[Privacy Act Issuances (1995)]
[From the U.S. Government Publishing Office, www.gpo.gov]
RESOLUTION TRUST CORPORATION
RTC-1
System name: Office of Inspector General Investigative Files.
System location:
Office of Inspector General, Resolution Trust Corporation,
International Place, 1735 North Lynn Street, Rosslyn, VA 22209.
Categories of records in the system:
(1) All documents and correspondence relevant to the investigation;
(2) All internal staff memoranda, copies of all subpoenas issued
during the investigation, affidavits, statements from witnesses,
transcripts of testimony taken in the investigation and accompanying
exhibits;
(3) Documents and records or copies obtained during the investigation;
(4) Legal briefs, memoranda, and other working papers of the staff and
other documents and records relating to the investigation; and
(5) Opening reports, progress reports, and closing reports.
Categories of individuals covered by the system:
Individuals who are involved in or are the subject of investigations
by the OIG relating to the programs and operations of the RTC.
Authority for maintenance of the system:
5 U.S.C. 552a, 5 U.S.C. app. 3, 12 U.S.C. 1441a(b).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records may be used as follows:
(1) In the event that a record from this system of records, by itself
or in combination with other information, maintained by the OIG to
carry out its functions, indicates a violation or potential violation
of law, whether civil, criminal, or regulatory in nature; whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto, then the relevant
records in the system of records may be referred, as a routine use, to
the appropriate agency, whether Federal, foreign, State, or local,
charged with enforcing or implementing the statute, regulation, or
order.
(2) Disclosure may be made where necessary to Federal, foreign, State,
or local agencies, or non-government parties, in order to obtain
records or information in connection with an OIG investigation.
(3) Disclosure may be made to a Federal, State, or local financial
regulatory agency where records in this system of records pertain to
an applicant for employment, to a current employee of that agency
where an agency decision with regard to the hiring or retention of the
employee is pending, or to a current or former employee of a financial
institution which is or has been operating as an RTC conservatorship
or receivership. The information being transferred consists solely of
the fact that OIG has conducted an investigation concerning the
particular individual.
(4) Disclosure may be made to the Office of Special Counsel of
information relevant and necessary to carry out its functions and
relevant and necessary to carry out OIG operations to detect and
prevent fraud, waste, and abuse.
(5) Disclosure may be made to the Thrift Depositor Protection
Oversight Board of information relevant and necessary to carry out its
oversight of the RTC and to carry out OIG operations to detect fraud,
waste, and abuse.
(6) Disclosure may be made when OIG contracts with private firms for
the purpose of maintaining, collating, analyzing, aggregating or
otherwise reviewing records. Disclosure will also be made to
independent auditors who, by contract, carry out audits on behalf of
OIG. Such contractors will be required to maintain Privacy Act
safeguards with respect to such records.
(7) In the event OIG deems it desirable or necessary to determine
whether particular records are required to be disclosed under the
Freedom of Information Act, then disclosure may be made to the
Department of Justice for the purpose of obtaining its advice on
applying the Freedom of Information Act to the record(s) at issue.
(8) In the event of litigation where one of the parties is:
(i) A component of the RTC, or any employee of the RTC in his or her
official capacity,
(ii) The United States where the RTC determines that the litigation is
likely to directly affect the operations of the RTC or any of its
components or,
(iii) An RTC employee in his or her individual capacity, where the
Department of Justice and/or the Legal Division of the RTC has agreed
to represent such employee, then the OIG may disclose such records as
it deems necessary to the Department of Justice, the RTC Legal
Division, other counsel or representative for the RTC, a court,
adjudicative body, individual or entity designated by the OIG or the
RTC to resolve disputes, and/or a potential witness.
(9) Disclosure of a record of an individual may be made to a
Congressional office in response to an inquiry from that office made
at the written request of that individual.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12). Disclosures may be made
from this system to ``consumer reporting agencies'' as defined in the
Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims
Collection Act of 1966 (31 U.S.C. 3701(a)(3)) in accordance with Title
31 U.S.C. section 3711(f).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The Office of Inspector General Investigative Files consist of
automated data and paper records. Paper records are stored in file
cabinets and the automated data are maintained in secured offices in
OIG.
Retrievability:
The records are retrieved by the name of the subject of the
investigation or by a unique control number assigned to each
investigation.
Safeguards:
These records are available only to those persons whose official
duties require such access. The records are kept in limited access
areas during duty hours and in locked offices at all other times.
Access to automated data is controlled by computer access codes.
Retention and disposal:
Files containing information or allegations, which are of an
investigative nature but do not relate to a specific investigation,
are retained for a period of 5 years and then destroyed. All other
investigative files are placed in inactive files when the case is
closed. From the end of the fiscal year in which the case is closed
the files are retained for 10 years and then destroyed unless the
record is deemed to have historical significance.
System manager(s) and address:
Inspector General, Office of Inspector General, Resolution Trust
Corporation, International Place, 1735 North Lynn Street, Rosslyn, VA,
22209.
Notification procedure:
Individuals seeking to determine whether this system of records
contains information about themselves, seeking access to records about
themselves in this system of records, or contesting the content of
records about themselves, should write to the System Manager at the
above address. The request should contain the full name, Social
Security Number, signature of the individual, and copies of two forms
of identification which contain the signature of the individual. An
affidavit attesting to the identity of the individual is suggested.
Record access procedures:
See Notification Procedures above.
Contesting record procedures:
See Notification Procedures above.
Record source categories:
Information in these records is obtained from RTC staff and records,
and from non-RTC persons and records, to the extent necessary to carry
out OIG investigative operations by 5 U.S.C. app. 3. Individuals to be
interviewed and records to be examined are selected based on the
nature of the allegations being investigated.
System exempted from certain provisions of the act:
Under 5 U.S.C. 552a(j)(2), this system of records is exempt from 5
U.S.C. 522a except subsections (b), (c)(1), and (2), (e)(4)(A) through
(F), (e)(6), (7), (9), (10), and (11), and (i) to the extent the
system of records pertains to the enforcement of criminal laws.
Pursuant to 5 U.S.C. 552a(k)(2), this system of records is exempt from
5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I) and (f) to
the extent it consists of investigatory material compiled for law
enforcement purposes, other than material within the scope of the
exemption at 5 U.S.C. 552a(j)(2), provided, however, that if any
individual is denied any right, privilege, or benefit that he would
otherwise be entitled to by Federal law, or for which he would
otherwise be eligible, as a result of the maintenance of such
material, such material shall be provided to such individual, except
to the extent that the disclosure of such material would reveal the
identity of a source who furnished information to the Government under
an express promise that the identity of the source would be held in
confidence, or, prior to January 1, 1975, under an implied promise
that the identity of the source would be held in confidence. Pursuant
to 5 U.S.C. 552a(k)(5), this system of records is also exempted from 5
U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I) and (f) to the
extent the system of records contains investigatory material compiled
solely for the purpose of determining suitability, eligibility, or
qualifications for Federal civilian employment, Federal contracts, or
access to classified information, but only to the extent that the
disclosure of such material would reveal the identity of a source who
furnished information to the Government under an express promise that
the identity of the source would be held in confidence, or, prior to
January 1, 1975, under an implied promise that the identity of the
source would be held in confidence. These exemptions are contained at
12 CFR 1680.33.
RTC-2
System name: FDIC/RTC Employee Financial Disclosure Statements
System. RTC-2.
