[Privacy Act Issuances (2001)]
[From the U.S. Government Publishing Office, www.gpo.gov]
FEDERAL DEPOSIT INSURANCE CORPORATION
TABLE OF CONTENTS
Table of Contents
30-64-0001 Attorney--Legal Intern Applicant Records
30-64-0002 Financial Institutions Investigative and Enforcement
Records
30-64-0003 Administrative and Personnel Action Records
30-64-0004 Changes in Bank Control Ownership Records
30-64-0005 Consumer Complaint and Inquiry Records
30-64-0006 Employee Confidential Financial Disclosure Records
30-64-0007 Employee Training Information Records
30-64-0008 Chain Banking Organizations Identification Records
30-64-0009 [Reserved]
30-64-0010 Investigative Files of the Office of the Inspector
General
30-64-0011 Corporate Recruitment Tracking Records
30-64-0012 Financial Information Management Records
30-64-0013 Insured Bank Liquidation Records
30-64-0014 [Reserved]
30-64-0015 Unofficial Personnel System (to be revised at a later
date)
30-64-0016 Professional Qualification Records for Municipal
Securities Dealers, Municipal Securities Representatives and U.S.
Government Securities Brokers/Dealers
30-64-0017 Employee Medical and Health Assessment Records
30-64-0018 Grievance Records
30-64-0019 Potential Bidders List
30-64-0020 Telephone Call Detail Records
30-64-0021 Fitness Center Records
30-64-0022 Freedom of Information Act and Privacy Act Request
Records
30-64-0023 Affordable Housing Program Records
30-64-0024 Unclaimed Deposit Account Records
30-64-0001
System name:
Attorney--Legal Intern Applicant Records.
System location:
Legal Division, 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
Legal Division 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:
Secs. 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).
Purpose(s):
The information in this system is used to evaluate the
qualifications of individuals who apply for attorney or legal intern
positions in the Legal Division.
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 functions;
(3) To a congressional office in response to an inquiry made by
the congressional office 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 when the
FDIC is a party to the proceeding or has a significant interest in
the proceeding and the information is determined to be relevant and
necessary; and
(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:
Records are stored in paper format within individual file folders
in file cabinets.
Note: In the future all or some portion of the records may be
stored in electronic media. These records will be retrieved by name
and will be password protected and accessible only by authorized
personnel.
Retrievability:
Individual file folders are indexed and retrieved by name.
Records of unsuccessful applicants are indexed first by job position
category and year and then by name.
Safeguards:
Records are maintained in lockable metal file cabinets accessible
only by authorized personnel.
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 applicant leaves the employ of the FDIC.
System manager(s) and address:
General Counsel, Legal Division, FDIC, 550 17th Street, NW.,
Washington, DC 20429.
Notification procedure:
Individuals wishing to determine if they are named in this system
of records, or to gain access to records maintained in this system,
must submit their request in writing to the Office of the Executive
Secretary, FOIA/PA Unit, FDIC, 550 17th Street, NW., Washington, DC
20429. Unsuccessful applicants or those individuals with applications
pending with the FDIC who request their records must identify the job
position description and year in which they applied. Individuals
requesting their own records must provide their name, address and a
notarized statement attesting to their identity.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above. Individuals wishing to
contest or amend information maintained in this system should specify
the information being contested, the reasons for contesting it, and
the proposed amendment to such information.
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.
Exemptions claimed for the system:
Pursuant to 12 CFR 310.13(b), 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 an express
promise of confidentiality.
30-64-0002
System name:
Financial Institutions Investigative and Enforcement Records.
System location:
Division of Supervision, Special Activities Section, FDIC, 550
17th Street, NW., Washington, DC 20429.
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 suspicious activity reports, investigatory records, or
administrative enforcement orders or agreements. Financial
institutions include banks, savings and loan associations, credit
unions, other similar institutions, and their affiliates whether or
not federally insured and whether or not established or proposed.
(2) Individuals, such as directors, officers, employees,
controlling shareholders, or persons seeking to establish 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 interagency or intra-agency correspondence or memoranda;
criminal referral reports; suspicious activity reports; newspaper
clippings; Federal, State, or local criminal law enforcement agency
investigatory reports, indictments and/or arrest and conviction
information; and administrative enforcement orders or agreements.
