Privacy Act of 1974 as Amended; Systems of Records

SUMMARY: The Office of Thrift Supervision (OTS) is publishing this

notice to notify all interested parties of its complete systems of

records in accordance with the Privacy Act of 1974, 5 U.S.C. 552a

(Privacy Act).

EFFECTIVE DATE: Comments must be received no later than April 13, 1995.

The systems will be effective May 15, 1995, unless the OTS receives

comments on the systems which would result in a contrary determination.

ADDRESSES: Send comments to: Director, Information Services Division,

Records and Management Information, Office of Thrift Supervision, 1700

G Street, NW., Washington, DC, 20552, Attention Docket No. 94-260.

These submissions may be hand delivered to 1700 G Street, NW., from 9

a.m. to 5 p.m. on business days; they may be sent by facsimile

transmission to FAX number (202) 906-7755. Submissions must be received

by 5 p.m. on the date that they are due in order to be considered by

the OTS. Comments will be available for inspection at 1700 G Street,

NW., from 1 p.m. until 4 p.m. on business days. Visitors will be

escorted to and from the Public Reading Room at established intervals.

FOR FURTHER INFORMATION CONTACT:

Mary Ann Reinhart, Chief, Disclosure Branch, Office of Thrift

Supervision, 1700 G Street, NW, Washington, DC 20552, Telephone No.

(202) 906-5896.

SUPPLEMENTARY INFORMATION: The Federal Home Loan Bank Board (FHLBB),

the OTS's predecessor in interest, for purposes of the Privacy Act, was

abolished by the Financial Institutions Reform, Recovery, and

Enforcement Act of 1989 (FIRREA), Pub. L. 101-73, 103 Stat. 183,

enacted August 9, 1989. The Privacy Act regulations formerly appearing

at 12 CFR part 505a were substantially superseded because the OTS, as a

component part of the Treasury Department, is covered by the Privacy

Act regulations appearing at 31 CFR part 1, subpart C. At 54 FR 49411,

Nov. 30, 1989, chapter V was revised. At 55 FR 43434, October 29, 1990,

the OTS adopted the systems of records of the FHLBB. 12 CFR part 503

was published as an interim measure to ensure that all necessary and

appropriate information was available to the public concerning OTS's

Privacy Act provisions. A complete list of the systems of records is

attached.

Dated: March 6, 1995.

Alex Rodriguez,

Deputy Assistant Secretary (Administration).

Table of Contents

Treasury/OTS .001 Confidential Individual Information System

Treasury/OTS .002 Correspondence/Correspondence Tracking

Treasury/OTS .003 Consumer Complaint

Treasury/OTS .004 Criminal Referral Database

Treasury/OTS .005 Employee Counseling Service

Treasury/OTS .006 Employee Locator File

Treasury/OTS .007 Employee Parking

Treasury/OTS .008 Employee Training Database

Treasury/OTS .009 Health Files

Treasury/OTS .010 Inquiry/Request Control

Treasury/OTS .011 Positions/Budget

Treasury/OTS .012 Payroll/Personnel System & Payroll Records

Treasury/OTS .013 Personnel Security and Suitability Program

Treasury/OTS .001

Confidential Individual Information System.

Office of Thrift Supervision, Department of the Treasury, 1700 G

Street, NW., Washington, DC 20552.

See Appendix A for appropriate local address of OTS Regional

Offices.

These records contain certain information concerning individuals

who have filed notices of intention to acquire control of a savings

association; controlling persons of companies that have applications to

acquire control of a savings association; organizers of savings

associations who have sought Federal Savings and Loan Insurance

Corporation or Savings Association Insurance Fund insurance of accounts

or federal charters; individuals who have been the subject of

administrative enforcement actions or other civil actions by any agency

with authority to supervise or regulate federally insured depository

institutions; those who have been named in criminal referrals by such

agencies or by federally insured depository institutions or who have

been referred to professional societies, licensing authorities or

ethics committees for disciplinary purposes; individuals identified as

the subjects of criminal investigations by the Department of Justice or

state law enforcement authorities in connection with the operation of

Federally insured depository institutions; individuals denied

employment as senior executive officers with or member of a board of

directors of a savings association or savings and loan holding company

pursuant to 12 U.S.C. section 1831i; and persons engaging in

significant business transactions with savings associations. This

system also contains the identity of the custodian of any documents

describing the specific event causing entry into the system.