System location:
Confidential Statements of Employment and Finanical Interests, Reports
of Interest in Bank Securities, Confidential Reports of Employment
Upon Resignation, Employee Certification and Acknowledgement of FDIC/
RTC Standards of Conduct Regulation, and any financial disclosure/
conflict of interest or similar form required to be completed by the
Office of Government Ethics, and related records are located in
designated divisional, regional, or consolidated offices to which
individuals covered by the system are assigned. Duplicate copies of
the above records are maintained in the Office of Ethics and Protests,
RTC, 801 17th Street, NW, Washington, DC 20434-0001, for the purpose
of certification of review and resolution of conflicts of interest
disclosed therein. Confidential Reports of Indebtedness and related
records are located in the Office of Ethics. A list of the RTC's
divisional, regional and consolidated offices is available from the
RTC Reading Room, 801 17th Street, NW, Washington, DC 20434-0001,
(202) 416-6940.
Categories of individuals covered by the system:
Current and former Federal Deposit Insurance Corporation officers and
employees who are working for or who have worked for the RTC, and
special government employees required to file any of the following
forms: (1) Confidential Statement of Employment and Financial
Interests; (2) Confidential Report of Indebtedness; (3) Report of
Interest in Bank Securities and Interest in RTC Decision; (4)
Confidential Report of Employment Upon Resignation; and (5) Employee
Certification and Acknowledgement of FDIC/RTC Standards of Conduct
Regulation.
Categories of records in the system:
Information in this system includes data directly furnished by the
individual on the following five forms or related records that may be
generated in the course of the RTC`s administration of Executive
Orders 12674 and 12731 as amended or as superseded, and/or 12 CFR part
1605:
(1) Confidential Statement of Employment and Financial Interests--
Contains statements of personal and family holdings, interests in
business enterprises and real property, creditors, and outside
employment.
(2) Confidential Report of Indebtedness--Contains information on
extensions of credit (loans and credit cards) by insured and non-
insured depository institutions and their affiliates; and may also
contain memoranda and correspondence relating to requests for approval
of certain loans extended by insured depository institutions or
affiliates thereof.
(3) Report of Interest in Bank Securities and Interest in RTC
Decision--Contains information on whether or not an employee owns or
controls, directly or indirectly, any securities of insured depository
institutions or affiliates thereof, and if so, lists specific
securities, the nature and extent of such interests and the manner of
acquisition, contains information on other outside interests which may
have an impact on an employee's official duties, and may contain
memoranda and correspondence relating to requests for approval of
retention of securities of insured depository institutions by
employees.
(4) Confidential Report of Employment Upon Resignation--Contains
information as to the employee's prospective employer, the nature of
the business or organization activities of the prospective employer,
the position the employee will occupy, dates of negotiation for such
employment, and the employee's official involvement, if any, with the
prospective employer.
(5) Employee Certification and Acknowledgement of FDIC/RTC Standards
of Conduct Regulation--Contains employee's certification and
acknowledgement that he or she has received a copy of the standards of
conduct, has viewed the FDIC/RTC Orientation Ethics Video, and has a
positive responsibility to comply with the standards of conduct.
Authority for maintenance of the system:
Section 502 of E.O. 12674, 3 CFR 215 (1989), as amended by E.O. 12731,
3 CFR 306 (1990); section 21A of the Federal Home Loan Bank Act of
1932 (12 U.S.C. 1441a(b)), as amended. The Financial Institutions
Reform, Recovery, and Enforcement Act of 1989, 12 U.S.C. 1441(p).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in this system may be disclosed where the Director of the
U.S. Office of Government Ethics or the RTC's Chief Executive Officer,
or designee, determines that good cause has been shown for such use:
(1) To the appropriate federal, state, or local agency or authority
responsible for investigating or prosecuting a violation of or for
enforcing or implementing a statute, rule, regulation, or order when
the information indicates 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 issued pursuant thereto.
(2) To a congressional office in response to an inquiry made at the
request of the individual to whom the information pertains.
(3) To any source where necessary to obtain information relevant to a
conflict-of-interest investigation or determination.
(4) To a court, magistrate, or administrative tribunal in the course
of presenting evidence, including disclosures to counsel or witnesses
in the course of civil discovery, litigation or settlement
negotiations, or in connection with the criminal proceedings.
(5) To the United States Office of Personnel Managment, Office of
Government Ethics, the Merit Systems Protection Board, the Office of
the Special Counsel, the Federal Labor Relations Authority, an
aribtrator, and the Equal Employment Opportunity Commission, to the
extent disclosure is necessary to carry out the government-wide
personnel management, investigatory, adjudicatory and appellate
functions with their respective jurisdiction.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained in file folders in Office of Ethics and Protests and
designated divisional, regional, or consolidated offices to which
individuals covered by the system are located, and on an automated
tracking system.
Retrievability:
Indexed by name.
Safeguards:
Maintained in lockable metal file cabinets in lockable offices and, on
a password-protected automated index system.
Retention and disposal:
Retained for six years and then destroyed by shredding except when the
documents are relevant and/or needed in an ongoing investigation they
will be retained until no longer needed.
System manager(s) and address:
Ethics Program Manager (Employees), RTC, 801 17th Street, NW,
Washington, DC 20434-0001.
Notification procedure:
Requests must be in writing and addressed to the Office of the
Secretary, RTC, International Place, 1735 North Lynn Street, Rosslyn,
VA 22209. The request must contain the name and office of the
individual covered by the system, and a notarized statement attesting
to the individual's indentity may be required.
Record access procedure:
Same as ``Notification'' above.
Contesting record procedures:
Same as ``Notification'' above.
Record source categories:
The information is obtained from the individual on whom the record is
maintained or a person designated by him or her and from the RTC's
Ethics Program Manager (Employees) and support personnel. Information
may also be obtained from the other parties to whom the RTC has
supplied information in connection with evaluating the records
maintained in the Employee Financial Disclosure Statements system.
Systems exempted from certain provisions of the act:
None.
PRIVACY ACT RULES
RESOLUTION TRUST CORPORATION
RESOLUTION TRUST CORPORATION
12 CFR PART 1616--PRIVACY ACT REGULATIONS
Sec.
