[Privacy Act Issuances (1999)]
[From the U.S. Government Publishing Office, www.gpo.gov]
FEDERAL DEPOSIT INSURANCE CORPORATION
TABLE OF CONTENTS
30-64-0001 Attorney--Legal Intern Applicant System.
30-64-0002 Financial Institutions Investigative and Enforcement
Records System.
30-64-0003 Administrative and Personnel Action System.
30-64-0004 Changes in Bank Control Ownership Records.
30-64-0005 Consumer Complaint and Inquiry System.
30-64-0006 Confidential Employee Financial Disclosure Statement
System.
30-64-0007 Employee Education System.
30-64-0008 [Reserved]
30-64-0009 Examiner, Training and Education Records.
30-64-0010 Investigative Files and Records.
30-64-0011 Vacancy Announcement Tracking System.
30-64-0012 Financial Information System.
30-64-0013 Insured Bank Liquidation Records.
30-64-0014 [Reserved]
30-64-0015 Unofficial Personnel System.
30-64-0016 Municipal Securities Dealers and Government
Securities Brokers/Dealers Personnel Records.
30-64-0017 Medical Records and Emergency Contact Information
System.
30-64-0018 Grievance Records System.
30-64-0019 Prospective Investor System.
30-64-0020 Telephone Call Detail Records.
30-64-0021 Fitness Center Records System.
30-64-0022 Freedom of Information Act and Privacy Act Requests
System
30-64-0023 Affordable Housing Program Records System.
03-64-0024 Unclaimed Deposits Reporting System.
Appendix A- Federal Deposit Insurance Corporation Regional Offices
FDIC 30-64-0001
System name: Attorney--Legal Intern Applicant System--FDIC.
System location:
Office of the General Counsel, FDIC, 550 17th Street, NW,
Washington, DC 20429.
Categories of individuals covered by the system:
Applicants for the position of attorney or legal intern with the
General Counsel's office of the FDIC.
Categories of records in the system:
Contains correspondence from the applicants and individuals whose
names were provided by the applicants as references, applicants'
resumes, application forms, and, in some instances, comments of
individuals who interviewed applicants, documents relating to an
applicant's suitability or eligibility, and writing samples.
Authority for maintenance of the system:
Sec. 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information in the system may be disclosed:
(1) In requesting information of individuals or concerns whose
names were supplied by the applicant as references and/or past or
present employers.
(2) To the United States Office of Personnel Management, the
Merit Systems Protection Board, the Office of Special Counsel, the
Federal Labor Relations Authority, an arbitrator, 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 within their
respective jurisdictions.
(3) To a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains.
(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 criminal proceedings.
(5) 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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
File folders.
Retrievability:
Indexed by name; records of unsuccessful applicants are indexed
first by job position category and year, then by name.
Safeguards:
Maintained in lockable metal file cabinets.
Retention and disposal:
Records of unsuccessful applicants are retained two years after
their submission; records of successful applicants become a part of
the FDIC's Unofficial Personnel System (FDIC 30-64-0015) and are
retained two years after the successful applicant leaves the employ
of the FDIC.
System manager(s) and address:
General Counsel, FDIC, 550 17th Street, NW, Washington, DC 20429.
Notification procedure:
Requests must be in writing and addressed to the Office of the
Executive Secretary, FDIC, 550 17th Street, NW, Washington, DC 20429.
Unsuccessful applicants or those individuals with applications
pending before the FDIC who request their records must provide the
job position name and year in which they applied.
Record access procedures:
Same as ``Notification'' above.
Contesting record procedures:
Same as ``Notification'' above.
Record source categories:
The information is obtained from the applicants, references
supplied by the applicants, current and/or former employers of the
applicants, and FDIC employees who interviewed the applicants.
Systems exempted from certain provisions of the act:
Pursuant to section 310.13(b) of the FDIC's Rules and
Regulations, investigatory material compiled solely for the purpose
of determining suitability, eligibility, or qualifications for FDIC
employment may be withheld from disclosure to the extent that
disclosure of such material would reveal the identity of a source who
furnished information to the FDIC under a promise of confidentiality.
FDIC 30-64-0002
System name: Financial Institutions Investigative and
Enforcement Records System.
System location:
Division of Supervision, FDIC, 550 17th Street, NW, Washington,
DC 20429. Computerized records of criminal referral reports and
status updates are managed by the Financial Crimes Enforcement
Network (FinCen), department of the Treasury, 2070 Chain Bridge Road,
Vienna, Virginia 22182, and stored in Detroit, Michigan. The Special
Activities Section, Division of Supervision, FDIC, the regional
offices thereof, and the Legal Division, FDIC, have on-line access to
the computerized database managed by FINCEN through individual work
statious that are linked to the database central computer.
Categories of individuals covered by the system:
(1) Individuals who participate or have participated in the
conduct of or who are or were connected with financial institutions,
such as directors, officers, employees, and customers, and who have
been named in criminal referrals, investigatory records, or
administrative enforcement orders or agreements. Financial
institutions include banks, savings and loan associations, credit
unions, and other similar institutions, whether or not federally
insured and whether or not established or proposed.
(2) Individuals, such as directors, officers, employees,
proponents, controlling shareholders, or person seeking control of
financial institutions, who are the subject of background checks
designed to uncover criminal activities bearing on the individual's
fitness to be a director, officer, employee, or controlling
shareholder.
Categories of records in the system:
Contains, as pertinent, interagency or intra-agency
correspondence or memoranda; criminal referral reports; newspaper
clippings; federal, state, or local criminal law enforcement agency
investigatory reports, indictments and/or arrest an conviction
information; and administrative enforcement orders or agreements.
Certain records contained in this system (principally criminal
investigation reports prepared by the Federal Bureau of
Investigation, Secret Service, and other federal law enforcement
agencies) are the property of those agencies. Upon receipt of a
request for such records, the FDIC will immediately notify the
proprietary agency of the request and seek guidance with respect to
disposition. The FDIC may forward the request to that agency for
processing in accordance with that agency's regulations.
Authority for maintenance of the system:
Sections 5, 6, 7, 8, 9, 18, and 19 of the Federal Deposit
Insurance Act (12 U.S.C. 1815, 1816, 1817, 1818, 1819, 1828, 1829).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information in the system may be disclosed:
(1) 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 criminal proceedings.
(2) 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.
(3) To a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains.
(4) To a financial institution affected by enforcement activities
or reported criminal activities.
(5) To other financial institution supervisory authorities.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Maintained on file cards, in file folders, and on computer discs.
Retrievability:
Indexed by name of the individual.
Safeguards:
Index cards and file folders are maintained in lockable metal
file cabinets. Computer discs maintained at FDIC are accessed only by
authorized personnel. On-line access to the database managed by
FinCenis limited to authorized individuals who have been specified by
each participating agency and who have been issued a nontransferable
identifier or password.
Retention and disposal:
Records are retained for ten years from the date of the creation
of the record, then destroyed by shredder. Records contained on
computer discs are retained until no longer needed.
System manager(s) and address:
Director, Division of Supervision, FDIC, 550 17th Street, NW,
Washington, DC 20429.
Notification procedure:
Requests must be in writing and addressed to the Office of the
Executive Secretary, FDIC, 550 17th Street, NW, Washington, DC 20429.
FDIC 30-64-0003
System name: Administrative and Personnel Action System.
System location: Office of the Executive Secretary, FDIC, 550 17th
Street NW, Washington, DC 20429. A security copy of certain
microfilmed portions of the records is located at 4801 Massachusetts
Avenue NW, Washington, DC 20016.
Categories of individuals covered by the system: Individuals who
have been the subject of administrative actions or personnel actions
by the FDIC Board of Directors or by standing committees of the FDIC
and individuals who have been the subject of administrative actions
by other officials under delegated authority.
Categories of records in the system: Contains minutes of the
meetings of the Board of Directors or standing committees and orders
of the Board of Directors, standing committees, or other officials as
well as annotations of entries into the minutes and orders.
Authority for maintenance of the system: Sections 8, 9, and 19 of
the Federal Deposit Insurance Act (12 U.S.C. 1818, 1819, 1829).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Information in the
system may be disclosed to a congressional office in response to an
inquiry made at the request of an individual to whom the record
pertains.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Index cards, computer discs, minute ledgers, file folders,
and microfilm.
Retrievability: Indexed by name.
Safeguards: Index cards are stored in lockable metal file cabinets;
computer discs are accessed only by authorized personnel; minute
ledgers, file folders, and microfilm are stored in a vault.
Retention and disposal: Permanent.
System manager(s) and address: Executive Secretary, FDIC, 550 17th
Street NW, Washington, DC 20429.
Notification procedure: Requests must be in writing and addressed
to the Office of the Executive Secretary, FDIC, 550 17th Street NW,
Washington, DC 20429. Individuals requesting their own records must
provide their name and address.
Record access procedures: Same as ``Notification'' above.
Contesting record procedures: Same as ``Notification'' above.
Record source categories: Intra-agency records.
Systems exempted from certain provisions of the act: None.
FDIC 30-64-0004
System name: Changes in Bank Control Ownership Records.
System location:
Supervision, Enforcement & Surveillance Branch, Division of Bank
Supervision, FDIC, 550 17th Street, NW, Washington, DC 20429.
Categories of individuals covered by the system:
Individuals who have been involved in a change of bank control or
ownership of FDIC-insured banks or who filed or were a member of a
group that filed a Notice of Acquisition of Control of an FDIC-
insured bank.
Categories of records in the system:
For proposed transactions, the names of proposed acquirers; name
and location of the bank; number of shares to be acquired and
outstanding; date Change in Control Notice was accepted by the FDIC
regional office; name and location of the newspaper in which the
notice was published and date of publication. For consummated
transactions, names of sellers/transferors; names of purchasers/
transferees and number of shares owned after transaction; date of
transaction on bank's books; number of shares acquired and
outstanding. If stock of a holding company is involved, the name and
location of the holding company and the bank it controls.
Authority for maintenance of the system:
Sec. 7(j) of the Federal Deposit Insurance Act (12 U.S.C.
1817(j)).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The information in the system is available to the general public.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Maintained on file cards, in file folders, and on computer discs.
Retrievability:
Indexed by name of the individual.
Safeguards:
Index cards and file folders are maintained in lockable metal
file cabinets; computer discs are accessed only by authorized
personnel.
Retention and disposal:
Records are retained until no longer needed.
System manager(s) and address:
Associate Director, Supervision, Enforcement & Surveillance
Branch, Division of Bank Supervision, FDIC, 550 17th Street, NW,
Washington, DC 20429.
Notification procedure:
Requests must be in writing and addressed to the Office of the
Executive Secretary, FDIC, 550 17th Street, NW, Washington, DC 20429.
Individuals requesting their own records must provide their name and
address.
Record access procedures:
Same as ``Notification'' above.
Contesting record procedures:
Same as ``Notification'' above.
Record source categories:
Persons who are acquiring control of an FDIC-insured bank, the
bank or holding company in which control is changing or has changed;
state and federal financial institution supervisory authorities.
Systems exempted from certain provisions of the act:
None.
FDIC 30-64-0005
System name: Consumer Complaint and Inquiry System.