These records identify the individual involved, and his or her

relationship to the savings association, service corporation or savings

and loan holding company; identify and describe the event causing entry

of information into the system (e.g., a change in control filing,

enforcement action, or criminal referral) and any regulatory, judicial,

or supervisory action taken as a result; and the location and nature of

any additional records concerning the specific event.

12 U.S.C. 1464.

This system is the primary OTS database to record information on

individuals subject to criminal referrals, enforcement actions,

liability suits, or investigations on unusual transactions; and on

application activity to acquire control, obtain a charter, elect an

officer of a thrift, and several other application types. It also keeps

track of the names of criminal referrals and individual defendants in

directors' and officers' liability lawsuits brought by Federal banking

agencies.

Informaiton in these records may be used to:

(1) Provide the Department of Justice with periodic reports on the

number, place, and individual identify of outstanding potential

criminal violations of the law that have been referred to the

Department;

(2) 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;

(3) provide information to third parties during the course of an

investigation to the extent necessary to [[Page 13771]] obtain

information pertinent to the investigation;

(4) provide information to receivers or conservators of savings

associations or formerly insured savings associations;

(5) when considered appropriate, provide information to a bar

assocaiton, the American Institute of Certified Public Accountants, or

other professional organizations performing similar functions, for

possible disciplinary action; and

(6) provide information to any person with whom the OTS contracts

to reproduce, by typing, photocopying or other means, any record within

this system for use by the OTS and its staff in connection with their

official duties or to any person who is utilized by the OTS to perform

clerical or stenographic functions relating to the official business of

the OTS.

Records are maintained in paper files and on magnetic media.

Records are retrievable by the name of the individual and/or by the

individual's relationship to the thrift or thrift holding company

involved.

Paper records are maintained in locked file cabinets with access

limited to those persons who have need for information from the system

in the performance of their duties. Access to computerized records is

limited, through the use of a password, to those whose official duties

require access.

Records are retained for fifteen years and then destroyed.

National Administrator, Corporate Activities Division. See ``System

Location'' for address.

This system is exempt from notification and record-access

requirements and requirements that an individual be permitted to

contest its contents under 5 U.S.C. 552a (j)(2) and (k)(2) as relating

to investigatory material compiled for law enforcement purposes.

See ``Notification Procedure'' above.

See ``Notification Procedure'' above.

This system is exempted under 5 U.S.C. 552a (j)(2) and (k)(2) from

the requirements that the sources of records used in the system be

published, because it contains investigatory material compiled for law

enforcement purposes.

This system is exempt from 5 U.S.C. 552a (c)(3), (d), (e)(1),

(e)(4) (G), (H) and (I), and (f) of the Privacy Act pursuant to 5

U.S.C. 552a (j)(2) and (k)(2).

Treasury/OTS .002

Correspondence/Correspondence Tracing.

Office of Thrift Supervision, Department of the Treasury, 1700 G

Street, NW., Washington, DC 20552.

White House and Executive Office of the President officials,

Members of Congress, Treasury Department officials, the general public,

and businesses.

Incoming correspondence addressed to the Director of OTS; letters

from members of Congress transmitting letters from constituents or

making inquiries; OTS responses; OTS memoranda and notes used to

prepare responses; and information concerning internal office

assignments, processing and response to the correspondence.