1616.1 Purpose and scope.
1616.2 Definitions.
1616.3 Procedures for requests pertaining to individual records in a
system of records.
1616.4 Times, places and requirements for identification of individuals
making requests.
1616.5 Disclosure of requested information to individuals.
1616.6 Special procedures for medical records.
1616.7 Requests for amendment of records.
1616.8 Agency reviews of requests for amendment of records.
1616.9 Appeals of adverse initial agency determinations of access or
amendment of records and Statements of Disagreement.
1616.10 Preservation of records.
1616.11 Disclosure of a record to a person other than the individual to
whom the record pertains.
1616.12 Fees.
1616.13 Penalties.
1616.14 Exemptions.
Appendix A--RTC Field Offices
Authority: 5 U.S.C. 552a.
Source: 58 FR 476, Jan. 6, 1993./
Sec. 1616.1 Purpose and scope.
This part sets forth the basic policies of the Resolution Trust
Corporation (RTC or Corporation), with the exception of the Office of
Inspector General of the RTC, that implement the provisions of the
Privacy Act of 1974 (5 U.S.C. 552a) regarding the protection of the
privacy of individuals on whom the Corporation maintains information
which is retrieved by reference to an individual's name or an
identifying particular assigned to the individual. This part also sets
forth the procedures by which an individual may seek access under the
Privacy Act to records pertaining to him/her, may request amendment of
such records, or may seek an accounting of disclosures of such records
maintained by the Corporation.
Sec. 1616.2 Definitions.
For the purposes of this part:
(a) Corporation means the Resolution Trust Corporation operating in
its Corporate capacity.
(b) Individual means a natural person who is either a citizen of the
United States of America or an alien lawfully admitted for permanent
residence.
(c) Maintain includes maintain, collect, use, disseminate, or control.
(d) Record means any item, collection or grouping of information about
an individual that is maintained by the RTC in its Corporate capacity
and contains his/her name, or an identifying number, symbol, or other
identifying particular assigned to the individual.
(e) System of records means a group of any records under the control
of the Corporation from which information is retrieved by the name of
the individual or some identifying number, symbol or other identifying
particular assigned to the individual.
(f) Designated system of records means a system of records which has
been listed and summarized in the Federal Register pursuant to the
requirements of 5 U.S.C. 552a(e).
(g) Routine use means, with respect to disclosure of a record, the use
of such record for a purpose which is compatible with the purpose for
which it was created.
(h) Amend and amendment mean any correction of, addition to or
deletion from a record.
(i) System manager means the agency official responsible for a
designated system of records, as denominated in the Federal Register
publication of ``Systems of Records Maintained by the Resolution Trust
Corporation.''
Sec. 1616.3 Procedures for requests pertaining to individual records
in a system of records.
(a) Any present or former employee of the Federal Deposit Insurance
Corporation (FDIC) who is working for or has worked for the RTC and who
is seeking access to his/her official personnel folder or other U.S.
Office of Personnel Management government-wide personnel-type record,
including compensation, training, medical information, time and
attendance and performance, maintained by the RTC in Corporation offices
should submit his/her request in such a manner as prescribed by the U.S.
Office of Personnel Management in part 297 of its rules and regulations
(5 CFR 297.101 through 297.501). Such requests should be submitted to
the Office of the Secretary, RTC, FOIA/PA Branch, International Place,
1735 North Lynn Street, Rosslyn, VA 22209. An FDIC employee who is
presently working for the RTC may also gain access to his/her unofficial
personnel folder, and other personnel-type record, by visiting, either
in person or with an authorized representative, the RTC Corporate office
in which the folder is maintained.
(b) Written requests by individuals for access to records pertaining
to them, other than official personnel folders, and maintained within
one of the Corporation's designated system of records should be
submitted to the Office of the Secretary, FOIA/PA Branch, RTC,
International Place, 1735 North Lynn Street, Rosslyn, VA 22209. Each
such request should contain a reasonable description of the record(s)
sought, identify the system or systems in which such records may be
contained, and any additional identifying information, as specified in
the Corporation's Federal Register ``Notice of Systems of Records'' for
that particular system, copies of which are available upon request from
the FOIA/PA Branch, Office of the Secretary.
Sec. 1616.4 Times, places and requirements for identification of
individuals making requests.
(a) Individuals may request access to records pertaining to themselves
as provided in Sec. 1616.3 by submitting a written request by mail or in
person to the office in which the records are maintained or the Office
of the Secretary, FOIA/PA Branch, RTC, International Place, 1735 North
Lynn Street, Rosslyn, VA 22209. Before access to records is granted,
pursuant to this part, reasonable identification, as specified in
Sec. 1616.4(b), of the person making the request is required to ensure
that information is given and records are disclosed only to the proper
individual.
(b) Employees appearing in person at RTC offices seeking access to or
amendment of personnel records pertaining to themselves shall present
two forms of reasonable identification, such as employment
identification cards, driver's licenses, passports, or credit cards. One
piece of identification shall contain the individual's photograph and
signature.
(c) Individuals submitting written requests seeking access to or
amendment of records pertaining to themselves shall include copies of
two forms of identification which contain the signatures of the
individuals. Except for records that must be publicly disclosed pursuant
to the Freedom of Information Act (5 U.S.C. 552), where the Corporation
determines it to be necessary for the individual's protection, a
certification of a duly commissioned notary public, of any state or
territory, attesting to the requesting individual's identity may be
required before a written request seeking access to or amendment of a
record will be honored. Identification, as described in this section,
will be required of any individuals visiting RTC offices to inspect
records after submission of written requests.
Sec. 1616.5 Disclosure of requested information to individuals.
(a) Except to the extent that Corporation records in a system of
records pertaining to an individual:
(1) Are exempt from disclosure under Sec. 1616.14, or
(2) May require special procedures for medical records under
Sec. 1616.6, or
(3) Were compiled in reasonable anticipation of a civil action or
proceeding, the Corporation will make such records available upon
request for purposes of inspection and copying by the individual about
whom the information is maintained or, upon the individual's request and
written authorization, by another person of the individual's own
choosing (after proper identity verification as provided in
Sec. 1616.4).
(b) The Secretary, or designee, will acknowledge receipt of a request
submitted under this rule within ten (10) working days, and notify, in
writing, the individual making a request, whenever practicable within
ten business days following receipt of the request, whether any
specified, designated system of records maintained by the Corporation
contains a record pertaining to the individual. Where such a record does
exist, the Secretary, or designee, with the advice of the System
Manager, will inform the individual of the decision whether to grant or
deny, in whole or in part, the request for access. In the event existing
records are determined not to be disclosable, the notification will
inform the individual of the reason(s) for which disclosure will not be
made and will provide a description of the individual's right to appeal
the denial, as more fully set forth in Sec. 1616.9.