System location:
Division of Compliance and Consumer Affairs, FDIC, 550 17th
Street NW, Washington, DC 20429, and designated FDIC regional offices
for complaints or inquiries originating within or involving an FDIC-
insureddespository institution located in an FDIC region. A list of
regional offices is available from the Office of Corporate
Communications, FDIC, 550- 17th Street NW, Washington, DC 20429,
(202) 898-6996.
Categories of individuals covered by the system:
Individuals who have filed complaints or inquiries concerning
activities and practices of FDIC-insured depository institutions.
Categories of records in the system:
Contains correspondence and records of other communications
between the FDIC and the individuals filing complaints or making
inquiries, including copies of supporting documents supplied by the
individual. May contain correspondence between the FDIC-insured
depository institution in question and/or intraagency or interagency
memoranda or correspondence.
Authority for maintenance of the system:
Sec. 202(f) of title II of the Federal Trade Improvement Act (15
U.S.C. 57a(f)).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information in the system may be disclosed:
(1) To the institution which is the subject of the complaint or
inquiry when necessary to investigate or resolve the complaint or
inquiry.
(2) To third party sources during the course of the investigation
in order to resolve the complaint or inquiry. Information that may be
disclosed under this routine use is limited to the name of the
complainant or inquirer and the nature of the complaint or inquiry.
(3) To the federal or state supervisory authority that has direct
supervision over the financial institution that is the subject of the
complaint or inquiry.
(4) 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 issued 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.
(5) 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 criminal proceedings.
(6) To a congressional office in response to an inquiry made at
the request of the individual to whom the records pertain.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Maintained in file folders and on computer discs and tapes.
Retrievability:
Indexed by name of complainant or inquirer and/or specialized
identifying number.
Safeguards:
Maintained in lockable metal file cabinets; computer tapes and
discs are accessed by authorized personnel.
Retention and disposal:
Records are retained for two years after receipt unless updated
by correspondence received during the second year. Electronic records
are deleted from the electronic system and files are destroyed by
shredding.
System manager(s) and address:
Director, Division of Compliance and Consumer Affairs, FDIC, 550-
17th Street, NW, Washington, DC 20429. The appropriate FDIC regional
director for records maintained in FDIC regional offices.
Notification procedure:
Requests must be in writing and addressed to the Office of the
Executive Secretary, FDIC, 550 17th Street, NW, Washington, DC 20429.
The request must contain the name and address of the complainant or
inquirer.
Record access procedures:
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; FDIC-insured depository institutions that are
the subject of the complaint; the appropriate agency, whether federal
or state, with supervisory authority over the institution;
congressional offices that may initiate the inquiry; and other
parties providing information to the FDIC in an attempt to resolve
the complaint or inquiry.
Systems exempted from certain provisions of the act:
None.
FDIC 30-64-0006
System name:
Confidential Employee Financial Disclosure Statement System.
System location:
Records are located in designated divisions and offices, and
regional and consolidated offices, to which individuals covered by
the system are assigned. Duplicate copies of the above records are
maintained in the Office of the Executive Secretary, FDIC, 550-17th
Street, NW., Washington, DC 20429, for the purpose of certification
of review and resolution of conflicts of interest disclosed therein.
A list of the system locations is available from the Ethics Section,
Office of the Executive Secretary, FDIC, 550-17th Street, NW.,
Washington, DC 20429.
Categories of individuals covered by the system:
Current, former, and, in the case of item (1) below, prospective
FDIC officers, employees, and special government employees required
to file any of the following forms: (1) Confidential Financial
Disclosure Report; (2) Confidential Report of Indebtedness; (3)
Confidential Report of Interest in FDIC-Insured Depository
Institution Securities; (4) Confidential Report of Employment Upon
Resignation; (5) Employee Certification and Acknowledgement of
Standards of Conduct Regulation and Presidential Executive Orders;
(6) Statement of Credit Card Obligation in Insured State Nonmember
Bank and Acknowledgement of Conditions for Retention-Notice of
Disqualification.
Categories of records in the system:
Information in this system includes data directly furnished by
the individual on the following six forms or related records that may
be generated in the course of the FDIC's administration of Executive
Order 12674, as modified by Executive Order 12731, 5 CFR part 2634, 5
CFR part 2635, 5 CFR part 3202, and 12 CFR part 336--Subpart C, or
any successor regulation thereto:
(1) Confidential Financial Disclosure Report--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 FDIC-insured
depository institutions or any affiliates or subsidiaries of FDIC-
insured depository institutions; may also contain memoranda and
correspondence relating to requests for approval of certain loans
extended by insured banks or affiliates thereof.
(3) Confidential Report of Interest in FDIC-Insured Depository
Institution Securities--contains a brief description of an employee's
direct or indirect interest in the securities of an FDIC-insured
depository institution or affiliate, including a depository
institution holding company, and the date and manner of acquisition
or divestiture; a brief description of an employee's direct or
indirect continuing financial interest through a pension or
retirement plan, trust or other arrangement, including arrangements
resulting from any current or prior employment or business
association, with any FDIC-insured depository institution, affiliate,
or depository institution holding company; and a certification
acknowledging that the employee has read and understands the rules
governing the ownership of securities in FDIC-insured depository
institutions.
(4) Confidential Report of Employment Upon Resignation--contains
information as to the employee's prospective employer, the nature of
the business or organizational 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.
Note: Information is no longer collected on this form. However,
previously collected records continue to be maintained for six years
from the date of filing. All such records will be destroyed by 1997
except for any which may be involved in an ongoing investigation.
(5) Employee Certification and Acknowledgement of Standards of
Conduct Regulation and Presidential Executive Orders--contains
employee's certification and acknowledgement that he or she: has
received a copy of the Standards of Ethical Conduct for Employees of
the FDIC, including Part I of Executive Order 12674, 5 CFR part 2635,
and 12 CFR part 336--subpart C, or any other supplemental
regulations; has been provided a minimum of one hour of official time
to review them; has been advised of the names, titles, office
locations, and telephone numbers of ethics officials responsible for
answering ethics questions; and has a positive responsibility to
comply with the standards of conduct.
(6) Confidential Statement of Credit Card Obligation in Insured
State Nonmember Bank and Acknowledgement of Conditions for Retention-
Notice of Disqualification--for Division of Supervision employees,
identifies FDIC-insured State nonmember depository institutions
outside the employee's region of assignment from which a credit card
was obtained, and employee certification that the credit cards listed
were obtained only under such terms and conditions as are available
to the general public, that the line of credit does not exceed
$10,000, and that the employee is aware of and understands the
requirement for self-disqualification from participation in matters
affecting the creditors identified.
Authority for maintenance of the system:
5 U.S.C. 7301; 5 U.S.C. App. (Ethics in Government Act of 1978);
12 U.S.C. 1819(a); 26 U.S.C. 1043; E.O. 12674, 54 FR 15159, 3 CFR,
1989 Comp., p.215, as modified by E.O. 12731, 55 FR 42547, 3 CFR,
1990 Comp., p.306; 5 CFR 2634.103.
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 Chairman of the FDIC's
Board of Directors 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.
(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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Maintained in file folders.
Retrievability:
Indexed by name, and, in the Office of the Executive Secretary,
on an automated system also indexed by name. The automated system
does not index the names of prospective employees who are not
selected for employment.
Safeguards:
Maintained in lockable metal file cabinets in lockable offices
and, in the Office of the Executive Secretary, on a password-
protected automated index system.
Retention and disposal:
Records concerning prospective employees who are not selected for
employment are retained for one year and then destroyed by shredding
except that documents needed in an ongoing investigation will be
retained until no longer needed in the investigation. All other
records are retained for six years and then destroyed by shredding
(entries from automated computer index are deleted) except that
documents and computer index entries needed in an ongoing
investigation will be retained until no longer needed in the
investigation.
System manager(s) and address:
Ethics Counselor, Federal Deposit Insurance Corporation, 550 17th
Street, NW, Washington, DC 20429.
Notification procedure:
Requests must be in writing and addressed to the Office of the
Executive Secretary, Federal Deposit Insurance Corporation, 550 17th
Street, NW, Washington, DC 20429. The request must contain the name
and office of the individual covered by the system.
Record access procedures:
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 FDIC's Ethics Counselor and support personnel. Information may
also be obtained from the other parties to whom the FDIC 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.
FDIC 30-64-0007
System name: Employee Education System--FDIC.
System location:
Employee Development Branch, Office or Personnel Management,
FDIC, 550 17th Street, NW, Washington, DC 20429; Division of Bank
Supervision Training Center, FDIC, 1701 N. Fort Myer Drive,
Arlington, Virginia 22209, for all FDIC bank examiners; the
appropriate FDIC regional office for employees assigned to an FDIC
region. (See Appendix A for the location of FDIC regional offices.)
Categories of individuals covered by the system:
All present and former FDIC employees.
Categories of records in the system:
Contains the educational history of employees prior to their
employment with the FDIC, and educational progression of employees
while employed by the FDIC. Information includes employee's schools
of attendance, courses completed or enrolled in, dates of attendance,
tuition fees and expenses, and may include per diem and travel
expenses.
Authority for maintenance of the system:
Sec. 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819);
Exec. Order No. 9397, ``Numbering System for Federal Accounts
Relating to Individual Persons'' (Nov. 22, 1943).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosure may be made: (1) To the United States Office of
Personnel Management, the Merit Systems Protection Board, the Office
of Special Counsel, the Federal Labor Relations Authority, an
arbitrator, 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 within their respective jurisdictions; (2) to a
congressional office from the record of an individual in response to
an inquiry from the congressional office made at the request of the
individual; (3) to educational institutions for purposes of
enrollment and verification of employee attendance and performance;
and (4) to vendors, carriers, or other appropriate third parties, by
the FDIC Office of Corporate Audits, for the purpose of verification,
confirmation, or substantiation during the performance of audits or
investigations.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
File folders and computer discs.
Retrievability:
File folders--alphabetically by name; computer discs--social
security number.
Safeguards:
File folders are stored in lockable metal file cabinets; computer
discs are accessed only by authorized personnel.
Retention and disposal:
Permanent retention.
System manager(s) and address:
Director, Office of Personnel Management, FDIC, 550 17th Street,
NW, Washington, DC 20429; Director, Division of Bank Supervision,
FDIC, 550 17th Street, NW, Washington, DC 20429, for records
maintained at Division of Bank Supervision Training Center; the
appropriate FDIC regional director for records maintained in FDIC
regional offices. (See Appendix A for the location of FDIC regional
offices.)
Notification procedure:
Executive Secretary, FDIC, 550 17th Street, NW, Washington, DC
20429.
Record access procedures:
Same as ``Notification'' above.
Contesting record procedures:
Same as ``Notification'' above.
Record source categories:
The information is obtained from the employee on whom the record
is maintained and the training institution in which the employee is
enrolled.
Systems exempted from certain provisions of the act:
None.
FDIC 30-64-0008
System name: Chain Bank Report.
System location:
Division of Bank Supervision, FDIC, 550 17th Street, NW,
Washington, DC 20429, and FDIC regional offices. (See Appendix A for
the location of FDIC regional offices.)
Categories of individuals covered by the system:
Individuals who directly, indirectly, or in concert with others,
own or control a chain banking organization (two or more financial
institutions).
Categories of individuals covered by the system:
Contains names of individuals, information relating to the
person's ownership or control of banks or other financal institutions
and information relating to the bank or financial institution, such
as name, location, charter type, and date of last examination.