Note: 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 federal law enforcement agencies. Upon
receipt of a request for such records, the FDIC will 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:
Secs. 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).
Purpose(s):
The information is maintained to support the FDIC's regulatory
and supervisory functions by providing a centralized system of
information (1) for conducting and documenting investigations by the
FDIC or other financial supervisory or law enforcement agencies
regarding conduct within financial institutions by directors,
officers, employees, and customers, which may result in the filing of
suspicious activity reports or criminal referrals, referrals to the
FDIC Office of the Inspector General, or the issuance of
administrative enforcement actions; and (2) to identify whether an
individual is fit to serve as a financial institution director,
officer, employee or controlling shareholder.
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, when the
FDIC is a party to the proceeding or has a significant interest in
the proceeding and the information is determined to be relevant and
necessary;
(2) To the appropriate Federal, State, or local agency or
authority, or to licensing boards, professional associations or
administrative bodies 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, rule, regulation or order, 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 by
the congressional office 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 Federal, State or foreign financial institutions
supervisory or regulatory authorities;
(6) To a consultant, person or entity who contracts or
subcontracts with the FDIC, to the extent necessary for the
performance of the contract or subcontract. The recipient of the
records shall be required to comply with the requirements of the
Privacy Act of 1974, as amended (5 U.S.C. 552a); and
(7) To the Department of the Treasury, federal debt collection
centers, other appropriate federal agencies, and private collection
contractors or other third parties authorized by law, for the purpose
of collecting or assisting in the collection of delinquent debts owed
to the FDIC. Disclosure of information contained in these records
will be limited to the individual's name, Social Security number, and
other information necessary to establish the identity of the
individual, and the existence, validity, amount, status and history
of the debt.
Disclosures to consumer reporting agencies:
Disclosures may be made from this system, pursuant to subsection
(b)(12) of the Privacy Act, to consumer reporting agencies in
accordance with 31 U.S.C. 3711(e). (The term ``consumer reporting
agency'' is defined by 31 U.S.C. 3701(a)(3) and 15 U.S.C. (f).)
Disclosure of information contained in these records will be limited
to the individual's name, Social Security number, and other
information necessary to establish the identity of the individual,
and the existence, validity, amount, status and history of the debt.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in electronic media and in paper format within
individual file folders.
Retrievability:
Records are indexed and retrieved by name of the individual.
Safeguards:
Electronic files are password protected and accessible only by
authorized persons. File folders are maintained in lockable metal
file cabinets.
Retention and disposal:
Electronic media and paper copies are retained until no longer
needed.
System managers and address:
Director, Division of Supervision, FDIC, 550 17th Street, NW.,
Washington, DC 20429.
Notification procedure:
Individuals wishing to determine if they are named in this system
of records or seeking access to records maintained in this system
must submit their request in writing to the Office of the Executive
Secretary, FOIA/PA Unit, FDIC, 550 17th Street, NW., Washington, DC
20429. Individuals requesting their own records must provide their
name and address, the name and address of the FDIC-insured bank, and
a notarized statement attesting to their identity.
Record access procedures:
Portions of this system may contain records that are exempt from
disclosure under 12 CFR 310.13 and 5 U.S.C. 552a(j)(2) and (k)(2). An
individual who is the subject of a record in this system may access
those records that are not exempt from disclosure. A determination
whether a record may be accessed will be made at the time a request
is received. See ``Notification procedure'' above.
Contesting record procedures:
Portions of this system may contain records that are exempt from
disclosure and contest under 12 CFR 310.13 and 5 U.S.C. 552a(j)(2)
and (k)(2). An individual who is the subject of a record in this
system may contest those records that are not exempt from disclosure.
A determination whether a record is exempt from contest shall be made
at the time a request is received. See ``Notification procedure''
above. Individuals wishing to contest or amend information maintained
in this system should specify the information being contested, the
reasons for contesting it, and the proposed amendment to such
information.
Record source categories:
Financial institutions; financial institution supervisory or
regulatory authorities; newspapers or other public records;
witnesses; current or former FDIC employees; criminal law enforcement
and prosecuting authorities.