5 U.S.C. 301.

To maintain written records of correspondence addressed to the

Director of OTS and Congressional correspondence; to track the progress

of the response; to document the completion of the response to the

incoming correspondence.

(1) Disclosures may be made to a Congressional office from the

records of an individual in response to an inquiry made at the request

of the individual to whom the record pertains;

(2) Information may be disclosed to the appropriate governmental

agency charged with the responsibility of administering law or

investigating or prosecuting violations of law or charged with

enforcing or implementing a statute, rule, regulation, order or

license.

Records are maintained in magnetic media and in paper files.

Records are maintained by name of individual; assignment control

number.

Computerized records and paper records are retained for two (2)

years after the Director's or member of Congress' term, then

transferred directly to the National Archives.

Director, Congressional Affairs. See ``System Location'' for

address.

Individuals wishing to be notified if they are named in this system

or gain access to records maintained in this system must submit a

request containing the following elements:

(1) Identify the record system;

(2) identify the category and type of records sought; and

(3) provide at least two items of secondary identification (date of

birth, employee identification number, dates of employment or similar

information). Address inquiries to Chief, Disclosure Branch, Office of

Thrift Supervision, 1700 G Street, NW., Washington, DC 20552.

See ``Notification Procedure'' above.

See ``Notification Procedure'' above.

Incoming correspondence and Office of Thrift Supervision responses.

None:

Treasury/OTS .003

Consumer Complaint System.

Office of Thrift Supervision, Department of the Treasury, 1700 G

Street, NW., Washington, DC., 20552. [[Page 13772]]

See Appendix A for appropriate local address of OTS Regional

Offices.

Persons who submit inquiries of complaints concerning federally

insured depository institutions, service corporations, and

subsidiaries.

Consumer's name, savings association's docket number, case number

as designated by a Consumer Complaint Case number. Within these

categories of records, the following information may be obtained:

Consumer's address, source of inquiry or complaint, nature of the

inquiry or complaint, nature of the inquiry or complaint designated by

instrument and complaint code, information on the investigation and

resolution of inquiries and complaints.

OTS uses this system to track individual complaints and to provide

additional information about each institution's compliance with

regulatory requirements.

(1) Information may be disclosed to officials of regulated savings

associations in connection with investigation and resolution of

complaints and inquiries;

(2) relevant information may be made available to appropriate law

enforcement agencies or authorities in connection with investigation

and/or prosecution of alleged civil, criminal and administrative

violations;

(3) disclosures may be made to a Congressional office in response

to an inquiry made at the request of the individual to whom the record

pertains;

(4) disclosures may be made to other Federal and nonfederal

governmental supervisory or regulatory authorities when the subject

matter is within such other agency's jurisdiction.

Records are maintained in paper files and on magnetic media.

By name of the individual, complaint case number, savings

association name, docket number, district complaint code, instrument

code, source code or by some combination thereof.

Paper records are maintained in locked file cabinets with access

limited to those personnel whose official duties require access. Access

to computerized records is limited, through use of system passwords, to

those whose official duties require access.

Active files are maintained until the case is closed. Closed files

are retained for six (6) years then destroyed.

Manager, Consumer Programs, See ``System Location'' for address.

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;

(3) provide at least two items of secondary identification (date of

birth, employee identification number, dates of employment or similar

information). Address inquiries to Chief, Disclosure Branch, Office of

Thrift Supervision, 1700 G Street, NW., Washington, DC 20552.

See ``Notification Procedure'' above.

See ``Notification Procedure'' above.

Inquirer or complainant (or his or her representative which may

include a member of Congress or an attorney); savings association

officials and employees; compliance/safety and soundness examiner(s);

and other supervisory records.

None.

Treasury/OTS .004

Criminal Referral Database.

Office of Thrift Supervision, Department of the Treasury, 1700 G

Street, NW., Washington, DC 20552.

See Appendix A for appropriate local address of OTS Regional

Offices.