Authority for maintenance of the system:
12 U.S.C. 1817(j), 1819 and 1820(b).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information in the system may be disclosed:
(1) To other financial institution supervisory authorities for:
(a) Coordination of examining resources when the chain banking
organization is composed of banks of financial institutions subject
to multiple supervisory juirisdiction; (b) coordination of
evaluations and analysis of the condition of the consolidated chain
organization; and (c) coordination of supervisory, corrective or
enforcement actions.
(2) 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.
(3) To a court, magistrate, or administrative tribunal in the
course of presenting evidence, including disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation, or
settlement negotiations or in connection with criminal law
proceedings.
(4) To a Congressional office in response to an inquiry made at
the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information is maintained in word processing or microprocessing
programs or hard copy printouts stored in file cabinets.
Retrievability:
Indexed by name of controlling individual(s).
Safeguards:
Information in word processing or microprocessing programs is
accessed only by authorized personnel; hard copy printouts will be
stored in lockable file cabinets or offices.
Retention and disposal:
Records are generally maintained in electronic storage disks in
an on-line capacity until needed. Certain records are archived in
off-line storage. All records, including those in printout form, are
periodically updated to reflect changes and maintained as long as
needed.
System manager(s) and address:
Director, Division of Bank Supervision, FDIC, 550 17th Street,
NW, Washington, DC 20429, and for the regional office, the regional
director (see Appendix A).
Notification procedure:
Requests must be in writing and addressed to the Office of the
Executive Secretary, FDIC, 550 17th Street, NW, Washington, DC 20429.
The request must contain (1) the requestor's name and address and (2)
the name and location of the controlled banks.
Record access procedures:
Same as ``Notification'' above.
Contesting record procedures:
Same as ``Notification'' above.
Record source categories:
Examination reports and related materials; regulatory filings;
and Change in Bank Control Notices filed pursuant to 12 U.S.C.
1817(j).
Systems exempted from certain provisions of the act:
None.
FDIC 30-64-0009
System name: Examiner, Training and Education Records--FDIC.
System location:
Division of Bank Supervision Training Center, FDIC, 1701 N. Fort
Myer Drive, Arlington, Virginia 22209.
Categories of individuals covered by the system:
FDIC assistant examiners who have been candidates for
determination of progress to become a commissioned bank examiner
(progress evaluation candidates). FDIC examiners who attend, or have
attended, graduate schools of banking (graduate school of banking
students).
Categories of records in the system:
Progress Evaluation Candidates--contains a statement of the
candidate's education, home address, date and place of birth, and
experience, a report of evaluation of a progress evaluation panel,
the consolidated findings of each progress evaluation panel member,
the candidate's case studies, basic work papers, and responses, and,
in the case of an unsuccessful candidate, the candidate's complete
work papers and responses, as well as the individual findings of each
progress evaluation panel member.
Graduate school of banking students--contains the student's name,
enrollment data, record of attendance, record of completion or
graduation and general correspondence between the FDIC and the
student's school of enrollment.
Authority for maintenance of the system:
Sec. 10(b) of the Federal Deposit Insurance Act (12 U.S.C.
1820(b)).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosure may be made to: (1) The United States Office of
Personnel Management, the Merit Systems Protection Board, the Office
of Special Counsel, the Federal Labor Relations Authority, an
arbitrator, 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 within their respective jurisdictions; (2) to a
congressional office from the record of an individual in response to
an inquiry from the congressional office made at the request of the
individual; (3) to educational institutions for purposes of
enrollment and verification of employee attendance and performance;
and (4) to vendors, carriers, or other appropriate third parties, by
the FDIC Office of Corporate Audits, for the purpose of verification,
confirmation, or substantiation during the performance of audits or
investigations.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Maintained in file folders.
Retrievability:
Indexed by name.
Safeguards:
Maintained in lockable metal file cabinets.
Retention and disposal:
Progress evaluation candidates' records maintained for two years
for the successful candidate and then destroyed by shredder, records
of unsuccessful candidate retained until the candidate's successful
completion or until the candidate leaves the FDIC's employ. Graduate
school of banking student records are permanently retained.
System manager(s) and address:
Director, Division of Bank Supervision, FDIC, 550 17th Street,
NW, Washington, DC 20429.
Notification procedure:
Executive Secretary, FDIC, 550 17th Street, NW, Washington, DC
20429.
Record access procedures:
Same as ``Notification'' above.
Contesting record procedures:
Same as ``Notification'' above.
Record source categories:
Progress evaluation candidates--the candidate, the candidate's
personnel record, and members of the candidate's progress evaluation
panel. Graduate school of banking students--the student, the
student's school, and the student's personnel record.
Systems exempted from certain provisions of the act:
Pursuant to section 310.13(c) of the FDIC's rules and
regulations, testing material used solely to assess individual
qualifications for appointment or promotion, the disclosure of which
would compromise the objectivity or fairness of the testing,
evaluation or examination process, may be withheld from disclosure.
FDIC 30-64-0010
System name: Investigative Files and Records.
System location: Office of Inspector General, FDIC, 550 17th
Street, NW, Washington, DC 20429.
Categories of individuals covered by the system: Employees of the
FDIC or other persons involved in the FDIC's programs or operations
who are or have been under investigation by the FDIC's Office of
Inspector General in order to determine whether such employees or
other persons have been or are engaging in fraud and abuse with
respect to the FDIC's programs or operations.
Categories of records in the system: Contains complete files on
individual investigations including investigation reports and related
documents generated during the course of or subsequent to the
investigation.
Authority for maintenance of the system:
Sec. 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819);
sec. 8E of the Inspector General Act of 1978, as amended.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Information in the
system may be disclosed:
(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 issued 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 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 criminal proceedings.
(3) To a congressional office in response to an inquiry made at
the request of the individual to whom the records pertain.
(4) To a federal, state, or local agency maintaining civil,
criminal, or other relevant enforcement information or other
pertinent information, such as current licenses, if necessary for the
FDIC to obtain information concerning the hiring or retention of an
employee, the issuance of a security clearance, the letting of a
contract, the issuance of a license, grant, or other benefit.
(5) To respond to a federal agency's request made in connection
with the hiring or retention of an employee, the issuance of a
security clearance, the reporting of an investigation of an employee,
the letting of a contract or issuance of a grant, license, or other
benefit by the requesting agency, but only to the extent that the
information disclosed is necessary and relevant to the requesting
agency's decision on the matter.
(6) To other federal Offices of Inspector General for the purpose
of requesting peer review of FDIC Office of Inspector General
investigations, provided the record is transferred in a form that is
not individually identifiable.
In addition to the foregoing, a record which is contained in this
system and derived from another FDIC system of records may be
disclosed as a routine use as specified in the Federal Register
notice of the system of records from which the records derived.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: File folders and computer discs.
Retrievability: Indexed by name of person under investigation,
investigation number, referral number, or investigative subject
matter.
Safeguards: File folders are maintained in lockable metal file
cabinets stored in offices that are locked after hours. Computer
discs are accessed only by authorized personnel.
Retention and disposal: File folders are retained as long as needed
and then destroyed by shredding. Computer discs are cleared, retired,
or destroyed when no longer useful.
Notification procedure: Requests must be in writing and addressed
to the Office of the Executive Secretary, FDIC, 550-17th Street, NW,
Washington, DC 20429. Individuals requesting their own records must
provide their name and address and a notarized statement attesting to
the individual's identity.
Record access procedures:
Same as ``Notification'' above.
Contesting record procedures:
Same as ``Notification'' above.
Record source categories: Subject individuals, employees of the
FDIC, other government employees, and witnesses and informants.
Systems exempted from certain provisions of the act: Pursuant to
section 310.13(a) of the FDIC's rules and regulations. Investigatory
material compiled as part of this system for law enforcement purposes
is exempted from the provisions of sections 310.3 through 310.9 and
section 310.10(d)(2) of the FDIC's rules and regulations and may be
withheld from disclosure to the extent that such withholding is
permissible under any of the exemptive provisions of the Freedom of
Information Act (5 U.S.C. 552). Pursuant to section 310.13(b) of the
FDIC's rules and regulations, investigatory material compiled solely
for the purpose of determining suitability, eligibility, or
qualifications for FDIC employment is exempted from the provisions of
sections 310.3 through 310.9 and section 310.10(d)(2) of the FDIC's
rules and regulations and may be withheld from disclosure to the
extent and disclosure of such material would reveal the identity of a
source who furnished information to the FDIC under a promise of
confidentiality and to the extent that such withholding is
permissible under any of the exemptive provisions of the Freedom of
Information Act.
FDIC 30-64-0011
System name:
Vacancy Announcement Tracking System.
System location:
Personnel Services Branch, Division of Administration, FDIC,
550--17th Street, NW, Washington, DC 20429.
Categories of individuals covered by the system:
Individuals filing applications for employment with the FDIC in
response to advertised position vacancy announcements.
Categories of records in the system:
Position vacancy announcement information such as position title,
series and grade level(s), office and duty location, opening and
closing date of the announcement, and dates of referral and return of
lists of qualified candidates; applicant personal data such as name,
address, social security number, veterans' preference and federal
competitive status; and applicant qualification and processing
information such as qualifications, grade level eligibility, reason
for ineligibility, referral status, and dates of notification.
Authority for maintenance of the system:
5 U.S.C. 1104; 12 U.S.C. 1819.
Routine uses of records maintained in the system, including
categories of users and purposes of such uses:
Information in this system of records may be disclosed:
(1) To the U.S. Office of Personnel Management, the Merit Systems
Protection Board, the Office of Special Counsel, the Federal Labor
Relations Authority, an arbitrator, and the Equal Employment
Opportunity Commission, to the extent disclosure is necessary to
carry out the governmentwide personnel management, investigatory,
adjudicatory, and appellate functions within their respective
jurisdictions;
(2) To a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains;
(3) 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; and
(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 criminal proceedings.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information is maintained on computer network.
Retrievability:
Indexed by name and social security number of individual
applicant.
Safeguards:
The system's computerized databases are stored on an FDIC Local
Area Network (LAN). The network file servers are located in a locked
room in a secured area, with physical access limited to network
administrators. The information is secured by network access rights
in such a way that only authorized users are able to access the data.
Retention and disposal:
Information is maintained on the computer network for two years
and, if no longer needed, deleted.
System manager(s) and address:
Assistant Director, Recruitment and Placement Section, Personnel
Services Branch, Division of Administration, FDIC, 550-17th Street,
NW, Washington, DC 20429.
Notification procedure:
Individuals seeking to determine whether this system of records
contains information about themselves must address written inquiries
to the Office of the Executive Secretary, FDIC, 550-17th Street, NW,
Washington, DC 20429.
Record access procedures:
Same as ``Notification'' procedure above.
Contesting record procedures:
Same as ``Notification'' procedure above.
Record source categories:
Information originates from position vacancy announcements,
applications for employment submitted by individuals, and applicant
qualification and processing information generated within the agency.
Systems exempted from certain provisions of the act:
None.
FDIC 30-64-0012
System name: Financial Information System--FDIC.
System location:
Fiscal and Facilities Management Branch, Division of Accounting
and Corporate Services, FDIC, 550 17th Street, NW, Washington, DC
20429, and the appropriate FDIC regional offices. (See Appendix A for
the location of FDIC regional offices.) Information pertaining to
State or Federal tax liens bankruptcies, attachments, and wage
garnishments also is maintained in the Legal Division, FDIC, 550 17th
Street, NW, Washington, DC 20429.