(c) Individuals will be granted access to records disclosable under
this part 1616 as soon as is practicable. The Secretary, or designee,
will give written notification of a reasonable period within which
individuals may inspect disclosable records pertaining to themselves at
the Office of the Secretary (FOIA/PA Branch) or the appropriate
Headquarters, or field offices during normal business hours.
Alternatively, the Corporation may mail copies of requested records to
the individual. Fees for copying such records will be assessed as
provided in Sec. 1616.12.
Sec. 1616.6 Special procedures for medical records.
Medical records in a system of records shall be disclosed on request
to individuals to whom they pertain, except, if in the judgment of the
Corporation, the transmission of the medical information directly to the
requesting individual could have an adverse effect upon such individual.
In the event medical information is withheld from a requesting
individual because of any possible adverse effect such information may
have upon the individual, the Corporation shall transmit such
information to a licensed medical doctor named by the requesting
individual.
Sec. 1616.7 Requests for amendment of records.
The Corporation will maintain all records it uses in making any
determination about any individual with such accuracy, relevance,
timeliness, and completeness as is reasonably necessary to assure
fairness to the individual in the determination. An individual may
request that the Corporation amend any portion of a record pertaining to
that individual which the Corporation maintains in a designated system
of records. Such a request should be submitted in writing to the Office
of the Secretary, FOIA/PA Branch, RTC, International Place, 1735 North
Lynn Street, Rosslyn, VA 22209, and should contain the individual's
reason for requesting the amendment and a description of the record
(including the name of the appropriate designated system of records)
sufficient to enable the Corporation to identify the particular record
or portion thereof with respect to which amendment is sought. If an
individual has a copy of the record he/she wishes to have amended, it
should be attached to the request for amendment and the specific portion
of the record sought to be amended should be clearly identified. The
individual making the request may be required to provide the information
specified in Sec. 1616.4 to permit verification of the identify of the
individual making the request for amendment.
Sec. 1616.8 Agency reviews of requests for amendment of records.
(a) Requests by individuals for the amendment of records will be
acknowledged by the Secretary, or designee, within ten (10) business
days following receipt of such requests and referred to the System
Manager of the system of records in which the record is contained for an
analysis of the request to amend. Promptly thereafter, the Secretary, or
designee, with the advice of the System Manager, will notify the
individual of the decision to grant or deny the request to amend. If the
request to amend is granted in whole or in part, the Secretary, or
designee, will effect the appropriate amendment.
(b) If the Secretary, or designee, denies a request to amend a record,
the notification of such denial shall contain the reason(s) for the
denial, a description of the individual's right to appeal the denial as
more fully set forth in Sec. 1616.9, and the address of the Corporation
officer to whom the appeal should be sent.
Sec. 1616.9 Appeals of adverse initial agency determinations of
access or amendment of records and Statements of Disagreement.
(a) For RTC records contained within a system of records, the initial
denial of an individual's request for access to or amendment of a record
pertaining to him/her may be appealed to the RTC's General Counsel
within 30 business days following receipt of notification of the denial.
Such appeals should be mailed to the Office of the Secretary, FOIA/PA
Branch, RTC, International Place, 1735 North Lynn Street, Rosslyn, VA
22209, and contain all the information specified for requests for access
in Sec. 1616.3 or for initial requests to amend in Sec. 1616.7, as well
as any other additional information the individual deems relevant for
the consideration by the General Counsel, or designee, of the appeal.
Both the envelope and the appeal letter should have written on them
``Privacy Act Appeal.'' The appeal letter should also enclose a copy of
the initial denial letter.
(b) The General Counsel, or designee, will normally make a final
determination with respect to an appeal made under this part within 30
business days following receipt of the appeal by the Office of the
Secretary. The General Counsel, or designee may, however, extend this
30-day time period for good cause shown. When such an extension is
required, the individual making the appeal will be notified of the
reason for the extension and the expected date upon which a final
decision will be given.
(c) If the General Counsel, or designee, affirms the initial denial of
a request for access or amendment, he/she will inform the individual
affected by the decision, the reason(s) therefore and the right of
judicial review of the decision. With respect to a decision to sustain
the initial refusal to amend a record, the General Counsel, or designee,
will also inform the individual of the right to submit a Statement of
Disagreement under paragraph (d) of this section.
(d) Upon receipt of a determination to affirm the initial denial of a
request to amend a record, the individual may submit to the Corporation
a concise statement (Statement of Disagreement) setting forth his or
reasons for disagreeing with the Corporation's determination not to
amend. Such a Statement of Disagreement will be attached to the record
which was the subject of the request to amend. The General Counsel, or
designee may, if deemed appropriate, prepare a concise statement
(Statement of Explanation) of the reason(s) why the requested amendment
was not made. Any RTC Statement of Explanation will be included in the
system of records in the same manner as the Statement of Disagreement. A
copy of the Statement of Explanation and the notation of the dispute as
marked on the original record will be provided to the individual who
requested an amendment of the record.
(e) When a record has been amended or when a Statement of Disagreement
has been filed, the Secretary, or designee, will provide all prior
recipients of the affected record, whose identities may be determined
pursuant to the disclosure accountings required by the Privacy Act (5
U.S.C. 552a(c)) or any other accounting previously made, a copy of the
amended or corrected record or the Statement of Disagreement. Any
disclosure of disputed information occurring after a Statement of
Disagreement has been filed will clearly identify the specific
information disputed and be accompanied by a copy of the Statement of
Disagreement and a copy of any RTC Statement of Explanation.
Sec. 1616.10 Preservation of records.
The Corporation will preserve all correspondence relating to the
written requests it receives under this part, and all records processed
pursuant to such requests, in accordance with the records retention
provisions of General Records Schedule 14, Informational Services
Records. Under no circumstances will records be destroyed while they are
subject to a pending request for access, amendment, appeal, or lawsuit
pursuant to the Privacy Act.
Sec. 1616.11 Disclosure of a record to a person other than the
individual to whom the record pertains.
(a) Except as provided in paragraph (b) of this section, the
Corporation will not disclose any record contained in a designated
system of records to any person or agency except without the prior
written consent of the individual to whom the record pertains.
