the Inspector General (OIG); and
    (3) Current and former directors, officers, employees, 
shareholders, and independent contractors of financial institutions who 
are being investigated by the OIG.

Categories of records in the system:
    Referrals regarding potential or alleged violations of laws, rules 
or regulations; names of targets, complainants, managers, Enterprise 
Governance staff and other government employees who may be named in 
referral or investigative documents; documents regarding resolutions 
and remedial action in connection with referrals; other supporting 
documentation, including bank-related information, investigative 
documentation, and correspondence related to investigations.

Authority for maintenance of the system:
    5 U.S.C. App. 3; 12 U.S.C. 1, as amended; 31 CFR 0.207.

Purposes(s):
    This system of records is used by the OCC to monitor the OIG's 
referrals and investigations related to the OCC.

Routine uses of records maintained in the system including categories 
of users and the purposes of such uses:
    Records 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 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 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;
    (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) A Federal, State, local, or tribal agency, or other public 
authority, which has requested information relevant or necessary to 
hiring or retaining an

[[Page 31096]]

employee, or issuing or continuing a contract, security clearance, 
license, grant, or other benefit;
    (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;
    (9) Third parties when mandated or authorized by statute; or
    (10) Appropriate agencies, entities, and persons when: (a) The OCC 
suspects or has confirmed that the security or confidentiality of 
information in the system of records has been compromised; (b) the OCC 
has determined that as a result of the suspected or confirmed 
compromise there is a risk of harm to economic or property interests, 
identity theft or fraud, or harm to the security or integrity of this 
system or other systems or programs (whether maintained by the OCC or 
another agency or entity) that rely upon the compromised information; 
and (c) the disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with the OCC's efforts to 
respond to the suspected or confirmed compromise and prevent, minimize, 
or remedy such harm.

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

Retrievability:
    Records may be retrieved by name; social security number; OIG 
tracking number; the date a referral is received, transmitted or 
closed; another personal identifier of person about whom a referral is 
made; or by OCC employee name or identification number for the employee 
assigned to a particular matter.

Safeguards:
    Paper records are maintained in locked file cabinets with access 
limited to those personnel whose official duties require access. Access 
to electronic systems is restricted to authorized personnel who are 
issued non-transferrable access codes and passwords.

Retention and disposal:
    Records will be retained for 7 years, and the office of Enterprise 
Governance and the Ombudsman will destroy records older than 7 years in 
accordance with OCC Records Retention Schedule item 1.2c (7-year 
project files), and continue to do so annually.

System manager(s) and address:
    Senior Deputy Comptroller for Enterprise Governance and the 
Ombudsman, 400 7th Street SW., Washington, DC 20219. Phone: (202) 649-
5530 (not a toll-free number).

Notification procedure:
    This system of records contains records that are exempt from the 
notification, access and contest requirements pursuant to 5 U.S.C. 
552a(k)(2). Individuals seeking notification and access to any non-
exempt record contained in this system of records, or seeking to 
contest its content, may inquire in writing in accordance with 
instructions appearing at 31 CFR, Part 1, subpart C, and appendix J to 
subpart C. Written inquiries should be addressed to Disclosure Officer, 
Communications Division, Office of the Comptroller of the Currency, 400 
7th Street SW., Washington, DC 20219.
    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 a signature.
    Alternatively, identity may be established by providing a notarized 
statement, swearing or affirming to an individual's identify, 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 records procedures:
    See ``Notification Procedure'' above.

Record source categories:
    Treasury and other Federal agency records, including referrals from 
the OCC to the OIG and referrals received from the OIG.

Exemptions claimed for the system:
    Some of the records in this system are exempt from sections 5 
U.S.C. 552a(c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I), and, (f) of the 
Privacy Act pursuant to 5 U.S.C. 552a(k)(2). See 31 CFR 1.36.