Categories of individuals covered by the system: All current and
former FDIC employees, and all individuals providing goods and/or
services to the FDIC under contractual arrangements.
Categories of records in the system:
Consists of the following information on all FDIC employees:
Mailing addresses and home addresses; rate and amount of pay; hours
worked; leave accrued and leave balances; life insurance, health
insurance, and retirement deductions; tax exemptions; and payroll
deduction authorizations (including, where applicable, deductions for
savings bonds, States or Federal tax liens, bankruptcies, attachments
and wage garnishments which have been legally executed by the
appropriate taxing or judicial authority). Record relating to
employee claims for reimbursement of official travel expenses,
including travel authorizations, advances, and vouchers showing
amounts claimed, exceptions taken as a result of audit, advance
balances applied, and amounts paid. Other records maintained on
employees, where applicable, include records relating to claims for
reimbursement for relocation expense including authorization,
advances, vouchers showing amounts claimed and amounts paid; records
pertaining to reimbursement for educational expense or professional
membership dues; records relating to incentive award payments; and
records relating to advances or other funds owed to the Corporation.
Records on individuals who are not employees of the FDIC consist of
all documents relating to the purchase of goods and/or services from
those individuals including contractual documents and amounts paid.
Records on individuals who are employees of the FDIC authorized to
approve payment authorization vouchers or regulation and supervision
expenditures.
Authority for maintenance of the system:
Secs. 9 and 10(a) of the Federal Deposit Insurance Act (12 U.S.C.
1819 and 1820(a)); Exec. Order No. 9397, ``Numbering System for
Federal Accounts Relatiing to Individual Persons'' (November 22,
1943); Travel Expense Act of 1949 (5 U.S.C. 5701-5709).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
(1) Records are periodically made available for inspection to
auditors employed by the General Accounting Office.
(2) In the event that information contained in this system of
records indicates a violation or potential violation of the 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, the relevant records in the
system of records may referred, as a routine use, to the appropriate
agency, whether Federal or State, charged with enforcing or
implementing the statute, or rule, regulation or order issued
pursuant thereto.
(3) In the event of litigation, the records may be presented to
the appropriate court, magistrate, or administrative tribunal as
evidence or to counsel for the presentation of evidence and/or in the
course of discovery.
(4) Disclosure may be made to the United States Office of
Personnel Management, the Merit Systems Protection Board, the Office
of Special Counsel, the Federal Labor Relations Authority, an
arbitrator, 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 within their respective jurisdictions.
(5) Disclosure may be made to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of the individual.
(6) Disclosure may be made to the United States Treasury
Department for preparations of savings bonds.
(7) Information developed from these records in routinely
provided to State, City and Federal income tax authorities,
including, at the Federal level, the Internal Revenue Service and the
Social Security Administration, and to other recipients, as
authorized by the employee, including the United States Treasury
Department, savings institutions, insurance carriers, and charity
funds.
(8) Disclosure may be made by the FDIC Office of Corporate Audits
to vendors, carriers, or other appropriate third parties for the
purpose of verification, confirmation, or substantiation during the
performance of audits or investigations.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
File folders, record cards, and computer discs.
Retrievability:
File folders and record cards are indexed by name; computer discs
are indexed by social security number or specialized identifying
number.
Safeguards:
File folders and record cards are stored in lockable metal file
cabinets; computer discs are accessed only by authorized personnel.
Retention and disposal:
Financial payment, payroll deduction, and official travel expense
and reimbursement records are retained by the FDIC for three years
and then transferred to the Federal Records center or destroyed.
Year-end trial balances (the individual earnings record) are retained
during employment and then transferred to the Federal Records Center
and maintained indefinitely. Deduction authorizations and documents
used to develop payroll and employee financial records are retained
for the period of use and up to three additional years, after which
they are destroyed. Records on individuals who are authorized to
approve payment authorization vouchers orregulation and supervision
expenditures will be maintained for a period of three years or until
the next audit by the General Accounting Office.
System manager(s) and address:
Director, Division of Accounting and Corporate Services, FDIC,
550 17th Street, NW, Washington, DC 20429. The appropriate FDIC
regional director for records maintained in FDIC regional offices.
(See Appendix A for the location of FDIC Regional Offices.) General
Counsel, FDIC, 550 17th Street, NW, Washington, DC 20429, for records
maintained by the Legal Division.
Notification procedure:
Executive Secretary, FDIC, 550 17th Street, NW, Washington, DC
20429.
Record access procedures:
Same as ``Notification'' above.
Contesting record procedures:
Same as ``Notification'' above.
Record source categories:
The information is obtained from the employee or person on whom
the record is maintained. Where an employee is subject to a tax lien,
a bankruptcy, an attachment, or a wage garnishment, information also
is obtained from the appropriate taxing or judicial entity.
Systems exempted from certain provisions of the act:
None.
FDIC 30-64-0013
System name: Insured Bank Liquidation Records.
System location:
Designated FDIC service centers, consolidated field offices, and
sites of failed FDIC-insured institutions. A list of the designated
locations is available from the Chief of Policy and Planning,
Operations Branch, Division of Depositor and Asset Services, FDIC,
550-17th Street, NW, Washington, DC 20429.
Categories of individuals covered by the system:
Individuals who were obligors of FDIC-insured institutions that
have failed or that were provided open-bank assistance by the FDIC
and for which the FDIC is acting as liquidator or receiver of certain
of the institutions' assets.
Categories of records in the system:
Contains the obligor's credit or loan files held by the closed or
assisted institution, which files may include the loan and related
documents, correspondence, and bank officer notes; FDIC asset files,
including information relating to the obligor's financial condition,
such as financial statements, income tax returns, asset or collateral
verifications, appraisals, and sources of payment; intra-agency
memoranda or notes relating to the liquidation of the obligation;
correspondence; and any other documents related to the liquidation of
the asset. Records held by the FDIC as receiver are a part of this
system only to the extent that the state law governing the
receivership is not inconsistent or does not otherwise establish
specific requirements.
Authority for maintenance of the system:
12 U.S.C. 1819, 1821, 1823; applicable state laws governing the
liquidation of assets of failed financial institutions.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information in the system may be disclosed:
(1) To prospective purchasers of the individual's obligation(s)
for the purpose of informing the prospective purchasers about the
nature and quality of obligation(s) to be purchased.
(2) To persons performing services for the FDIC in connection
with the liquidation of an individual's obligations, such as
appraisers, outside counsel, and collection agencies, and auditing or
accounting firms retained to assist in an audit or investigation of
FDIC's liquidation activities.
(3) To participants in the obligation in order to fulfill any
contractual or incidental responsibilities in connection with the
participation agreement.
(4) To Federal or state agencies, such as the Farmers Home
Administration, or to financial institutions where information is
relevant to an application or request by the individual for a loan,
grant, financial benefit, or other entitlement.
(5) To Federal or state agencies, such as the Internal Revenue
Service or state taxation authorities, in the performance of their
governmental duties, such as obtaining information regarding income,
including the reporting of income resulting from a compromise of an
obligation.
(6) To apprise courts of competent jurisdiction supervising the
FDIC's liquidation or receivership functions of information required
by statute to be disclosed to the court and necessary to obtain
approvals from the court for the disposal of assets and the
disposition of claims and other related issues.
(7) To Federal or state bank examiners for the purposes of
examining borrowing relationships in operating banks that may be
related to an obligation of an individual covered by this system.
(8) 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 criminal proceedings.
(9) 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.
(10) To a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains.
(11) To the parties, the parties' counsel or other
representatives, the parties' insurance carriers or underwriters of
bankers blanket bonds or financial institutions bonds for failed or
assisted FDIC-insured banks in conjunction with claims made by the
FDIC or others on behalf of the FDIC against former officers,
directors, accountants, lawyers, consultants, appraisers, or
underwriters of bankers blanket bonds of a failed or assisted FDIC-
insured institutions.
Disclosure to consumer reporting agencies:
Disclosures may be made from this system, pursuant to 5 U.S.C.
552a(b)(12), 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)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Maintained in file folders and on computer discs and tapes.
Retrievability:
Indexed by financial institutions number, name of failed or
assisted insured institution, and by name of individual.
Safeguards:
File folders are stored in lockable file cabinets and/or in
secured vault areas accessed only by authorized personnel. Computer
records are accessed only by authorized personnel.
Retention and disposal:
Credit or loan files of the failed or assisted bank are
maintained for the period of time provided under applicable state or
Federal laws pursuant to which the FDIC liquidates the obligations.
FDIC asset files and information maintained in an online capacity are
retained as long as needed.
System manager(s) and address:
The appropriate FDIC regional director for records maintained in
FDIC service centers, consolidated field offices, and sites of failed
FDIC-insured institutions.
Notification procedure:
Requests must be in writing and addressed to the Office of the
Executive Secretary, 550 17th Street, NW, Washington, DC 20429. The
request must contain the individual's name and address and the name
and address of the failed or assisted institution at which the
individual has an obligation.
Record access procedures:
Same as ``Notification'' above.
Contesting record procedures:
Same as ``Notification'' above.
Record source categories:
Information is obtained from the individual on whom the record is
maintained; appraisers retained by the originating bank or the FDIC;
investigative and/or research companies; credit bureaus and/or
services; references named by the individual; attorneys or
accountants retained by the originating bank or the FDIC;
participants in the obligation(s) of the individual; officers and
employees of the failed or assisted bank; congressional offices that
may initiate an inquiry; and other parties providing services to the
FDIC in its capacity as liquidator or receiver.
Systems exempted from certain provisions of the act:
None.
FDIC 30-64-0014
[Reserved]
FDIC 30-64-0015
System name: Unofficial Personnel System.
System location: Office of Personnel Management, FDIC, 550--17th
Street, NW, Washington, DC 20429. In addition, records are maintained
at the division or office levels in the FDIC Washington office, at
the FDIC regional offices, and may be maintained at FDIC field
offices. A list of the FDIC's regional offices is available from the
Corporate Communications Office, FDIC, 550--17th Street NW,
Washington, DC 20429. A list of the field offices may be obtained
from the Director, Division of Bank Supervision, FDIC, 550--17th
Street NW, Washington, DC 20429 in the case of supervision field
offices, and the Operations Branch of Division of Liquidation, FDIC,
550--17th Street NW, Washington, DC 20429 in the case of liquidation
field offices.
Categories of individuals covered by the system: All current and
former FDIC employees and applicants to and graduates of the FDIC
upward mobility program.
Categories of records in the system: This system consists of
personnel-related records that are maintained in addition to those
kept in the official personnel folder pursuant to the Federal
Personnel Manual Suppl. 296-31, table 8, sec. 1. (The United States
Office of Personnel Management has Privacy Act responsibility for
those systems of records which are government-wide in nature, and it
requires agencies to maintain them. Included among these is the
Official Personnel Folder. While OPM has designated the FDIC as being
responsible for disclosing to its current employees the contents of
their Official Personnel Folder, notice of the existence and
character of this system is published by the United States Office of
Personnel Management as ``General Personnel Records,'' OPM/GOVT-1.)