(b) The restrictions on disclosure in paragraph (a) of this section do
not apply to any disclosures:
(1) To those officers and employees of the Corporation who have a need
for the record in the performance of their duties;
(2) Required under the Freedom of Information Act (5 U.S.C. 552);
(3) For a routine use, as defined in Sec. 1616.2(g), listed with
respect to a designated system of records and described in the Federal
Register notice of the system;
(4) To the Bureau of the Census for purposes of planning or carrying
out a census or survey or related activity pursuant to the provisions of
title 13 of the United States Code;
(5) To a recipient who has provided the Corporation with advance
adequate written assurance that the record will be used solely as a
statistical research or reporting record, and the record is to be
transferred in a form that is not individually identifiable;
(6) To the National Archives and Records Administration as a record
which has sufficient historical or other value to warrant its continued
preservation by the United States Government, or for evaluation by the
Archivist of the United States, or designee, to determine whether the
record has such value;
(7) To another agency or to an instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity if the activity is authorized
by law, and if the head of the agency or instrumentality has made a
written request to the Corporation specifying the particular portion
desired and the law enforcement activity for which the record is sought;
(8) To a person pursuant to a showing of compelling circumstances
affecting the health or safety of an individual if, upon such
disclosure, notification is transmitted to the last known address of the
individual to whom the record pertains;
(9) To either House of Congress, or, to the extent of matter within
its jurisdiction, any committee or subcommittee thereof, any joint
committee of Congress or subcommittee of any such joint committee;
(10) To the Comptroller General, or any of his/her authorized
representatives, in the course of the performance of the duties of the
General Accounting Office;
(11) Pursuant to the order of a court of competent jurisdiction; or
(12) To a consumer reporting agency in accordance with 31 U.S.C.
3711(f).
(c) Any Statement of Disagreement with the Corporation's determination
not to amend a record, filed with the Corporation by an individual
pursuant to Sec. 1616.9(d) will be included in the disclosure of the
record under authority of paragraph (b) of this section. The Corporation
may, in its discretion, also include a copy of the Corporation's
Statement of Explanation.
(d) The Corporation, with respect to each system of records under its
control shall:
(1) Except for disclosures made under paragraphs (b)(1) or (b)(2) of
this section, keep an accurate accounting of:
(i) The date, nature, and purpose of each disclosure of a record to
any person or to another agency made under paragraph (b) of this
section; and
(ii) The name and address of the person or agency to whom the
disclosure is made; and
(2) Retain the accounting made under paragraph (d)(1) of this section
for at least five years or the life of the record, whichever is longer,
after the disclosure for which the accounting is made;
(3) Except for disclosures made under paragraph (b)(7) of this
section, make the accounting made under paragraph (d)(1) of this section
available to the individual named in the record at his/her request; and
(4) Inform any person or other agency about any correction or
Statement of Dispute made by an individual in accordance with
Sec. 1616.9(d), of any record that has been disclosed to the person or
agency if an accounting of the disclosure was made.
Sec. 1616.12 Fees.
The Corporation, upon a request for records disclosable pursuant to
the Privacy Act of 1974 (5 U.S.C. 552a), shall charge a fee of $0.20 per
page for duplicating, except as follows:
(a) If the Corporation determines that it can grant access to a record
only by providing a copy of the record, no fee will be charged for
providing the first copy of the record or any portion thereof; and
(b) Whenever the aggregate fees computed under this section do not
exceed $25.00 for any one request, the fee will be deemed waived by the
Corporation.
Sec. 1616.13 Penalties.
Any person who knowingly and willfully requests or obtains any record
concerning an individual from the RTC under false pretenses shall be
guilty of a misdemeanor and fined not more than $5,000.
Sec. 1616.14 Exemptions.
The following information is exempt from disclosure:
(a) Investigatory material compiled for law enforcement purposes is
exempt from Sec. Sec. 1616.3 through 1616.9 and Sec. 1616.11(d)(3),
Provided, however, that if any individual is denied any right,
privilege, or benefit to which he/she would otherwise be entitled under
Federal law, or for which he/she would otherwise be eligible, as a
result of the maintenance of such material, such material shall be
disclosed to such individual, except to the extent that the disclosure
of such material would reveal the identity of a source who furnished
information to the Government under an express promise that the identity
of the source would be held in confidence;
(b) Investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for Corporation
employment to the extent that disclosure of such material would reveal
the identity of a source who furnished information to the Corporation
under an express promise that the identity of the source would be held
in confidence, is exempt from Sec. Sec. 1616.3 through 1616.9 and
Sec. 1616.11(d)(3); and
(c) Testing or examination material used solely to determine or assess
individual qualifications for appointment or promotion in the
Corporation's service, the disclosure of which would compromise the
objectivity or fairness of the testing, evaluation, or examination
process is exempt from Sec. Sec. 1616.3 through 1616.9 and
Sec. 1616.11(d)(3).
Appendix A--RTC Field Offices
1. Atlanta Office, 100 Colony Square, Atlanta, GA 30361;
2. Kansas City Office, 4900 Main Street, Kansas City, MO 64112;
3. Dallas Office, 3500 Maple Avenue, Dallas, TX 75219;
4. Denver Office, 1225 17th Street, Denver, CO 80202;
5. Costa Mesa Office, 4000 MacArthur Boulevard, Newport Beach, CA
92660;
6. Valley Forge Office, 1000 Adams Avenue, Norristown, PA 19403.
12 CFR Part 1680
Subpart B--Privacy Act Regulations
Sec.
1680.21 Purpose and scope.
1680.22 Definitions.
1680.23 Procedures for requests pertaining to individual records in a
system of records.
1680.24 Times, places and requirements for identification of
individuals making requests.
1680.25 Disclosures of requested information to individuals.
1680.26 Special procedures for medical records.
1680.27 Requests for amendment of records.
1680.28 Agency reviews of requests for amendment of records.
1680.29 Appeals of adverse initial agency determinations of access or
amendment of records and Statements of Disagreement.
1680.30 Preservation of records.
1680.31 Disclosures of a record to a person other than the individual
to whom the record pertains.
1680.32 Fees.
1680.33 Penalties.
1680.34 Exemptions.
Subpart B--Privacy Act Regulations
Authority: 5 U.S.C. 552a, 5 U.S.C. App., 12 U.S.C. 1441a(b).
Source: 57 FR 56969, Dec. 2, 1992.
Sec. 1680.21 Purpose and scope.
This regulation sets forth the basic policies of the Resolution Trust
Corporation (RTC) that implement the provisions of the Privacy Act of
1974 (5 U.S.C. 552a) regarding the protection of the privacy of
individuals on whom the Corporation's Office of Inspector General (OIG)
maintains information which is retrieved by reference to an individual's
name or an identifying particular assigned to the individual. This
regulation also sets forth the procedures by which an individual may
seek access under the Privacy Act to records pertaining to him/her, may
request correction or amendment of such records, or may seek an
accounting of disclosures of such records maintained by the Office of
Inspector General.
Sec. 1680.22 Definitions.
For the purposes of this part:
(a) Corporation means the Resolution Trust Corporation.
(b) Individual means a natural person who is either a citizen of the
United States of America or an alien lawfully admitted for permanent
residence.