Individuals suspected of having committed crime(s) and individuals

indicated or convicted of crime(s) against or involving savings

associations.

Criminal Referrals.

12 U.S.C. 1464; 44 U.S.C. 3101.

This system lists all matters referred to the Department of Justice

for possible criminal proceedings.

Information may be disclosed to the appropriate governmental agency

charged with the responsibility of administering law or investigating

or prosecuting violations of law or charged with enforcing or

implementing a statute, rule, regulation, order or license.

Records are maintained in paper files and on magnetic media.

Records are filed by name of individual, savings institution or

referral control number.

Paper records are maintained in locked file cabinets. Access is

limited to personnel whose official duties require such access and who

have a need to know the information in a record for a job-related

purpose. Access to computerized records is limited, through use of a

password, to those whose official duties require access.

Records are retained and disposed of in accordance with appropriate

National Archives and Records Administration General Records Schedules.

Chief Counsel, Office of Enforcement. See ``System Location'' for

address.

This system is exempt from notification and record-access

requirements and requirements that an individual be permitted to

contest its contents under 5 U.S.C. 552a(j)(2) and (k)(2) as relating

to investigatory material complied for law enforcement purposes.

See ``Notification Procedure'' above.

See ``Notification procedure'' above. [[Page 13773]]

Criminal referral forms compiled for law enforcement purposes.

This system is exempt from 5 U.S.C. 552a(c)(3), (c)(4), (d),

(e)(1), (e)(4) (G), (H) and (I), and (f) of the Privacy Act pursuant to

5 U.S.C. 552a(j)(2) and (k)(2).

Treasury/OTS .005

Employee Counseling Service.

Office of Thrift Supervision, Department of the Treasury, 1700 G

Street, NW., Washington, DC 20552.

See appendix A for appropriate local address of OTS Regional

Officers.

Employees who seek counseling services.

Counseling records.

5 U.S.C. 301, 44 U.S.C. 3101.

To provide a history and record of the employee counseling

session(s) and to assist the counselor in identifying and resolving

employee problem(s).

The system will have minimal effect on individual privacy because

access is limited to the employee counseling service program counselor.

Under special and emergency circumstances records may be released to

medical personnel, research personnel, and as result of a court order.

Records are maintained in paper files.

Records are retrieved by a number assigned to employee.

Records are maintained in locked file cabinet. Access is limited to

the employee counselor.

Records are retained and disposed of in accordance with the

appropriate National Archives and Records Administration General

Records Schedules.

Director of Human Resources. See ``System Location'' for address.

Individuals wishing to be notified if they are named in this system

or gain access to records maintained in this system must submit a

request containing the following elements:

(1) Identify the record system;

(2) identify the category and type of records sought; and

(3) provide at least two items of secondary identification (date of

birth, employee identification number, dates of employment or similar

information). Address inquiries to Chief, Disclosure Branch, Office of

Thrift Supervision, 1700 G Street, NW., Washington, DC 20552.

See ``Notification Procedure'' above.

See ``Notification Procedure'' above.

Employees and Counselors.

None.

Treasury/OTS .006

Employee Locator File.

Office of Thrift Supervision, Department of the Treasury, 1700 G

Street, NW., Washington, DC 20552.

See Appendix A for appropriate local address of OTS Regional

Offices.

All present employees of the OTS and persons whose employment has

been terminated within the last six months.

Employee's name, present address, telephone number, and the name,

address, and telephone number of another person to notify in case of

emergency.

5 U.S.C. 301, 44 U.S.C. 3101.

This system provides current information on employee's address and

emergency contact person.

(1) Disclosure of information may be made to a Congressional office

in response to an inquiry made at the request of the individual to whom

the record pertains;

(2) Medical personnel in case of an emergency.

Records are maintained in paper files and on magnetic media.

Records are filed by name of individual.

Paper records are maintained in locked file cabinets. Access is

limited to personnel whose official duties require such access and who

have a need to know information in a record for a particular job-

related purpose. Access to computerized records is limited, through use

of a password, to those whose official duties require access.