This system contains records of various types. They are: (1) Records
maintained in the Washington, regional, and field offices which may
contain information on individuals relating to: Birth date; social
security number; past and present salaries, grades, and position
titles; home address and telephone number, emergency contacts,
addresses and telephone numbers; employment and education experience,
original applications, resumes, and letters of reference; record of
equipment and material issued to the individual; record of leave and
time-and-attendance; performance appraisals; written notes or
memoranda on employee performance; counseling; employee assignments;
lists of banks examined; records relating to on-the-job training;
data documenting reasons for personnel actions, decisions, or
recommendations made about an employee; disciplinary and adverse
action backup material; claims for benefits under the Civil Service
Retirement System; Federal Employees' Group Life Insurance; FDIC
Employees' Group Life Insurance; documents related to on-the-job
injuries; (2) parking permit records containing information (name,
address, and type of automobile) about FDIC employees who have
applied for (or are members of the applicants' carpool) a parking
permit in the FDIC's Washington office garage; (3) FDIC personnel
awards including information supporting the employee's nomination for
one of these awards; (4) dental insurance records including
information on earnings, number and name of dependents, sex, birth
date, home address, and social security number; (5) employee locator
records containing the employee's name, social security number,
division or office assignment, office telephone number and office
room number; (6) upward mobility program files coordinated by the
FDIC Office of Personnel Management; and (7) FDIC Savings Plan
records containing the employee's name, social security number,
grade, salary, home address, date of birth, record of employee
contributions and FDIC contributions, account earnings and balance,
participant designated beneficiaries, date of participation,
indication as to whether a participant's interest is vested,
allocation of contributions to investment funds, documentation for
reason of hardship withdrawal and amount of withdrawal request
(including documents evidencing purchase of primary residence,
proposals to evict from, or foreclose on the mortgage of, a
participant's primary residence, educational expenses, medical
expenses, and other acceptable financial hardship), documentation to
support participation in the FDIC Savings Plan Loan Program, and
personal financial statement.
Authority for maintenance of the system: Sec. 9 of the Federal
Deposit Insurance Act (12 U.S.C. 1819); For category (6), sec. 717 of
the Equal Employment Opportunity Act (42 U.S.C. 2000e-16).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: With regard to
category (1) above, the records are primarily maintained to be used
by the employee's supervisor for preparation of general personnel
action; however, in the case of categories (1), (2), (3), (6), and
(7), disclosures may be made, where relevant:
(a) To financial and credit institutions for loan and credit
reference purposes (solely to verify the employee's employment with
the FDIC, date of employment, and pay grade);
(b) To the United States Office of Personnel Management, the
Merit Systems Protection Board, the Office of Special Counsel; the
Federal Labor Relations Authority, an arbitrator, 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 within their
respective jurisdiction;
(c) 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 criminal proceedings;
(d) To a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains;
(e) To State authorities regarding reasons for a former
employee's separation from FDIC service, where the inquiry is made
pursuant to the former employee's application for unemployment
compensation;
(f) To Federal and State regulatory agencies, for reasons related
to FDIC business, as to the temporary work location of FDIC bank
examiners.
Disclosure may be made, in the case of category (4) above, to the
dental insurance carrier in support of a claim for dental insurance
benefits. In category (5) above, except for the employee's Social
Security Number, all information in the record is available to the
public. In category (6) above, disclosure may be made to appropriate
FDIC managers, supervisors and Office of Personnel Management
individuals who are involved in the assessment, evaluation and
selection of an applicant for upward mobility training and/or in the
monitoring and evaluation of the upward mobility participant during
the training period. In categories (1), (2), and (4) above,
disclosure may be made by the FDIC Office of Inspector General to
vendors, carriers, or other appropriate third parties for the purpose
of verification, confirmation, or substantiation during the
performance of audits or investigations. In category (7) above,
disclosure may be made, where relevant:
(a) To Federal, State, and local government tax enforcement
agencies, upon request, so that they may enforce applicable tax laws;
(b) To annuity vendors so that these firms may provide retired
employees with an annuity;
(c) To financial institutions that are qualified pension plan
sponsors for purposes of transfer to an individual retirement account
or to transfer into another qualified pension plan;
(d) To the Department of Agriculture's National Finance Center to
assure correct amounts are deducted from an employee's salary;
(e) To beneficiaries so that they may exercise their entitlement
rights;
(f) To audit firms so that they may perform audits;
(g) To T. Rowe Price so that they may carry out their functions
as investors of the FDIC Savings Plan funds;
(h) To any person legally responsible for the care of an
individual to whom a record pertains and who has been found legally
incompetent or under other legal disability, to assure payment of
entitled benefits;
(i) To the Department of Health and Human Services, upon its
request, of the present address of an employee, former employee, or
beneficiary for the purpose of enforcing child support obligations
against such individual;
(j) 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.
Disclosure to consumer reporting agencies:
Disclosures may be made from this system, pursuant to 5 U.S.C.
552a(b)(12) to ``consumer reporting agencies'' as defined in the Fair
Credit Reporting Act (15 U.S.C. 1681a(f)(1)) or the Federal Claims
Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Maintained on index cards and in file folders. Category
(5) is maintained on computer discs, categories (6) and (7) in file
folders.
Retrievability: Retrieved by name or in category (7) by date of
birth or social security number.
Safeguards: Maintained in lockable metal file cabinets; computer
discs are accessed only by authorized personnel.
Retention and disposal: Records are destroyed when no longer
relevant to the purpose for which they were compiled and maintained.
Generally, records are destroyed when the employee no longer works in
the division or office which compiled and maintained the information.
Parking permit records are kept for one year and then destroyed.
Records of unsuccessful upward mobility candidates are retained for
four years after submission; records of successful applicants are
maintained until two years after leaving the employ of the FDIC.
Records of the FDIC Savings Plan are kept indefinitely.
System manager(s) and address: Director, Office of Personnel
Management, FDIC, 550-17th Street, NW, Washington, DC 20429, for
Corporation level records. For FDIC division or office levels, the
head of the appropriate division or office; for FDIC regional
offices, the regional director; for FDIC field offices, the field
office supervisor. For Parking Permit Records and Employee Locator
Record, the Director, Division of Accounting and Corporate Services,
FDIC, 550-17th Street, NW, Washington, DC 20429. For the upward
mobility program and the FDIC Savings Plan, Director, Office of
Personnel Management, FDIC, 550-17th Street, NW, Washington, DC
20429.
Notification procedure: Requests must be in writing and addressed
to the Office of the Executive Secretary, FDIC, 550-17th Street, NW,
Washington, DC 20429.
Record access procedures: Same as ``Notification'' above.
Contesting record procedures: Same as ``Notification'' above.
Record source categories: Individuals to whom the records pertain;
their immediate supervisors or persons at other supervisory levels;
other fellow employees. For upward mobility, record source categories
would include educational institutions which the applicant has
attended. For the FDIC Savings Plan, record source categories would
include agency pay and leave records.
Systems exempted from certain provisions of the act: None.
FDIC 30-64-0016
System name: Municipal Securities Dealers and Government
Securities Brokers/Dealers Personnel Records.
System location:
Capital Markets and Administration Branch, Division of
Supervision, FDIC, 550 17th Street, NW, Washington, DC 20429.
Categories of individuals covered by the system:
(1) Persons who are or seek to be municipal securities principals
or municipal securities representatives associated with municipal
securities dealers which are FDIC-insured, state-chartered banks
(including insured state-licensed branches of foreign banks), not
members of the Federal Reserve System, or are subsidiaries,
departments, or divisions of such banks.
(2) Persons who are or seek to be persons associated with
government securities dealers or government securities brokers which
are FDIC-insured state-chartered banks, other than members of the
Federal Reserve System, or are departments or divisions of such
banks.
Categories of records in the system:
The records may contain identifying information as well as
educational, employment, and disciplinary information, if any, and,
where applicable, information regarding termination of employment of
individuals covered by the system. Identifying information includes
name, addresses, date and place of birth, and may include social
security account number.
Authority for maintenance of the system:
Secs. 15B, 15C, and 23 of the Securities Exchange Act of 1934 (15
U.S.C. 78o-4, 78o-5, and 78w).
Routine uses of records maintained in the system, including
categories of users and purposes of such use:
Information in the system may be disclosed:
(1) 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 criminal proceedings.
(2) To the appropriate federal, state, local, or foreign agency
or authority or to a self-regulatory organization, as defined in
section 3(a)(26) of the Securities Exchange Act of 1934 (15 U.S.C.
78c(a)(26)), 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.
(3) To a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains.
(4) To assist in any proceeding in which the federal securities
or banking laws are in issue or a proceeding involving the propriety
of a disclosure of information contained in this system, in which the
FDIC or one of its past or present employees is a party.
(5) To a federal, state, local, or foreign governmental authority
or a self-regulatory organization if necessary in order to obtain
information relevant to an FDIC inquiry concerning a person who is or
seeks to be associated with a municipal securities dealer as a
municipal securities principal or representative or a government
securities broker or a government securities dealer (as described in
``Categories of individuals covered by the system'' above).
(6) To a federal, state, local, or foreign governmental authority
or a self-regulatory organization in connection with the issuance of
a license or other benefit to the extent that the information is
relevant and necessary.
(7) To a registered dealer, a registered broker, a registered
municipal securities dealer, a government securities dealer, a
government securities broker, or an insured bank that is a past or
present employer of an individual that is the subject of a record, or
to which such individual has applied for employment, for purposes of
identity verification or for purposes of investigating the
qualifications of the subject individual.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Maintained in file folders and in electronic media.
Retrievability:
Indexed by name, social security number, dealer registration
number or FDIC bank certificate number.
Safeguards:
File folders are stored in lockable metal file cabinets;
computerized records are accessed only by authorized personnel with
password access.
Retention and disposal:
Permanent retention.
System manager(s) and address:
Associate Director, Capital Markets and Administration Branch,
Division of Bank Supervision, FDIC, 550-17th Street, NW, Washington,
DC 20429.
Notification procedure:
Requests must be in writing and addressed to the Office of the
Executive Secretary, FDIC, 550 17th Street, NW, Washington, DC 20429.
Individuals requesting their own records must provide their name and
the date and place of their birth, and may be required to include a
notarized statement attesting to identity.
Record access procedures:
Same as ``Notification'' above.
Contesting record procedures:
Same as ``Notification'' above.
Record source categories:
Individuals on whom the records are maintained, municipal
securities dealers and government securities dealers and brokers (as
such dealers are described in ``Categories of individuals covered by
the system'' above), and federal, state, local, and foreign
governmental authorities and self-regulatory agencies which regulate
the securities industry.
Systems exempted from certain provisions of the act:
None.
FDIC 30-64-0017
System name: Medical Records and Emergency Contact Information
System--FDIC.
System location:
Health Unit, Corporate Services Branch, Division of
Administration, FDIC, 550-17th Street, NW, Washington, DC 20429 and
3501 North Fairfax Drive, Arlington, Virginia 22226..
Categories of individuals covered by the system:
All current and former FDIC employees.
Categories of records in the system:
Medical record of the employee, including the date of visit to
the FDIC Health Unit, the diagnosis, and the treatment administered;
name and telephone number of the person to contact in the event of an
emergency involving the employee.
Authority for maintenance of the system:
Sec. 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819);
sec. 506 of the Federal Records Act of 1950 (44 U.S.C. 3101).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
No disclosure (including intra-agency disclosure) of information
contained in the medical files is made without the prior written
consent of the employee concerned. In the event of an emergency, the
emergency contact would be notified.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Maintained in paper files in manila folders. For records dating
from 1986 and earlier, maintained on 8 by 10 cards with a separate
emergency contace sheet attached to it.