(c) Maintain includes maintain, collect, use, disseminate, or control.
(d) Record means any item, collection or grouping of information about
an individual that is maintained by the Office of Inspector General and
contains his/her name, or the identifying number, symbol, or other
identifying particular assigned to the individual.
(e) System of records means a group of any records under the control
of the Office of Inspector General from which information is retrieved
by the name of the individual or some identifying number, symbol or
other identifying particular assigned to the individual.
(f) Designated system of records means a system of records which has
been listed and summarized in the Federal Register pursuant to the
requirements of 5 U.S.C. 552a(e).
(g) Routine use means, with respect to disclosure of a record, the use
of such record for a purpose which is compatible with the purpose for
which it was created.
(h) Amend and amendment mean any correction, addition to or deletion
from a record.
(i) System manager means the agency official responsible for a
designated system of records, as denominated in the Federal Register
publication of ``Systems of Records Maintained by the Resolution Trust
Corporation.''
(j) Inspector General means the Inspector General or Deputy Inspector
General of the Resolution Trust Corporation.
(k) Assistant Inspector General means the Assistant Inspector General
for Audit, Assistant Inspector General for Investigation, Assistant
Inspector General for Policy, Planning and Resources, or Assistant
Inspector General for Oversight and Quality Assurance.
Sec. 1680.23 Procedures for requests pertaining to individual
records in a system of records.
Written requests by individuals for access to records pertaining to
them and maintained within an Office of Inspector General's designated
system of records should be signed by the requester and submitted in
writing to the Office of Inspector General, Resolution Trust
Corporation, International Place, 1735 North Lynn Street, Rosslyn, VA
22209. Each such request should contain a reasonable description of the
record(s) sought, the system or systems in which such record may be
contained, and any additional identifying information, as specified in
the Corporation's Federal Register ``Notice of Systems of Records'' for
that particular system, copies of which are available upon request from
the Office of Inspector General and the FOIA/PA Branch, Office of the
Secretary.
Sec. 1680.24 Times, places and requirements for identification of
individuals making requests.
(a) Individuals may request access to records pertaining to themselves
by submitting a written request by mail as provided in Sec. 1680.23.
Before information is given or access to records is granted, the Office
of Inspector General may require reasonable identification of the person
making the request to ensure that information is given and records are
disclosed only to the proper individual.
(b) Individuals submitting written requests seeking access to or
amendment of records pertaining to themselves shall include copies of
reasonable identification which contain the signatures of the
individuals such as driver's licenses, employment identification cards
or passports. The identification shall bear the individual's current
residence or business address. Except for records that must be publicly
disclosed pursuant to the Freedom of Information Act (5 U.S.C. 552),
where the Office of Inspector General determines it to be necessary for
the individual's protection, a certification of a duly commissioned
notary public, of any state or territory, attesting to the requesting
individual's identity may be required before a written request seeking
access to or amendment of a record will be honored.
(c) Nothing in this section shall preclude the Office of Inspector
General from requiring such other proof of identity as it deems
satisfactory in the circumstances of a particular request for Office of
Inspector General investigative files.
Sec. 1680.25 Disclosures of requested information to individuals.
(a) Except to the extent that records pertaining to an individual:
(1) Are exempt from disclosure under Sec. 1680.33, or
(2) Were compiled in reasonable anticipation of a civil action or
proceeding,
The Office of Inspector General will make such records available upon
request for purposes of inspection and copying by the individual (after
proper identity verification as provided in Sec. 1680.24) and, upon the
individual's request and written authorization, by another person of the
individual's own choosing.
(b) The Assistant Inspector General or Regional Inspector General for
Audit, where a request involves an audit issued in the region, for those
systems of records under the control of the Office of Inspector General,
will notify, in writing, the individual making a request, within ten
business days following receipt of the request, whether any specified,
designated system of records maintained by the Office of Inspector
General contains a record pertaining to the individual. Where such a
record does exist, the Assistant Inspector General or if appropriate,
Regional Inspector General for Audit, for those systems of records under
the control of the Office of Inspector General, will inform the
individual of the decision whether to grant or deny, in whole or in
part, the request for access. The release of any Corporation documents
not developed by OIG which are contained in OIG files requires the
concurrence of the Secretary of the Corporation (or designee). In the
event existing records are determined not to be disclosable, the
notification will inform the individual of the reason(s) for which
disclosure will not be made and will provide a description of the
individual's right to appeal the denial, as more fully set forth in
Sec. 1680.28.
(c) Individuals will be granted access to records disclosable under
this part 1680, subpart B as soon as is practicable. The Assistant
Inspector General, or Regional Inspector General for Audit, if
appropriate, for those systems of records under the control of the
Office of Inspector General, will give written notification of a
reasonable period within which individuals may inspect disclosable
records pertaining to themselves at the headquarters of the Office of
Inspector General, if appropriate, or the Region in which an audit was
issued, during normal business hours. Alternatively, individuals granted
access to records under this subpart may request that copies of such
records be forwarded to them. Fees for copying such records will be
assessed as provided in Sec. 1680.31.
Sec. 1680.26 Special procedures for medical records.
Medical records shall be disclosed on request to individuals to whom
they pertain, except, if in the judgment of the Corporation or the
Office of Inspector General, depending on the manner by which the record
was generated, the transmission of the medical information directly to
the requesting individual could have an adverse affect upon such
individual. In the event medical information is withheld from the
requesting individual because of any possible adverse affect such
information may have upon the individual, the Corporation or the Office
of Inspector General shall transmit such information to a licensed
medical doctor named by the requesting individual.
Sec. 1680.27 Requests for amendment of records.
The Office of Inspector General will maintain all records it uses in
making any determination about any individual with such accuracy,
relevance, timeliness, and completeness as is reasonably necessary to
assure fairness to the individual in the determination. An individual
may request that the Inspector General amend any portion of a record
pertaining to that individual which the Office of Inspector General
maintains in a designated system of records. Such a request should be
submitted in writing to the Office of Inspector General, Resolution
Trust Corporation, International Place, 1735 North Lynn Street, Rosslyn,
VA 22209, and should contain the individual's reason for requesting the
amendment and a description of the record (including the name of the
appropriate designated system and category thereof) sufficient to enable
the Inspector General to identify the particular record or portion
thereof with respect to which amendment is sought. If an individual has
a copy of the record he/she wishes to have amended, it should be
attached to the request for amendment and the specific portion of the
record sought to be amended should be clearly identified. The individual
making the request may be required to provide the information specified
in Sec. 1680.24 to permit verification of the identity of the individual
making the request for amendment.
Sec. 1680.28 Agency reviews of requests for amendment of records.