[FR Doc. 2015-13165 Filed 5-29-15; 8:45 am]
BILLING CODE 4810-33-P

Federal Register / Vol. 80, No. 104 / Monday, June 1, 2015 / Notices 31095

Decided: May 27, 2015. and subject to public disclosure. Do not by the Treasury Office of the Inspector
By the Board, Rachel D. Campbell, enclose any information in your General;
Director, Office of Proceedings. comment or supporting materials that (2) Current and former OCC
Brendetta S. Jones, you consider confidential or contractors who are being investigated
Clearance Clerk. inappropriate for public disclosure. by the Treasury Office of the Inspector
[FR Doc. 2015–13096 Filed 5–29–15; 8:45 am] You may review comments and other General (OIG); and
BILLING CODE 4915–01–P related materials that pertain to this (3) Current and former directors,
notice by appearing personally to officers, employees, shareholders, and
inspect and photocopy comments at the independent contractors of financial
OCC, 400 7th Street SW., Washington, institutions who are being investigated
DEPARTMENT OF THE TREASURY by the OIG.
DC. For security reasons, the OCC
Office of the Comptroller of the requires that visitors make an CATEGORIES OF RECORDS IN THE SYSTEM:
Currency appointment to inspect comments. You
Referrals regarding potential or
may do so by calling (202) 649–6700.
alleged violations of laws, rules or
Privacy Act of 1974, as Amended Upon arrival, visitors will be required to
regulations; names of targets,
present valid government-issued photo
AGENCY: Office of the Comptroller of the complainants, managers, Enterprise
identification and to submit to security
Currency, Treasury. Governance staff and other government
screening in order to inspect and
ACTION: Notice of proposed new Privacy employees who may be named in
photocopy comments.
Act system of records. referral or investigative documents;
FOR FURTHER INFORMATION CONTACT: documents regarding resolutions and
SUMMARY: In accordance with the Kristin Merritt, Special Counsel, remedial action in connection with
requirements of the Privacy Act of 1974, Administrative and Internal Law, Office referrals; other supporting
as amended, 5 U.S.C. 552a, the Office of of the Comptroller of the Currency, 400 documentation, including bank-related
the Comptroller of the Currency (OCC) 7th Street SW., Washington, DC 20219. information, investigative
gives notice of a proposed new system Phone: (202) 649–5585 (not a toll-free documentation, and correspondence
of records entitled ‘‘Treasury/CC .800— number). related to investigations.
Office of Inspector General SUPPLEMENTARY INFORMATION: By this AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Investigations System.’’ notice, the OCC announces its intent to
maintain a new Privacy Act system of 5 U.S.C. App. 3; 12 U.S.C. 1, as
DATES: Comments must be received no
records in its Office of Enterprise amended; 31 CFR 0.207.
later than July 1, 2015. This new system
of records will be effective July 6, 2015 Governance and the Ombudsman. PURPOSES(S):
unless the OCC receives comments that A proposed rule exempting the This system of records is used by the
would result in a contrary proposed system of records from certain OCC to monitor the OIG’s referrals and
determination. provisions of the Privacy Act pursuant investigations related to the OCC.
to 5 U.S.C. 552a(k)(2) will be published
ADDRESSES: Because paper mail in the
separately in the Federal Register. ROUTINE USES OF RECORDS MAINTAINED IN THE
Washington, DC area and at the OCC is SYSTEM INCLUDING CATEGORIES OF USERS AND
As required by 5 U.S.C. 552a(r), a
subject to delay, commenters are THE PURPOSES OF SUCH USES:
report of a new system of records has
encouraged to submit comments by Records in this system may be
been provided to the Committee on
email, if possible. Please use the title disclosed to:
Oversight and Government Reform of
‘‘Notice of Proposed New Privacy Act (1) An OCC-regulated entity when the
the House of Representatives, the
System of Records’’ to facilitate the information is relevant to the entity’s
Committee on Homeland Security and
organization and distribution of the operations;
Governmental Affairs of the Senate, and
comments. You may submit comments (2) Third parties to the extent
the Office of Management and Budget.
by any of the following methods: necessary to obtain information that is
The system of records entitled
• Email: regs.comments@ relevant to an investigation;
‘‘Treasury/CC .800—Office of Inspector
occ.treas.gov. (3) Appropriate governmental or self-
General Investigations System’’ is
• Mail: Legislative and Regulatory regulatory organizations when the OCC
published in its entirety below.
Activities Division, Office of the determines that the records are relevant
Comptroller of the Currency, 400 7th Helen Goff Foster, and necessary to the governmental or
Street SW., Suite 3E–218, Mail Stop Deputy Assistant Secretary for Privacy, self-regulatory organization’s regulation
9W–11, Washington, DC 20219. Transparency, and Records. and supervision of financial service
• Hand Delivery/Courier: 400 7th providers, including the review of the
Street SW., Suite 3E–218, Mail Stop Treasury/CC .800
qualifications and fitness of individuals
9W–11, Washington, DC 20219. SYSTEM NAME: who are or propose to become
• Fax: (571) 465–4326. responsible for the business operations
Office of Inspector General
Instructions: You must include of such providers;
Investigations System
‘‘OCC’’ as the agency name and the (4) An appropriate governmental,
docket number in your comment. In SYSTEM LOCATION: international, tribal, self-regulatory, or
general, OCC will enter all comments OCC Headquarters, Office of professional organization if the
received into the docket without Enterprise Governance and the information is relevant to a known or
Lhorne on DSK2VPTVN1PROD with NOTICES

change, including any business or Ombudsman, 400 7th Street SW., suspected violation of a law or licensing
personal information that you provide Washington, DC. standard within that organization’s
such as name and address information, jurisdiction;
email addresses, or phone numbers. CATEGORIES OF INDIVIDUALS COVERED BY THE (5) A Federal, State, local, or tribal
Comments received, including SYSTEM: agency, or other public authority, which
attachments and other supporting (1) Current and former OCC has requested information relevant or
materials, are part of the public record employees who are being investigated necessary to hiring or retaining an

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Document Modified: 2015-12-15 15:18:29

Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Notices
Action		Notice of proposed new Privacy Act system of records.
Dates		Comments must be received no later than July 1, 2015. This new system of records will be effective July 6, 2015 unless the OCC receives comments that would result in a contrary determination.
Contact		Kristin Merritt, Special Counsel, Administrative and Internal Law, Office of the Comptroller of the Currency, 400 7th Street SW., Washington, DC 20219. Phone: (202) 649- 5585 (not a toll-free number).
FR Citation		80 FR 31095

80 FR 31095 - Privacy Act of 1974, as Amended

DEPARTMENT OF THE TREASURYOffice of the Comptroller of the Currency

Federal Register Volume 80, Issue 104 (June 1, 2015)

DEPARTMENT OF THE TREASURY
Office of the Comptroller of the Currency