Records are maintained until the termination of the employee's

employment with OTS. After termination, records are retained for six

months then destroyed.

Director, Human Resources. See ``System Location'' for address.

Individuals wishing to be notified if they are named in this system

or gain access to records maintained in this system must submit a

request containing the following elements:

(1) Identify the record system;

(2) Identify the category and type of records sought; and

(3) Provide at least two items of secondary identification (date of

birth, employee identification number, dates of employment or similar

information). Address inquiries to Chief, Disclosure Branch, Office of

Thrift Supervision, 1700 G Street, NW., Washington, DC 20552.

See ``Notification Procedure'' above.

See ``Notification Procedure'' above.

The individual whose record is being maintained. [[Page 13774]]

None.

Treasury/OTS .007

Employee Parking.

Office of Thrift Supervision, Department of the Treasury, 1700 G

Street, NW., Washington, DC 20552.

All OTS employees (and their corresponding car-pool members) who

apply for agency-controlled parking.

Information is contained in parking applications and computerized

reports and consists of (for each rider): Name, home address, office

phone number, and place of employment (for non-OTS riders). For OTS

employees only: Work hours, supervisor's name, office code, social

security number and years of service.

5 U.S.C. 301, 44 U.S.C. 3101.

To control and maintain parking applications and spaces.

No disclosures are made outside of OTS.

Records are maintained in paper files and on magnetic media.

Records are filed by parking pass number, name of OTS employee and

social security number.

Paper records are maintained in locked file cabinets. Access is

limited to personnel whose official duties require such access and who

have a need to know the information in a record for a job-related

purpose. Access to computerized records is limited, through use of a

password, to those whose official duties require access.

Records are retained and disposed of in accordance with National

Archives and Records Administration General Records Schedules.

Director for Administration. See ``System Location'' for address.

Individuals wishing to be notified if they are named in this system

or gain access to records maintained in this system must submit a

request containing the following elements:

(1) Identify the record system;

(2) Identify the category and type of records sought; and

(3) Provide at least two items of secondary identification (date of

birth, employee identification number, dates of employment or similar

information). Address inquiries to Chief, Disclosure Branch, Office of

Thrift Supervision, 1700 G Street, NW., Washington, DC 20552.

See ``Notification Procedure'' above.

See ``Notification Procedure'' above.

Applications submitted by OTS employees and non-OTS riders.

None.

Treasury/OTS .008

Employee Training Database.

Office of Thrift Supervision, Department of the Treasury, 1700 G

Street, NW., Washington, DC 20552.

All employees of the Office of Thrift Supervision.

Individual employee records are maintained by name, course taken,

social security number, position, division, and manager name.

5 U.S.C. 301 and 44 U.S.C. 3101.

To maintain necessary information on training taken by employees

through outside sources and vendors.

Records are not disclosed outside of OTS.

Records are maintained on magnetic media.

Records are filed by individual name, social security number and

course taken.

Access to computerized records is limited, through use of a

password, to those whose official duties require access.

Records are retained and disposed of in accordance with the

appropriate National Archives and Records Administration General

Records Schedules.

Training Manager, Human Resources Division. See ``System Location''

for address.

Individuals wishing to be notified if they are named in this system

or gain access to records to maintained in this system must submit a

request containing the following elements:

(1) Identify the record system;

(2) Identify the category and type of records sought; and

(3) Provide at least two items of secondary identification (date of

birth, employee identification number, dates of employment or similar

information). Address inquiries to Chief, Disclosure Branch, Office of

Thrift Supervision, 1700 G Street, NW., Washington, DC 20552.

See ``Notification Procedure'' above.

See ``Notification Procedure'' above.

Personnel records and training request forms completed by employee.

None.

Treasury/OTS .009

Health Files.