Exemptions claimed for the system:
Portions of the records in this system of records were compiled
for law enforcement purposes and are exempt from disclosure under 12
CFR 310.13 and 5 U.S.C. 552a(k)(2). Federal criminal law enforcement
investigatory reports maintained as part of this system may be the
subject of exemptions imposed by the originating agency pursuant to 5
U.S.C. 552a(j)(2).
30-64-0003
System name:
Administrative and Personnel Action Records.
System location:
Office of the Executive Secretary, FDIC, 550 17th Street, NW.,
Washington, DC 20429.
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 FDIC officials under delegated authority.
Categories of records in the system:
Minutes of the meetings of the FDIC 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:
Secs. 8, 9, and 19 of the Federal Deposit Insurance Act (12
U.S.C. 1818, 1819, 1829).
Purpose(s):
The system is maintained to record the administrative and
personnel actions taken by the FDIC Board of Directors, standing
committees, or other officials.
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:
(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, when the
FDIC is a party to the proceeding or has a significant interest in
the proceeding and the information is determined to be relevant and
necessary;
(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 by
the congressional office at the request of the individual to whom the
record pertains;
(11) To a consultant, person or entity who contracts or
subcontracts with the FDIC, to the extent necessary for the
performance of the contract or subcontract. The recipient of the
records shall be required to comply with the requirements of the
Privacy Act of 1974, as amended (5 U.S.C. 552a); and
(12) To the U.S. Office of Personnel Management, General
Accounting Office, the Office of Government Ethics, the Merit Systems
Protection Board, the Office of Special Counsel, the Equal Employment
Opportunity Commission, or the Federal Labor Relations Authority or
its General Counsel of records or portions thereof determined to be
relevant and necessary to carrying out their authorized functions,
including but not limited to a 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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in electronic media, microfilm, paper format
within individual file folders, minute book ledgers and index cards.
Retrievability:
Records are indexed and retrieved by name.
Safeguards:
Electronic files are password protected and accessible only by
authorized personnel. Paper format, index cards, and minute book
ledgers are stored in lockable metal file cabinets or vault
accessible only by authorized personnel. A security copy of certain
microfilmed portions of the records is retained at another location.
Retention and disposal:
Permanent.
System manager(s) and address:
Executive Secretary, FDIC, 550 17th Street, NW., Washington, DC
20429.
Notification procedure:
Individuals wishing to determine if they are named in this system
or seeking access to records maintained in this system must submit
their requests in writing to the Office of the Executive Secretary,
FOIA/PA Unit, FDIC, 550 17th Street, NW., Washington, DC 20429.
Individuals requesting their own records must provide their name,
address and a notarized statement attesting to their identity.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above. Individuals wishing to
contest or amend information maintained in this system should specify
the information being contested, the reason for contesting it, and
the proposed amendment to such information.
Record source categories:
Intra-agency records.
Exemptions claimed for the system:
None.
30-64-0004
System name:
Changes in Bank Control Ownership Records.
System location:
Division of Supervision, FDIC, 550 17th Street, NW., Washington,
DC 20429.
Categories of individuals covered by the system:
(a) Individuals who acquired or disposed of voting stock in an
FDIC-insured bank resulting in a change of bank control or ownership;
and (b) individuals who filed or are included as a member of a group
listed in a ``Notice of Acquisition of Control'' of an FDIC-insured
bank.
Note: The information is maintained only for the period 1989 to
1995. Commencing in 1996 the records were no longer collected nor
maintained on an individual name or personal identifier basis and are
not retrievable by individual name or personal identifier. Beginning
in 1996, information concerning changes in bank control is collected
and maintained based upon the name of the FDIC-insured financial
institution or specialized number assigned to the FDIC-insured
financial institution.
Categories of records in the system:
Records include the name of proposed acquirer; statement of
assets and liabilities of acquirer; statement of income and sources
of income for each acquirer; statement of liabilities for each
acquirer; name and location of the bank; number of shares to be
acquired and outstanding; date ``Change in Control Notice'' or
``Notice of Acquisition of Control'' was filed; 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 institution'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 institution(s) it controls.
Authority for maintenance of the system:
Sec. 7 (j) of the Federal Deposit Insurance Act (12 U.S.C.
1817(j)).
Purpose(s):
The system maintains information on individuals involved in
changes of control of FDIC-insured banks for the period 1989 to 1995
and is used to support the FDIC's regulatory and supervisory
functions.