Retrievability:
Indexed by name.
Safeguards:
Maintained in lockable metal file cabinets in Health Unit. Only
the nurse and substitute nurse are allowed access to the files. The
Health Unit is locked whenever the nurse is absent.
Retention and disposal:
Records are kept for the duration of the employees's employment
with FDIC and for six years thereafter, then destroyed by shredding.
noted, the form is kept by the nurse; otherwise, the form is
destroyed.
System manager(s) and address:
Associate Director, Corporate Services Branch, Division of
Administration, FDIC, 550-17th Street, NW, Washington DC 20429.
Notification procedure:
Executive Secretary, FDIC, 550 17th Street, NW, Washington, DC
20429.
Record access procedures:
Same as `` Notification'' above.
Contesting record procedures:
Same as ``Notification'' above.
Record source categories:
The medical records are compiled by the employee and the nurse
during the course of visits to the Health Unit for treatment. The
information on the emergency contact sheet is supplied by the
employee.
Systems exempted from certain provisions of the act:
None.
FDIC 30-64-0018
System name: Grievance Records System--FDIC.
System location:
Office of Personnel Management, FDIC, 550 17th Street, NW,
Washington, DC 20429. Records at the regional level generated through
grievance procedures negotiated with recognized labor organizations
and arbitration are located in the FDIC regional office where
originated. (See Appendix A for the location of FDIC regional
offices.) Duplicate copies are maintained as records by the Office or
Personnel Management for the purpose of coordinating grievance and
arbitration handling.
Categories of individuals covered by the system:
Current or former FDIC employees who have submitted grievances in
accordance with part 771 of the United States Office of Personnel
Management's regulations (5 CFR part 771) or a negotiated grievance
procedure.
Categories of records in the system:
The system contains records relating to grievances filed by FDIC
employees under part 771 of the United States Office of Personnel
Management's regulations, or under 5 U.S.C. 7121. These case files
contain all documents related to the grievance including statements
of witnesses, reports of interviews and hearings, examiner's findings
and recommendations, a copy of the final decision, and related
correspondence and exhibits. This system includes files and records
of internal grievance and arbitration systems that FDIC may establish
through negotiations with recognized labor organizations.
Authority for maintenance of the system:
5 U.S.C. 7121; 5 CFR part 771.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information in these records may be used: (1)
To disclose pertinent information to the appropriate Federal, State,
or local agency responsible for investigating, prosecuting, enforcing
or implementing a statute, rule, regulation, or order, where the FDIC
becomes aware of an indication of a violation or potential violation
of civil or criminal law or regulation; (2) to disclose information
to any source from which additional information is requested in the
course of processing a grievance, to the extent necessary to identify
the individual, inform the source of the purpose(s) of the request
and identify the type of information requested; (3) to disclose
information to a Federal agency, in response to its request, in
connection with the hiring or retention of an employee, the issuance
of a security clearance, the conducting of a security or suitability
investigation of an individual, the classifying of jobs, the letting
of a contract or the issuance of a license, grant, or other benefit
by the requesting agency to the extent that the information is
relevant and necessary to requesting agency's decision on the matter;
(4) to provide information to a congressional office from the record
of an individual in response to an inquiry from that congressional
office made at the request of that individual; (5) to disclose
information to another Federal agency or to a court when the
government is party to a judicial proceeding before the court; (6) by
the National Archives and Records Administration (General Services
Administration) in records management inspections conducted under
authority of 44 U.S.C. 2904 and 2098; (7) by the FDIC or the United
States Office of Personnel Management in the production of summary
descriptive statistics and analytical studies in support of the
function for which the records are collected and maintained, or for
related work force studies. While published statistics and studies do
not contain individual identifiers, in some instances the selection
of elements of data included in the study may be structured in such a
way as to make the data individually identifiable by inference; (8)
to disclose information to officials of the Merit Systems Protection
Board, the Office of the Special Counsel, the Federal Labor Relations
Authority and its General Counsel, an arbitrator, or the Equal
Employment Opportunity Commission when requested in performance of
their authorized duties; (9) to disclose in response to a request for
discovery or for appearance of a witness, information that is
relevant to the subject matter involved in a pending judicial or
administrative proceeding; and (10) to provide information to
officials of labor organizations recognized under the Civil Service
Reform Act when relevant and necessary to their duties of exclusive
representation concerning personnel policies, practices and matters
affecting work conditions.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Maintained in file folders.
Retrievability:
Indexed by name.
Safeguards:
Maintained in lockable metal file cabinets to which only
authorized personnel have access.
Retention and disposal:
These records are disposed of three years after closing of the
case. Disposal is by shredding or burning.
System manager(s) and address:
Director, Office of Personnel Management, FDIC, 550 17th Street,
NW, Washington, DC 20429. The appropriate FDIC regional director for
records maintained in FDIC regional offices. (See Appendix A for the
location of FDIC regional offices.)
Notification procedure:
Executive Secretary, FDIC, 550 17th Street, NW, Washington, DC
20429.
Record access procedures:
Same as ``Notification'' above.
Contesting record procedures:
Same as ``Notification'' above.
Record source categories:
Information in this system of records is provided; (1) By the
individual on whom the record is maintained; (2) by testimony of
witnesses; (3) by agency officials; and (4) from related
correspondence from organizations or persons.
Systems exempted from certain provisions of the act:
None.
FDIC 30-64-0019
System name: Secondary Marketing Asset Prospect System.
System location:
Division of Depositor and Asset Services, FDIC, 550-17th Street,
NW, Washington, DC 20429.
Categories of individuals covered by the system:
Individuals who have submitted written notice of an interest in
purchasing loans or owned real estate from the FDIC.
Categories of records in the system:
Contains the individual's name, address, and telephone number;
information as to the kind or category and general location of loans
or owned real estate the individual may be interested in purchasing;
and information relating whether any bids have been submitted on loan
sales.
Authority for maintenance of the system:
12 U.S.C. 1819, 1821 and 1823.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information in the system may be disclosed:
(1) To other federal or state agencies to assist in the marketing
and sale of loans and real estate held by the agency.
(2) 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.
(3) To a court, magistrate, or administrative tribunal in the
course of presenting evidence, including disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation, or
settlement negotiations or in connection with criminal law
proceedings.
(4) To a Congressional office in response to an inquiry made at
the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information is maintained in computer discs and tapes or hard
copy printouts stored in file cabinets.
Retrievability:
Indexed by name of prospective investor; information can also be
retrieved by the system identification number assigned the
prospective investor.
Safeguards:
Information in computer discs and tapes is accessed only by
authorized personnel; hard copy printouts will be stored in lockable
file cabinets or officies.
Retention and disposal:
Records are generally maintained in computer discs and tapes in
an on-line capacity until needed. Back-up tapes are maintained in in
off-line storage. All records, including those in printout form, are
periodically updated to reflect changes and maintained as long as
needed. Obsolete date is deleted or destroyed after 15 months.
System manager(s) and address:
Director, Division of Depositor and Asset Services, 550-5th
Street, NW, Washington DC 20429.
Notification procedure:
Requests must be in writing and addressed to the Office of the
Executive Secretary, FDIC, 550 17th Street, NW, Washington, DC 20429.
The request must contain the prospective investor's name and address.
Record access procedures:
Same as ``Notification'' above.
Contesting record procedures:
Same as ``Notification'' above.
Record source categories:
Information is obtained from the individual upon whom the record
is maintained.
Systems exempted from certain provisions of the act:
None.
FDIC 30-64-0020
System name: Telephone Call Detail Records.
System location:
Corporate Services Branch, Division of Accounting and Corporate
Services, FDIC, 550 17th Street NW, Washington, DC 20429 and
designated FDIC regional offices, consolidated field offices, and
field offices. A list of the designated offices is available from the
Corporate Services Branch at the above address.
Categories of individuals covered by the system:
Individuals assigned telephone numbers by the FDIC, including
current and former FDIC employees, and other individuals provided
telephone services by the FDIC, such as current and former employees
of FDIC's cafeteria and credit union, who make long distance and
local calls placed from FDIC telephones.
Categories of records in the system:
Records relating to use of FDIC telephones to place long distance
and local calls; records indicating assignment of telephone numbers
to individuals covered by the system; records relating to location of
telephones.
Authority for maintenance of the system:
Sec. 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information in the system may be disclosed, as is necessary:
(1) To a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains.
(2) To representatives of the General Services Administration or
the National Archives and Records Administration who are conducting
records management inspections.
(3) 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 criminal proceedings.
(4) 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 by particular program
statute, or by regulation, rule, or order issued pursuant thereto.
(5) To FDIC current and former employees and other individuals
currently or formerly provided telephone services by the FDIC to
determine their individual responsibility for telephone calls.
(6) To respond to a federal agency's request made in connection
with the hiring or retention of an employee, the letting of a
contract or issuance of a grant, license, or other benefit by the
requesting agency, but only to the extent that the information
disclosed is relevant and necessary to the requesting agency's
decision on the matter.
(7) To a telecommunications company providing telecommunications
support to permit servicing the account.
Disclosure to consumer reporting agencies:
Disclosures may be made from this system, pursuant to 5 U.S.C.
552a(b)(12), 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)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Maintained in the telephone system's memory and on magnetic tape;
may also be maintained on printout produced from the system's memory
or magnetic tapes.
Retrievability:
Records are retrieved by telephone number.
Safeguards:
Records are locked in telephone equipment rooms accessible only
to authorized personnel. To retrieve information from the system's
memory, a password is required.
Retention and disposal:
Records are destroyed after the close of the fiscal year in which
they are audited or after three years, whichever occurs first.
System manager(s) and address:
Associate Director, Corporate Services Branch, Division of
Accounting and Corporate Services, FDIC, 550 17th Street NW,
Washington, DC 20429.
Notification procedure:
Requests must be in writing and addressed to the Office of the
Executive Secretary, FDIC, 550 17th Street NW, Washington, DC 20429.
The request must contain the individual's name and the telephone
number assigned to the individual by the FDIC.
Record access procedures:
Same as ``Notification'' above.
Contesting record procedures:
Same as ``Notification'' above.
Record source categories:
Telephone assignment records; call detail listings; results of
administrative inquiries relating to assignment of responsibility for
placement of specific long distance and local calls.
Systems exempted from certain provisions of the act:
None.
FDIC 30-64-0021
System name: Fitness Center Records System.
System location:
Fitness Center, Division of Accounting and Corporate Services,
FDIC, 550 17th Street, NW, Washington, DC 20429.
Categories of individuals covered by the system:
FDIC employees who apply for membership in the Fitness Center.
Categories of records in the system:
Principally contains the individual's name, gender, age, history
of certain medical conditions; the name of the individual's personal
physician and of any prescription or over-the-counter drugs taken on
a regular basis; the name and address of a person to be notified in
case of emergency. Also contains information on the individual's
degree of physical fitness and his or her fitness activities and
goals. Also contains forms, memoranda, or correspondence, as
appropriate, related to the employee's membership in Fitness Center.
Authority for maintenance of the system:
12 U.S.C. 1819.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information in the system may be disclosed:
(1) To the individual listed as an emergency contact, in the
event of an emergency.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information recorded on paper forms is stored in folders in file
cabinets. Information recorded on index cards is stored in a card
file box.