Office of Thrift Supervision, Department of the Treasury, 1700 G

Street, NW., Washington, DC 20552.

Categories of individuals covered by the system: [[Page 13775]]

Participating employees.

Health Records.

5 U.S.C. 301, 44 U.S.C. 3101.

To maintain records regarding medical care provided to employees of

OTS by the health care unit which is now closed.

No disclosures are made outside of OTS.

Records are maintained in paper files.

Records are maintained by name of individual.

Records re maintained at the Federal Records Center. Only

authorized personnel have access to location.

Records are retained and disposed of in accordance with the

appropriate National Archives and Records Administration General

Records Schedules.

Director, Human Resources. See ``System Location'' for address.

Individuals wishing to be notified if they are named in this system

or gain access to records maintained in this system must submit a

request containing the following elements:

(1) Identify the record system;

(2) Identify the category and type of records sought; and

(3) Provide at least two items of secondary identification (date of

birth, employee identification number, dates of employment or similar

information). Address inquiries to Chief, Disclosure Branch, Office of

Thrift Supervision, 1700 G Street, NW., Washington, DC 20552.

See ``Notification Procedure'' above.

See ``Notification Procedure'' above.

Health unit staff and subject of the record.

None.

Treasury/OTS .010

Inquiry/Request Control System.

Office of Thrift Supervision, Department of the Treasury, 1700 G

Street, NW., Washington, DC 20052.

Persons who make inquiries, requests for records or information

concerning activities of the OTS, regulated financial institutions and

related individuals and organizations; e.g., holding companies, service

corporations, directors of thrifts, advisors or representatives of the

thrift industry and also requests for records under the Freedom of

Information Act and the Privacy Act.

Selected items of information extracted from incoming inquiry, and

records concerning internal office case assignments, processing and

resolution of the inquiry/request.

5 U.S.C. 301.

To internally control work flow and assignments; to track progress

of the inquiry/request; and to provide statistical information for

budgetary, resource allocation, and statutory reporting purposes.

Disclosure of information may be made to a Congressional office in

response to an inquiry made at the request of the individual to whom

the record pertains.

Records are maintained in paper files and magnetic media.

Records are maintained by individual name, case control number,

subject of inquiry, savings and loan association and/or financial

institution, docket number, receipt date, inquiry code, disposition

code, or any combination thereof.

Paper records are maintained in secured offices with access limited

to those personnel whose official duties require access. Access to

computerized records is limited, through use of a password, to those

whose official duties require access.

Records are retained for one (1) year and then destroyed. Freedom

of Information Act and Privacy Act records are retained and disposed of

in accordance with appropriate National Archives and Records

Administration General Records Schedule.

Director, Information Services Division. See ``System Location''

for address.

Individuals wishing to be notified if they are named in this system

or gain access to records maintained in this system must submit a

request containing the following elements:

(1) Identify the record system;

(2) Identify the category and type of records sought; and

(3) Provide at least two items of secondary identification (date of

birth, employee identification number, dates of employment or similar

information). Address inquiries to Chief, Disclosure Branch, Office of

Thrift Supervision, 1700 G Street, NW., Washington, DC 20552.

See ``Notification Procedure'' above.

See ``Notification Procedure'' above.

Incoming inquiry or request (by mail, fax, or telephone), internal

case assignment notations, case control, and close-out forms.

None.

Treasury/OTS .011

Positions/Budget.

Office of Thrift Supervision, Department of the Treasury, 1700 G

Street, NW., Washington, DC 20052.

See Appendix A for appropriate local address of OTS Regional

Offices.

All current employees of the Office of Thrift Supervision.

Individual employee records are kept by office and agency as

follows: Name, [[Page 13776]] title, entered on duty date, service

computation date, occupation series, social security number, grade,

current salary, location of employee, date of last promotion, and

eligibility for promotion. Records are kept for each office (and, where

appropriate, for the agency) on number of vacancies, authorized

position ceilings, and number of employees.

