CFR

4.32—Definitions.

(a) Complete request means a request containing sufficient information to allow the OCC to make an informed decision.

(b) Non-public OCC information. Non-public OCC information:

(1) Means information that the OCC is not required to release under the FOIA (5 U.S.C. 552) or that the OCC has not yet published or made available pursuant to 12 U.S.C. 1818(u) and includes:

(i) A record created or obtained by the OCC in connection with the OCC's performance of its responsibilities, such as a record concerning supervision, licensing, regulation, and examination of a national bank, a bank holding company, or an affiliate;

(ii) A record compiled by the OCC in connection with the OCC's enforcement responsibilities;

(iii) A report of examination, supervisory correspondence, an investigatory file compiled by the OCC in connection with an investigation, and any internal agency memorandum, whether the information is in the possession of the OCC or some other individual or entity;

(iv) Confidential OCC information obtained by a third party or otherwise incorporated in the records of a third party, including another government agency;

(v) Testimony from, or an interview with, a current or former OCC employee, officer, or agent concerning information acquired by that person in the course of his or her performance of official duties with the OCC or due to that person's official status at the OCC;

(vi) Confidential information relating to operating and no longer operating national banks as well as their subsidiaries and their affiliates; and

(vii) A Suspicious Activity Report filed by the OCC, a national bank, or a Federal branch or agency of a foreign bank licensed or chartered by the OCC under 12 CFR 21.11; and

(2) Is the property of the Comptroller. A report of examination is loaned to the bank or holding company for its confidential use only.

(c) Relevant means could contribute substantially to the resolution of one or more specifically identified issues in the case.

(d) Show a compelling need means, in support of a request for testimony, demonstrate with as much detail as is necessary under the circumstances, that the requested information is relevant and that the relevant material contained in the testimony is not available from any other source. Sources, without limitation, include the books and records of other persons or entities and non-public OCC records that have been, or might be, released.

(e) Supervised entity includes a national bank, a subsidiary of a national bank, a Federal branch or agency of a foreign bank licensed by the OCC as defined under 12 CFR 28.11(h) and (i), or any other entity supervised by the OCC.

(f) Testimony means an interview or sworn testimony on the record.

Code of Federal Regulations

[60 FR 57322, Nov. 15, 1995, as amended at 63 FR 62929, Nov. 10, 1998; 64 FR 29216, June 1, 1999]

Code of Federal Regulations

Effective Date Note: At 75 FR 75576, Dec. 3, 2010, § 4.32 was amended by removing paragraph (b)(1)(vii), adding the word “and” at the end of paragraph (b)(1)(v) and removing, at the end of paragraph (b)(1)(vi), “; and” and adding a period in its place, effective Jan. 3, 2011.

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