Retrievability:
Indexed by name of Fitness Center member.
Safeguards:
Completed forms will be stored in lockable file cabinets. Only
authorized personnel will have access to areas in which information
is stored.
Retention and disposal:
All records are updated when necessary to reflect changes and
maintained as long as needed.
System manager(s) and address:
Fitness Director, Division of Accounting and Corporate Services,
FDIC, 550 17th Street, NW, Washington, DC 20429.
Notification procedure:
Requests must be in writing and addressed to the Office of the
Executive Secretary, FDIC, 550 17 Street, NW, Washington, DC 20429.
Individuals requesting their own records must provide their names and
addresses.
Record access procedures:
Same as ``NOTIFICATION'' above.
Contesting record procedures:
Same as ``NOTIFICATION'' above.
Record source categories:
Information is principally obtained from the individual upon whom
the record is maintained. Some information will be provided by the
Fitness Director and, in certain cases, by a physician retained by
the FDIC and by the individual's personal physician.
Systems exempted from certain provisions of the act:
None.
FDIC 30-64-0022
System name: Freedom of Information Act and Privacy Act Requests
System.
System location: Office of the Executive Secretary, 550-17th
Street, NW, Washington, DC 20429. In addition, certain of the records
may be maintained at the division or office levels in the FDIC
Washington office.
Categories of individuals covered by the system: Persons filing
Freedom of Information Act and/or Privacy Act requests and those
filing an appeal of a denial, in whole or part, of any such requests.
Categories of records in the system: This system consists of
letter requests, internal memoranda, response letters, appeals of
denials, final determinations, and request log.
Authority for maintenance of the system: The Freedom of Information
Act and the Privacy Act of 1974 (5 U.S.C. 552 and 552a).
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:
(1) To another federal government agency having records within
the scope of a request;
(2) To a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains;
(3) 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 criminal proceedings; and
(4) 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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Maintained on computer discs and in file folders.
Retrievability: Retrieved by requester's name, firm, assigned log
number, or nature of request.
Safeguards: File folders are maintained in lockable metal file
cabinets. Computer discs are accessed by authorized personnel.
Retention and disposal: Freedom of Information Act (``FOIA'')
requests and related documents which are answered affirmatively are
destroyed two years after the date of the reply. For requests which
are answered negatively, the records are destroyed six years after
the date of the reply, unless the denial is appealed, in which case
the request and related documentation are destroyed six years after
the final agency determination or three years after final
adjudication by the courts, whichever is later. Documents maintained
for control purposes are destroyed six years after the last entry.
Documents maintained for processing Privacy Act requests are disposed
of in accordance with approved disposition instructions for
individual records, or five years after the disclosure for which the
accountability was made, whichever is later. Documentation relating
to the general administration of the FOIA and Privacy Act programs is
destroyed after two years or sooner if no longer administratively
useful.
System manager(s) and address: Executive Secretary, Office of the
Executive Secretary, FDIC, 550-17th Street, NW, Washington, DC 20429.
For division or office levels, the head of the appropriate division
or office.
Notification procedure: Requests must be in writing and addressed
to the Office of the Executive Secretary, FDIC, 550-17th Street, NW,
Washington, DC 20429.
Record access procedures: Same as ``Notification'' above.
Contesting record procedures: Same as ``Notification'' above.
Record source categories: Requesters, internal memoranda, and
employees processing the requests.
Systems exempted from certain provisions of the act: The FDIC has
claimed exemptions for several of its other systems of records under
the Privacy Act. See 12 CFR 310.13. During the processing of a
Freedom of Information Act or Privacy Act request, exempt materials
from those other systems may become part of the case record in this
system. To the extent that copies of exempt records from those other
systems are entered into this system of records, the FDIC has claimed
the same exemptions for the records as they have in the original
primary systems of records of which they are a part.
FDIC 30-64-0023
System name:
Affordable Housing Program Records System.
System location:
Designated FDIC service centers, regional offices, and
consolidated field offices. A list of the designated locations is
available from the FDIC's Division of Depositor and Asset Services,
550-17th Street, NW., Washington, DC 20429.
Categories of individuals covered by the system:
Purchasers and prospective purchasers of residential properties
offered for sale through the FDIC's Affordable Housing Program. To be
considered a prospective purchaser for purposes of this records
system, the party must have (1) completed and signed an FDIC
``Certification of Income Eligibility'' and (2) delivered the form to
an authorized representative of the FDIC's Affordable Housing
Program.
Categories of records in the system:
Contains the purchaser's or prospective purchaser's income
qualification form and substantiating documents (such as financial
statements, income tax returns, assets or collateral verifications,
appraisals, and sources of income); copies of sales contracts, deeds,
or other recorded instruments; intra-agency forms, memoranda, or
notes related to the property and purchaser's participation in the
FDIC's Affordable Housing Program; correspondence; and any other
documents related to the FDIC's Affordable Housing Program.
Authority for maintenance of the system:
Sections 9, 11, 13, and 40 of the Federal Deposit Insurance Act
(12 U.S.C. 1819, 1821, 1823, 1831q).
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:
(1) To a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains;
(2) 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 criminal proceedings;
(3) 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;
(4) To persons or firms retained by the FDIC to perform services
in connection with the implementation of the Affordable Housing
Program such as brokers, appraisers, mortgage lenders, outside
counsel, and outside consultants; and
(5) To mortgage companies, financial institutions, federal
agencies (such as the Federal Housing Administration, the Farmers
Home Administration, and the Veterans Administration), or state and
local government housing agencies where information is relevant to an
application or request for a loan, grant, financial benefit, or other
type of assistance or entitlement.
Disclosures to consumer reporting agencies:
Disclosure may be made from this system pursuant to 5 U.S.C.
552a(b)(12) 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)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Maintained on computer disks and in file folders.
Retrievability:
Retrieved by name of purchaser or prospective purchaser of
affordable housing property, and by address of the property
purchased.
Safeguards:
File folders are maintained in lockable metal file cabinets.
Computer disks are accessed by authorized personnel.
Retention and disposal:
Affordable Housing Program files and information maintained in an
online capacity are destroyed six years after termination of
receivership of the closed bank from which the property was acquired
if no longer needed by FDIC and in accordance with state or federal
banking laws.
System manager(s) and address:
The appropriate FDIC regional director for records maintained in
FDIC service centers and regional offices, and the appropriate FDIC
bank liquidation specialist-in-charge for records maintained in
consolidated field offices.
Notification procedure:
Requests must be in writing and addressed to the Office of the
Executive Secretary, FDIC, 550-17th Street, NW., Washington, DC
20429. The request must contain the purchaser's or the prospective
purchaser's name and address.
Record access procedures:
Same as ``Notification'' above.
Contesting record procedures:
Same as ``Notification'' above.
Record source categories:
Information is obtained principally from the individual upon whom
the record is maintained; information pertaining to an individual
may, in some cases, be supplemented with reports from credit bureaus
and/or other services.
Systems exempted from certain provisions of the act:
None.
FDIC 30-64-0024
System name:
Unclaimed Deposits Reporting System.
System location:
Designated FDIC service centers and consolidated field offices. A
list of the designated locations is available from the Chief of
Policy & Planning, Operations Branch, Division of Depositor and Asset
Services, FDIC, 550-17th Street, NW, Washington, DC 20429.
Categories of individuals covered by the system:
Owners of unclaimed insured or transferred deposits from closed
insured depository institutions for which the FDIC was appointed
receiver after January 1, 1989.
Categories of records in the system:
Records relating to unclaimed insured or transferred deposits
from closed insured depository institutions for which the FDIC was
appointed receiver after January 1, 1989.
Authority for maintenance of the system:
Sections 9, 11, and 12 of the Federal Deposit Insurance Act (12
U.S.C. 1819, 1821, and 1822).
Routine uses of records maintained in the system, including
categories of users and purposes of such uses:
Information in this system of records may be disclosed:
(1) To the appropriate state accepting custody of unclaimed
deposits as specified in section 12(e)(2)-(3) of the Federal Deposit
Insurance Act (12 U.S.C. 1822(e)(2)-(3));
(2) To a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains; and
(3) 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; and
(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 criminal proceedings.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information is maintained on local area network specified file
servers, computer disks, tapes or hard copy printouts stored in
secured areas which limits access to authorized personnel only.
Retrievability:
Indexed by depository institution name, depository institution
number, depositor name, depositor social security number, depositor
tax identification number, or account/check number.
Safeguards:
Information is encrypted and accessed only by authorized FDIC
personnel. Hard copy data is stored in secured areas which limits
access to authorized personnel only.
Retention and disposal:
If the appropriate state has accepted ten-year custody of
unclaimed deposits, a record of the deposits will be retained by the
FDIC during the custody period, pending return of any deposits not
claimed from the state during the ten-year custody period. Such
records will subsequently be destroyed in accordance with the FDIC's
records retention policy in effect at the time of return of any
deposits to the FDIC from the state. If the appropriate state has
declined to accept custody of unclaimed deposits, upon termination of
the receivership of the closed insured depository institution,
records of all deposit insurance claims paid are destroyed in
accordance with the FDIC's current records retention policy.
System manager(s) and address:
Chief of Policy & Planning, Operations Branch, Division of
Depositor and Asset Services, FDIC, 550-17th Street, NW., Washington,
DC 20429.
Notification procedure:
Requests must be made in writing and addressed to the Office of
the Executive Secretary, FDIC, 550-17th Street, NW., Washington, DC
20429.
Record access procedures:
Same as ``Notification'' above.
Contesting record procedures:
Same as ``Notification'' above.
Record source categories:
Information originates from deposit records of closed insured
depository institutions. Records of unclaimed transferred deposits
are provided to the FDIC from insured depository institutions to
which the FDIC transferred deposits upon closing of the former
institution.
Systems exempted from certain provisions of the act:
None.
Appendix A
Federal Deposit Insurance Corporation Regional Offices
Atlanta Regional Office, FDIC, 233 Peachtree Street, NE, Suite
2400, Atlanta, Georgia 30043.
Boston Regional Office, FDIC, 60 State Street, 17th Floor,
Boston, Massachusetts 02109.
Chicago Regional Office, FDIC, Sears Tower, 233 S. Wacker Dr.,
Suite 6116, Chicago, Illinois 60606.
Columbus Regional Office, FDIC, 1 Nationwide Plaza, Suite 2600,
Columbus, Ohio 43215.
Dallas Regional Office, FDIC, 350 North St. Paul Street, Suite
2000, Dallas, Texas 75201.
Kansas Regional Office, FDIC, 2345 Grand Avenue, Suite 1500,
Kansas City, Missouri 64108.
Madison Regional Office, FDIC, 1st Wisconsin Plaza, 1 South
Pinckney St., Room 813, Madison, Wisconsin 53703.
Memphis Regional Office, FDIC, 1 Commerce Square, Suite 1800,
Memphis, Tennessee 38103.
Minneapolis Regional Office, FDIC, 730 Second Avenue, South,
Site 266, Minneapolis, Minnesota 55402.
New York Regional Office, FDIC, 345 Park Avenue, 21st Floor,
New York, New York 10154.
Omaha Regional Office, FDIC, 1700 Farnam Street, Suite 1200,
Omaha, Nebraska 68102.
Philadelphia Regional Office, FDIC, 1900 Market St., Suite 616,
Philadelphia, Pennsylvania 19103.