5 U.S.C. 301, 44 U.S.C. 3101.

The system allows the OTS Budget Division the ability to track

positions by office to assure the assigned Full-Time Equivalent

ceilings are not exceeded and remain within the limits set by the

Director of the OTS. The system also provides information to each

office which can be used in developing their calendar year compensation

budgets.

Information may be disclosed to the appropriate governmental agency

charged with the responsibility of administering law or investigating

or prosecuting violations of law or charged with enforcing or

implementing a statute, rule, regulation, order or license.

Records are maintained in paper files and magnetic media.

Records are filed by name of individual.

Paper records are maintained in file folders in secured areas.

Access is limited to personnel whose official duties require such

access and who have a need to know the information in a record for a

particular job-related purpose. Access to computerized records is

limited, through use of a password, to those whose official duties

require access.

Records are being retained and disposed of in accordance with

appropriate National Archives and Records Administration General

Records Schedule.

Director Budget Division, See ``System Location'' for address.

Individuals wishing to be notified if they are named in this system

or gain access to records maintained in this system must submit a

request containing the following elements:

(1) Identify the record system;

(2) Identify the category and type of records sought; and

(3) Provide at least two items of secondary identification (date of

birth, employee identification number, dates of employment or similar

information). Address inquiries to Chief, Disclosure Branch, Office of

Thrift Supervision, 1700 G Street, NW., Washington, DC 20552.

See ``Notification Procedure'' above.

See ``Notification Procedure'' above.

Personnel records.

None.

Treasury/OTS .012

Payroll/Personnel System & Payroll Records.

Office of Thrift Supervision, Department of the Treasury, 1700 G

Street NW., Washington, DC 20552.

See Appendix A for appropriate local address of OTS Regional

Offices.

All current Office of Thrift Supervision (OTS) employees and all

former employees of the OTS, within the past three years.

Information pertaining to:

(1) employee status, grade, salary, pay plan, hours worked, hours

of leave taken and earned, hourly rate, gross pay, taxes, deductions,

net pay, location, and payroll history;

(2) employee's residence, office, social security number, and

address;

(3) Personnel actions (SF-50), State employees' withholding

exemption certificates, Federal employees' withholding allowance

certificates (W4), Bond Allotment File (SF-1192), Federal Employee's

Group Life Insurance (SF-2810 & 2811), Savings Allotment-Financial

Institutions, Address File (OTS Form 108), Union Dues Allotment, time

and attendance reports, individual retirement records (SF-2806),

Combined Federal Campaign allotment, direct deposit, health benefits,

and thrift investment elections to either the Federal Thrift Savings

Plan (TSP-1) or OTS' Financial Institutions Savings Plan (FITP-107 and

K 1-2).

5 U.S.C. 301, 44 U.S.C. 3101.

Provides all the key personnel and payroll data for each employee

which is required for a variety of payroll and personnel functions.

(1) In the event that records maintained in this system of records

indicate a violation or potential violation of law, whether civil,

criminal or regulatory in nature, and whether arising by general

statute or particular program statute, or by regulation, rule or order

pursuant thereto, the relevant records in the system of records may be

referred, as a routine use, to the appropriate agency, whether Federal,

state, local, or foreign, charged with the responsibility of

implementing the statute, or rule or regulation or order issued

pursuant thereto;

(2) records from this system may be disclosed as a routine use to

other Federal agencies including the Office of Personnel Management if

necessary for or regarding the payment of salaries and expenses

incident to employment at the Office of Thrift Supervision or other

Federal employment, or the vesting, computation, and payment of

retirement or disability benefits;

(3) records from this system may be necessary to support the

assessment, computation, and collection of Federal, state, and local

taxes, in accordance with established procedures;

(4) disclosure of information may be made to a Congressional office

in response to an inquiry made at the request of the individual to whom

the record pertains.