(a) Requests by individuals for the amendment of records will be
acknowledged by the Assistant Inspector General or Regional Inspector
General for Audit, if appropriate, within ten business days following
receipt of such requests. Promptly thereafter, the Assistant Inspector
General or Regional Inspector General for Audit for records contained
within a system of records under the control of the Office of Inspector
General, will notify the individual of the decision to grant or deny the
request to amend. The amendment of any Corporation documents not
developed by OIG which are contained in OIG Files requires the
concurrence of the Secretary of the Corporation (or designee). If the
request to amend is granted, in whole or in part the Assistant Inspector
General or Regional Inspector General for Audit will effect the
appropriate amendment .
(b) If the Assistant Inspector General or Regional Inspector General
for Audit for records contained within a system of records under the
control of the Office of Inspector General, denies a request to amend a
record, the notification of such denial shall contain the reason(s) for
the denial and a description of the individual's right to appeal the
denial as more fully set forth in Sec. 1680.29.
Sec. 1680.29 Appeals of adverse initial agency determinations of
access or amendment of records and Statements of Disagreement.
(a) For records contained within a system of records under the control
of the Office of Inspector General, the initial denial of an
individual's request for access to or amendment of a record pertaining
to him/her may be appealed in writing to the Inspector General,
International Place, 1735 North Lynn Street, Rosslyn, VA 22209, within
30 business days following receipt of notification of the denial. Such
appeals should contain all the information specified for requests for
access in Sec. 1680.23 or for initial requests to amend in Sec. 1680.27,
as well as any other additional information the individual deems
relevant for the consideration by the Inspector General of the appeal.
Both the envelope and the appeal letter should have written on them
``Privacy Act Appeal.'' The appeal letter should also enclose a copy of
the initial denial letter.
(b) The Inspector General will normally make a final determination
with respect to an appeal made under this subpart within 30 business
days following receipt of the appeal. The concurrence of the General
Counsel of the Corporation (or designee) is required for Corporation
documents not developed by OIG which are contained in OIG files. The
Inspector General may extend the 30-day time period for good cause. When
such an extension is required, the individual making the appeal will be
notified of the reason for the extension and the expected date upon
which a final decision will be given.
(c) If the Inspector General affirms the initial denial of a request
for access or to amend, he or she will inform the individual affected by
the decision, the reason(s) therefor, and the right of judicial review
of the decision. With respect to a decision to sustain the initial
refusal to amend a record the Inspector General will also inform the
individual of the right to submit a ``Statement of Disagreement'' under
paragraph (d) of this section.
(d) Upon receipt of a determination to affirm the initial denial of a
request to amend records, the individual may submit to the Inspector
General a concise statement (``Statement of Disagreement'') setting
forth his or her reasons for disagreeing with the Inspector General's
determination not to amend. Such a ``Statement of Disagreement'' will be
attached to the record which was the subject of the request to amend.
The Inspector General may, if deemed appropriate, prepare a concise
statement (``Statement of Explanation'') of the reason(s) why the
requested amendment or correction was not made. Any Inspector General
``Statement of Explanation'' will be included in the system of records
in the same manner as the ``Statement of Disagreement.'' A copy of the
``Statement of Explanation'' and of the notation of the dispute as
marked on the original record will be provided to the individual who
requested correction or amendment of the record.
(e) When a record has been amended or corrected or when a ``Statement
of Disagreement'' has been filed, the Inspector General will advise all
prior recipients of the affected record whose identities may be
determined pursuant to the disclosure accountings required by the
Privacy Act (5 U.S.C. 552a(c)), or any other accounting previously made,
of the amendment or correction or the filing of the ``Statement of
Disagreement.'' Any disclosure of disputed information occurring after a
``Statement of Disagreement'' has been filed will clearly identify the
specific information disputed and be accompanied by a copy of the
``Statement of Disagreement'' and a copy of the ``Statement of
Explanation,'' if any, as set forth in paragraph (d) of this section.
Sec. 1680.30 Preservation of records.
The Inspector General will preserve all correspondence relating to the
written requests it receives under this subpart and all records
processed pursuant to such requests, in accordance with the records
retention provisions of General Records Schedule 14, Informational
Services Records, or General Records Schedule 22 for Office of Inspector
General records. Under no circumstances will records be destroyed while
they are subject to a pending request for access, amendment, appeal, or
lawsuit pursuant to the Privacy Act.
Sec. 1680.31 Disclosures of a record to a person other than the
individual to whom the record pertains.
(a) Except as provided in paragraph (b) of this section, the Inspector
General will not disclose any record contained in a designated system of
records to any person or agency except without the prior written consent
of the individual to whom the record pertains.
(b) The restrictions on disclosure in paragraph (a) of this section do
not apply to any disclosures:
(1) To those officers and employees of the Corporation who have a need
for the record in the performance of their duties;
(2) Required under the Freedom of Information Act (5 U.S.C. 552);
(3) For a routine use listed with respect to a designated system of
records;
(4) To the Bureau of the Census for purposes of planning or carrying
out a census or survey or related activity pursuant to the provisions of
Title 13 of the United States Code;
(5) To a recipient who has provided the Corporation with advance
adequate written assurance that the record will be used solely as a
statistical research or reporting record, and the record is to be
transferred in a form that is not individually identifiable;
(6) To the National Archives and Records Administration as a record
which has sufficient historical or other value to warrant its continued
preservation by the United States Government, or for evaluation by the
Archivist of the United States (or designee) to determine whether the
record has such value;
(7) To another agency or to an instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity if the activity is authorized
by law, and if the head of the agency or instrumentality has made a
written request to the Corporation specifying the particular portion
desired and the law enforcement activity for which the record is sought;
(8) To a person pursuant to a showing of compelling circumstances
affecting the health or safety of an individual if, upon such
disclosure, notification is transmitted to the last known address of the
individual to whom the record pertains;
(9) To either House of Congress, or, to the extent of matter within
its jurisdiction, any committee or subcommittee thereof, any joint
committee of Congress or subcommittee of any such joint committee;
(10) To the Comptroller General, or any of his/her authorized
representatives, in the course of the performance of the duties of the
General Accounting Office;
(11) Pursuant to the order of a court of competent jurisdiction; or
(12) To a consumer reporting agency in accordance with 31 U.S.C.
3711(f).
(c) Any ``Statement of Disagreement'' with the Inspector General's
determination not to amend a record, filed with the Inspector General by
an individual pursuant to Sec. 1680.29(d), will be included in the
disclosure of the record under authority of paragraph (b) of this
section. The Inspector General may, in his or her discretion, also
include a copy of the Inspector General's ``Statement of Explanation.''