San Francisco Regional Office, FDIC, 44 Montgomery Street,
Suite 3600, San Francisco, California 94104.
FEDERAL DEPOSIT INSURANCE CORPORATION
FEDERAL DEPOSIT INSURANCE CORPORATION
PART 310--PRIVACY ACT REGULATIONS
Sec.
310.1 Purpose and scope.
310.2 Definitions.
310.3 Procedures for requests pertaining to individual records in a
system of records.
310.4 Times, places, and requirements for identification of
individuals making requests.
310.5 Disclosure of requested information to individuals.
310.6 Special procedures: Medical records.
310.7 Request for amendment of record.
310.8 Agency review of request for amendment of record.
310.9 Appeal of adverse initial agency determination on access or
amendment.
310.10 Disclosure of record to person other than the individual to
whom it pertains.
310.11 Fees.
310.12 Penalties.
310.13 Exemptions.
Authority: 5 U.S.C. 552a.
Source: 40 FR 46274, Oct. 6, 1975, unless otherwise noted.
Sec. 310.1 Purpose and scope.
The purpose of this part is to establish regulations implementing
the Privacy Act of 1974, 5 U.S.C. 552a. These regulations delineate the
procedures that an individual must follow in exercising his or her
access or amendment rights under the Privacy Act to records maintained
by the Corporation in systems of records.
[61 FR 43419, Aug. 23, 1996]
Sec. 310.2 Definitions.
For purposes of this part:
(a) The term Corporation means the Federal Deposit Insurance
Corporation;
(b) The term individual means a natural person who is either a
citizen of the United States or an alien lawfully admitted for
permanent residence;
(c) The term maintain includes maintain, collect, use, disseminate,
or control;
(d) The term record means any item, collection or grouping of
information about an individual that contains his/her name, or the
identifying number, symbol, or other identifying particular assigned to
the individual;
(e) The term 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) The term 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) The term 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) The terms amend or amendment mean any correction, addition to
or deletion from a record; and
(i) The term 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 Federal
Deposit Insurance Corporation.''
[40 FR 46274, Oct. 6, 1975, as amended at 42 FR 6796, Feb. 4, 1977]
Sec. 310.3 Procedures for requests pertaining to individual records in
a system of records.
(a) Any present or former employee of the Corporation seeking
access to, or amendment of, his/her official personnel records
maintained by the Corporation shall submit his/her request in such
manner as is prescribed by the United States Office of Personnel
Management in part 297 of its rules and regulations (5 CFR part 297).
For access to, or amendment of, other government-wide records systems
maintained by the Corporation, the procedures prescribed in the
respective Federal Register Privacy Act system notice shall be
followed.
(b) Requests by individuals for access to records pertaining to
them and maintained within one of the Corporation's designated systems
of records should be submitted in writing to the Office of the
Executive Secretary, FOIA/PA Unit, Federal Deposit Insurance
Corporation, Washington, DC 20429. Each such request should contain a
reasonable description of the records 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 FOIA/PA Unit, Office of the
Executive Secretary.
[40 FR 46274, Oct. 6, 1975, as amended at 42 FR 6796, Feb. 4, 1977;
61 FR 43419, Aug. 23, 1996]
Sec. 310.4 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 as provided in Sec. 310.3,
or by appearing in person on weekdays, other than official holidays, at
the Office of the Executive Secretary, Records Unit, Federal Deposit
Insurance Corporation, 550 17th Street, NW, Washington, DC 20429,
between the hours of 8:30 a.m. and 5 p.m.
(b) Individuals appearing in person at the Corporation seeking
access to or amendment of their records shall present two forms of
reasonable identification, such as employment identification cards,
driver's licenses, or other identification cards or documents typically
used for identification purposes.
(c) 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, or an
unsworn declaration subscribed to as true under the penalty of perjury
under the laws of the United States of America, at the election of the
individual, may be required before a written request seeking access to
or amendment of a record will be honored. The Corporation may also
require that individuals provide minimal identifying data such as full
name, date and place of birth, or other personal information necessary
to ensure proper identity before processing requests for records.
[40 FR 46274, Oct. 6, 1975, as amended at 42 FR 6796, Feb. 4, 1977;
61 FR 43419, Aug. 23, 1996]
Sec. 310.5 Disclosure of requested information to individuals.
(a) Except to the extent that Corporation records pertaining to an
individual:
(1) Are exempt from disclosure under Secs. 310.6 and 310.13, or
(2) 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 (after
proper identity verification as provided in Sec. 310.4) and, upon the
individual's request and written authorization, by another person of
the individual's own choosing.
(b) The Executive Secretary will 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
Executive Secretary also will inform the individual of the system
manager's decision whether to grant or deny the request for access. In
the event existing records are determined not to be disclosable, the
notification will inform the individual of the reasons 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. 310.9. Where access is to be granted, the notification will
specify the procedures for verifying the individual's identity, as set
forth in Sec. 310.4.
(c) Individuals will be granted access to records disclosable under
this part 310 as soon as is practicable. The Executive Secretary will
give written notification of a reasonable period within which
individuals may inspect disclosable records pertaining to themselves at
the Office of the Executive Secretary during normal business hours.
Alternatively, individuals granted access to records under this part
may request that copies of such records be forwarded to them. Fees for
copying such records will be assessed as provided in Sec. 310.11.
[40 FR 46274, Oct. 6, 1975, as amended at 42 FR 6796, Feb. 4, 1977]
Sec. 310.6 Special procedures: Medical records.
Medical records shall be disclosed on request to the 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 due
to any possible adverse effect such information may have upon the
individual, the Corporation shall transmit such information to a
medical doctor named by the requesting individual for release of the
patient.
[40 FR 46274, Oct. 6, 1975, as amended at 61 FR 43420, Aug. 23,
1996]
Sec. 310.7 Request for amendment of record.
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 Executive Secretary, Records Unit, Federal Deposit
Insurance Corporation, Washington, DC 20429 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 Corporation to identify the
particular record or portion thereof with respect to which amendment is
sought.
Sec. 310.8 Agency review of request for amendment of record.
(a) Requests by individuals for the amendment of records will be
acknowledged by the Executive Secretary of the Corporation, and
referred to the system manager of the system of records in which the
record is contained for determination, within ten business days
following receipt of such requests. Promptly thereafter, the Executive
Secretary will notify the individual of the system manager's decision
to grant or deny the request to amend.
(b) If the system manager denies a request to amend a record, the
notification of such denial shall contain the reason for the denial and
a description of the individual's right to appeal the denial as more
fully set forth in Sec. 310.9.
[40 FR 46274, Oct. 6, 1975, as amended at 42 FR 6796, Feb. 4, 1977]
Sec. 310.9 Appeal of adverse initial agency determination on access or
amendment.
(a) A system manager's 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 Corporation's General Counsel (or designee) within 30
business days following receipt of notification of the denial. Such an
appeal should be addressed to the Office of the Executive Secretary,
FDIC, 550 17th Street NW, Washington, DC 20429, and contain all the
information specified for requests for access in Sec. 310.3 or for
initial requests to amend in Sec. 310.7, as well as any other
additional information the individual deems relevant for the
consideration by the General Counsel (or designee) of the appeal.
(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 by the Office of the Executive
Secretary of the appeal. The General Counsel (or designee) may,
however, extend this 30-day time period for good cause. Where 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 to amend, he or she will inform the
individual affected of the decision, the reason therefor, and the right
of judicial review of the decision. In addition, as pertains to a
request for amendment, the individual may at that point submit to the
Corporation a concise statement setting forth his or her reasons for
disagreeing with the Corporation's refusal to amend.
(d) Any statement of disagreement with the Corporation's refusal to
amend, filed with the Corporation by an individual pursuant to
Sec. 310.9(c), will be included in the disclosure of any records under
the authority of Sec. 310.10(b). The Corporation may in its discretion
also include a copy of a concise statement of its reasons for not
making the requested amendment.
(e) The General Counsel (or designee) may on his or her own motion
refer an appeal to the Board of Directors for a determination, and the
Board of Directors on its own motion may consider an appeal.
[52 FR 34290, Sept. 10, 1987, as amended at 61 FR 43420, Aug. 23,
1996]
Sec. 310.10 Disclosure of record to person other than the individual
to whom it 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 with 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 of the following disclosures:
(1) To those officers and employees of the Corporation who have a
need for the record in the performance of their duties;
(2) Which is 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 U.S.C.;
(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 his or her 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
such individual;
(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 or 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.
(12) To a consumer reporting agency in accordance with section
3711(f) of Title 31.
(c) The Corporation will adhere to the following procedures in the
case of disclosure of any record pursuant to the authority of
paragraphs (b)(3) through (b)(12) of this section.
(1) The Corporation will keep a record of the date, nature and
purpose of each such disclosure, as well as the name and address of the
person or agency to whom such disclosure is made; and
(2) The Corporation will retain and, with the exception of
disclosures made pursuant to paragraph (b)(7) of this section, make
available to the individual named in the record for the greater of five
years or the life of the record all material compiled under paragraph
(d)(1) of this section with respect to disclosure of such record.
(d) Whenever a record which has been disclosed by the Corporation
under authority of paragraph (b) of this section is, within a
reasonable amount of time after such disclosure, either amended by the
Corporation or the subject of a statement of disagreement, the
Corporation will transmit such additional information to any person or
agency to whom the record was disclosed, if such disclosure was subject
to the accounting requirements of paragraph (c)(1) of this section.
[40 FR 46274, Oct. 6, 1975, as amended at 61 FR 43420, Aug. 23,
1996]
Sec. 310.11 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 $0.10
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;
(b) Whenever the aggregate fees computed under this section do not
exceed $10 for any one request, the fee will be deemed waived by the
Corporation; or
(c) Whenever the Corporation determines that a reduction or waiver
is warranted, it may reduce or waive any fees imposed for furnishing
requested information pursuant to this section.
[40 FR 46274, Oct. 6, 1975, as amended at 61 FR 43420, Aug. 23,
1996]
Sec. 310.12 Penalties.
Subsection (i)(3) of the Privacy Act of 1974 (5 U.S.C. 552a(i)(3))
imposes criminal penalties for obtaining 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. 310.13 Exemptions.
The following systems of records are exempt from Secs. 310.3
through 310.9 and Sec. 310.10(c)(2):
(a) Investigatory material compiled for law enforcement purposes in
the following systems of records is exempt from Secs. 310.3 through
310.9 and Sec. 310.10(c)(2):
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, or, prior to
September 27, 1975, under an implied promise that the identity of the
source would be held in confidence:
30 64 0002 Financial institutions investigative and enforcement
records system.
30 64 0010 Investigative files and records.
(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, or, prior to September 27, 1975, under an implied
promise that the identity of the source would be held in confidence, in
the following systems of records, is exempt from Secs. 310.3 through
310.9 and Sec. 310.10(c)(2):
30 64 0001 Attorney-legal intern applicant system.
30 64 0010 Investigative files and records.
(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 in the following system of records, is exempt from Secs. 310.3
through 310.9 and Sec. 310.10(c)(2):
30 64 0009 Examiner training and education records.
[42 FR 6797, Feb. 4, 1977, as amended at 42 FR 33720, July 1, 1977;
54 FR 38507, Sept. 19, 1989; 61 FR 43420, Aug. 23, 1996]