Records are maintained on magnetic media, microfiche, and in paper

files.

Records are filed by individual name, social security number and by

office.

Paper and microfiche records are maintained in secured offices and

access is limited to personnel whose official duties require such

access and [[Page 13777]] who have a need to know the information in a

record for particular job-related purpose. Access to computerized

records is limited, through the use of a password, to those whose

official duties require access.

Records are retained and disposed of in accordance with appropriate

National Archives and Records Administration General Records Schedules.

Director, Human Resources. See ``System Location'' for address.

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 records;

(2) Identify the category and type of records sought; and

(3) Provide at least two items of secondary identification (date of

birth, employee identification number, dates of employment or similar

information). Address inquiries to Chief, Disclosure Branch, Office of

Thrift Supervision, 1700 G Street NW., Washington, DC 20552.

See ``Notification Procedure'' above.

See ``Notification Procedure'' above.

Personnel and payroll records of current and former employees.

None.

Treasury/OTS .013

Personnel Security and Suitability Program.

Office of Thrift Supervision, Department of the Treasury, 1700 G

Street, NW., Washington, DC 20552.

Current and former government employees and applicants applying for

employment with the Office of Thrift Supervision.

Background investigations, limited background investigations,

minimal background investigations, national agency check

investigations, periodic re-investigations, and FBI and other agency

name checks, investigative information relating to personnel

investigations conducted by the Department of the Treasury, the Office

of Personnel Management, and other Federal agencies and departments on

preplacement and postplacement basis to make suitability for employment

determinations and for granting security clearances. Card records,

automated data systems, or logs comprised of notices of personnel

security and suitability investigations reflecting identification data

on incumbents and former employees, and record type of E.O. 10450

investigations and degree and date of security clearance, if any.

Executive Order 10450, sections 2 and 3, Executive Order 12356,

part 4, Executive Order 10577, 5 USC 3301, and 5 CFR parts 731, 732 and

736.

The purpose of the records in the Personnel Security and

Suitability System is to enable the OTS to determine and document each

employee's suitability or security risk for selection, employment and

continued employment according to appropriate Federal regulations.

These records and information in these records may be disclosed to

departmental and agency officials or other Federal agencies as relevant

to or necessary for making suitability or employability retention or

security clearance determinations.

File folders, logs and index cards.

Records are retrieved by name.

Records are stored in locked metal containers and in locked rooms.

They are limited to officials who have a need to know in the

performance of their official duties. Officials are required to sign an

access form.

Records are retained and disposed of in accordance with the

appropriate National Archives and Records Administration General

Records Schedules.

Director, Human Resources Division. See ``System Location'' for

address.

Individuals wishing to be notified if they are named in this system

or gain access to records maintained in this system must submit a

request containing the following elements:

(1) Identify the record system;

(2) Identify the category and type of records sought; and

(3) Provide at least two items of secondary identification (date of

birth, employee identification number, dates of employment or similar

information). Address inquiries to Chief, Disclosure Branch, Office of

Thrift Supervision, 1700 G Street, NW, Washington, DC 20552.

See ``Notification Procedure'' above.

See ``Notification Procedure'' above.

Information is obtained from current and former employees,

coworkers, neighbors, acquaintances, educational records and

instructors, and police and credit record checks.

None.

Appendix A--Addresses of Office of Thrift Supervision Regional Offices:

Northeast Region

10 Exchange Place Centre, 18th Floor, Jersey City, New Jersey 07302

Southeast Region

1475 Peachtree Street, NE., Atlanta, Georgia 30309

Central Region

111 East Wacker Drive, Suite 800, Chicago, Illinois 60601

Midwest Region

122 W. John Carpenter Freeway, Suite 600, Irving, Texas 75039

West Region

One Montgomery Street, Suite 400, San Francisco, California 94104

[FR Doc. 95-6166 Filed 3-13-95; 8:45 am]

BILLING CODE 6720-01-M