Refers filer, if appropriate, to this booklet.

Provides information to the filer about additional forms and information required to conduct background investigations and:

• Distributes to each candidate background investigation forms and fingerprint cards, as appropriate.

• Instructs the filer, in writing, that the provision of legible fingerprints is his/her responsibility and is required by the OCC to investigate the party’s background thoroughly.

• Suggests having fingerprints taken at the local police or law enforcement office or certain post offices where fingerprinting services are available.

• Instructs filer to return fingerprint cards to the Licensing staff with the corporate filing.

Files appropriate background investigation forms together with the filing and any applicable filing fees to the OCC.

Reviews the background investigation information and forms for accuracy and completeness.

Performs standard background checks unless waived.

If standard background checks are waived, documents the reasons for the waiver in the official file.

Forwards completed fingerprint cards, Request for Background Checks (OCC Form 9020-01), and, if appropriate, other background investigation requests to HQ Licensing (HQ LIC) for processing.

Conducts EARS and FinCEN searches, if appropriate, and determines if:

• A regulatory agency has taken any enforcement action or made criminal referrals against the filer.

• The filer has been involved in insider abuse.

  • FinCEN.

  • EARS.

If applicable, forwards the following information to HQ LIC on any foreign national:

• Name and any known aliases.

• Date and place of birth (country).

• Current address.

• Current title/position.

• Name of employer.

• Full name of both parents.

• Passport number.

• National identification number (if applicable).

• List of countries that should be checked.

• Relatives working in the home country local government.

Performs optional background checks appropriate to the particular circumstances.

Notifies by registered/certified mail, any filer for whom adverse information is received and allows the filer to complete, correct, or challenge the information prior to the OCC making a decision and makes appropriate Corporate Activities Information System (CAIS) entries.

If a specific person in the related filing is denied or objected to, because of information received in the background investigation, provides this information to the appropriate portfolio manager of the bank with which the applicant is affiliated and submits EARS and FinCEN Entry Request Form to district counsel and makes appropriate CAIS entries.

Refers to the appropriate booklet for processing of application or notice.

For charter applications, updates the standard checks, except for FBI fingerprint and IRS tax check waivers, if one year lapses between preliminary conditional and final approval; or, if the opening period extends beyond 30 days, obtains the concurrence of the LP&S Director that a second set of background investigation checks need not be conducted.