(d) The Inspector General, with respect to each system of records
under his or her control shall:
(1) Except for disclosures made under paragraphs (b)(1) or (b)(2) of
this section, keep an accurate accounting of--
(i) The date, nature, and purpose of each disclosure of a record to
any person or to another agency made under paragraph (b) of this
section; and
(ii) The name and address of the person or agency to whom the
disclosure is made;
(2) Retain the accounting made under paragraph (d)(1) of this section
for at least five years or the life of the record, whichever is longer,
after the disclosure for which the accounting is made.
(3) Except for disclosures made under paragraph (b)(7) of this
section, make the accounting made under paragraph (d)(1) of this section
available to the individual named in the record at his/her request; and
(4) Inform any person or other agency about any correction or
Statement of Dispute made by the agency in accordance with paragraph (b)
of this section of any record that has been disclosed to the person or
agency if an accounting of the disclosure was made.
Sec. 1680.32 Fees.
The Inspector General, upon a request for records disclosable pursuant
to the Privacy Act of 1974 (5 U.S.C. 552a), shall charge a fee of $.20
per page for duplicating, except as follows:
(a) If the Inspector General determines that he or she can grant
access to a record only by providing a copy of the record, no fee will
be charged for providing the first copy of the record or any portion
thereof;
(b) Whenever the aggregate fees computed under this section do not
exceed $25.00 for any one request, the fee will be deemed waived by the
Inspector General.
Sec. 1680.33 Penalties.
Subsection (i)(3) of the Privacy Act of 1974 (5 U.S.C. 552a(i)(3))
imposes criminal penalties for obtaining Inspector General or
Corporation records on individuals under false pretenses. The subsection
provides as follows: ``Any person who knowingly and willfully requests
or obtains any record concerning an individual from an agency under
false pretenses shall be guilty of a misdemeanor and fined not more than
$5,000.''
Sec. 1680.34 Exemptions.
These provisions authorize the Inspector General to exempt certain OIG
Privacy Act systems of records from portions of the requirements of this
regulation. For those OIG systems of records that are determined to be
exempt, the system notice shall describe the exemption and the reasons.
The Inspector General has determined that the following systems of
records are exempt to the extent provided hereinafter.
(a) Office of Inspector General Investigative Files--(1) Sections of
the Act from which exempted. (i) The Office of Inspector General
Investigative Files system of records is exempt from all sections of the
Privacy Act (5 U.S.C. 552a) except the following: (b) Relating to
conditions of disclosure; (c) (1) and (2) relating to keeping and
maintaining a disclosure accounting; (e)(4) (A) through (F) relating to
publishing a system notice setting forth name, location, categories of
individuals and records, routine uses, and policies regarding storage,
retrievability, access controls, retention and disposal of the records;
(e) (6), (7), (9), (10), and (11) relating to dissemination and
maintenance of records, and (i) relating to criminal penalties. This
system of records is also exempt from 12 CFR 1680.23 through 1680.28 and
1680.31(d) (3) and (4). This exemption applies to those records and
information contained in the system of records pertaining to the
enforcement of criminal laws.
(ii) To the extent that there may exist within this system of records
investigative files compiled for law enforcement purposes, other than
material within the scope of subsection (j)(2) of the Privacy Act, the
Inspector General Investigative Case Files system of records is exempt
from the following sections of the Privacy Act (5 U.S.C. 552a): (c)(3)
relating to access to the disclosure accounting, (d) relating to access
to records, (e)(1) relating to the type of information maintained in the
records; (e)(4) (G), (H), and (I) relating to publishing the system
notice information as to agency procedures for access and amendment and
information as to the categories of sources or records, and (f) relating
to developing agency rules for gaining access and making corrections.
This system of records is also exempt from 12 CFR 1680.23 through
1680.28 and 1680.31(d)(3).
(2) Reason for exemptions. (i) The Office of Inspector General is an
office of RTC a component of which performs, as its principal function,
activity pertaining to the enforcement of criminal laws, within the
meaning of 5 U.S.C. 552a(j)(2). This exemption applies only to those
records and information contained in the system of records pertaining to
criminal investigations. This system of records is exempt for one or
more of the following reasons:
(A) To prevent interference with law enforcement proceedings.
(B) To avoid unwarranted invasion of personal privacy, by disclosure
of information about third parties, including other subjects of
investigation, investigators, and witnesses.
(C) To protect the identity of Federal employees who furnish a
complaint or information to OIG, consistent with section 7(b) of the
Inspector General Act of 1978, as amended, 5 U.S.C. App. 3.
(D) To protect the confidentiality of non-Federal employee sources of
information.
(E) To assure access to sources of confidential information, including
those contained in Federal, State, and local criminal law enforcement
information systems.
(F) To prevent disclosure of law enforcement techniques and
procedures.
(G) To avoid endangering the life or physical safety of confidential
sources and law enforcement personnel.
(ii) Investigative records within this system of records which are
compiled for law enforcement purposes, other than material within the
scope of subsection (j)(2), are exempt under the provisions of 5 U.S.C.
552a(k)(2); Provided, however, That if any individual is denied any
right, privilege, or benefit that they would otherwise be entitled by
Federal law, or for which they would otherwise be eligible, as a result
of the maintenance of such material, such material shall be provided to
such individual except to the extent that the disclosure of such
material would reveal the identity of a source who furnished information
to the Government under an express promise that the identity of the
source would be held in confidence, or, prior to January 1, 1975, under
an implied promise that the identity of the source would be held in
confidence. This system of records is exempt for one or more of the
following reasons:
(A) To prevent interference with law enforcement proceedings.
(B) To protect investigatory material compiled for law enforcement
purposes.
(C) To avoid unwarranted invasion of personal privacy, by disclosure
of information about third parties, including other subjects of
investigation, law enforcement personnel, and sources of information.
(D) To fulfill commitments made to protect the confidentiality of
sources.
(E) To protect the identity of Federal employees who furnish a
complaint or information to OIG, consistent with section 7(b) of the
Inspector General Act of 1978, as amended, 5 U.S.C. App. 3.
(F) To assure access to sources of confidential information, including
those contained in Federal, State, and local criminal law enforcement
systems.
(G) To prevent disclosure of law enforcement techniques and
procedures.
(H) To avoid endangering the life or physical safety of confidential
sources and law enforcement personnel.
(iii) Records within this system of records comprised of investigatory
material compiled solely for the purpose of determining suitability or
eligibility for Federal civilian employment, Federal contractors, or
access to classified information, are exempt under the provisions of 5
U.S.C. 552a(k)(5), but only to the extent that disclosure would reveal
the identity of a source who furnished information to the Government
under an express promise that the identity of the source would be held
in confidence, or, prior to January 1, 1975, under an implied promise
that the identity of the source would be held in confidence. This system
of records is exempt for one or more of the following reasons:
(A) To fulfill commitments made to protect the confidentiality of
sources.
(B) To assure access to sources of confidential information, including
those contained in Federal, State, and local criminal law enforcement
information systems.