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 financial institution supervisory
authorities;
(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 when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding and the information is determined to be relevant and
necessary;
(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 a congressional office in response to an inquiry made by
the congressional office at the request of the individual to whom the
record pertains; and
(5) To a consultant, person or entity who contracts or
subcontracts with the FDIC, to the extent necessary for the
performance of the contract or subcontract. The recipient of the
records shall be required to comply with the requirements of the
Privacy Act of 1974, as amended (5 U.S.C. 552a).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in electronic media and in paper format within
individual file folders.
Retrievability:
Records for the period 1989 to 1995 are indexed and retrieved by
name of the individual.
Safeguards:
Electronic files are password protected and accessible only by
authorized persons. File folders are maintained in lockable metal
file cabinets.
Retention and disposal:
Electronic media and paper copies are retained until no longer
needed and are destroyed in accordance with established FDIC record
retention and disposal schedules.
System manager(s) and address:
Director, Division of Supervision, FDIC, 550 17th Street, NW.,
Washington, DC 20429.
Notification procedure:
Individuals wishing to determine if they are named in this system
of records or seeking access to records maintained in this system
must submit their request in writing to the Office of the Executive
Secretary, FOIA/PA Unit, FDIC, 550 17th Street, NW., Washington, DC
20429. Individuals requesting their own records must provide their
name, address, the name and address of the FDIC-insured bank, and a
notarized statement attesting to their identity.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above. Individuals wishing to
contest or amend the information maintained in this system should
specify the information being contested, the reasons for contesting
it, and the proposed amendment to such information.
Record source categories:
Persons who acquired control of an FDIC-insured bank; the insured
bank or holding company in which control changed; filed ``Change in
Control Notice'' form and ``Notice of Acquisition of Control'' form
during the period 1989 to 1995; Federal and State financial
institution supervisory authorities.
Exemptions claimed for the system:
None.
30-64-0005
System name:
Consumer Complaint and Inquiry Records.
System location:
Division of Compliance and Consumer Affairs, FDIC, 550 17th
Street, NW., Washington, DC 20429, and FDIC regional offices for
complaints or inquiries originating within or involving an FDIC-
insured depository institution located in an FDIC region. (See
Appendix A for a list of the FDIC regional offices and their
addresses.)
Categories of individuals covered by the system:
Individuals who have submitted complaints or inquiries concerning
activities or practices of FDIC-insured depository institutions.
Categories of records in the system:
Contains correspondence and records of other communications
between the FDIC and the individual submitting a complaint or making
an inquiry, including copies of supporting documents supplied by the
individual. May contain correspondence between the FDIC and the FDIC-
insured depository institution in question and/or intra-agency or
inter-agency memoranda or correspondence concerning the complaint or
inquiry.
Authority for maintenance of the system:
Sec. 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819) and
sec. 202(f) of title II of the Federal Trade Improvement Act (15
U.S.C. 57a(f)).
Purpose(s):
The system maintains correspondence from individuals regarding
complaints or inquiries concerning activities or practices of FDIC-
insured depository institutions. The information is used to identify
concerns of individuals, to manage correspondence received from
individuals and to accurately respond to complaints, inquiries, views
and concerns expressed by individuals. The information in this system
supports the FDIC regulatory and supervisory functions.
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 insured depository institution which is the subject of
the complaint or inquiry when necessary to investigate or resolve the
complaint or inquiry;
(2) To authorized 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 and such additional information necessary to
investigate the complaint or inquiry;
(3) To the Federal or State supervisory/regulatory authority that
has direct supervision over the insured depository 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, when the
FDIC is a party to the proceeding or has a significant interest in
the proceeding, to the extent that the information is determined to
be relevant and necessary;
(6) To a congressional office in response to an inquiry made by
the congressional office at the request of the individual to whom the
record pertains; and
(7) To a consultant, person or entity who contracts or
subcontracts with the FDIC, to the extent necessary for the
performance of the contract or subcontract. The recipient of the
records shall be required to comply with the requirements of the
Privacy Act of 1974, as amended (5 U.S.C. 552a).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in electronic media and in paper format within
individual file folders.
Retrievability:
Electronic media and paper format are indexed and retrieved by
unique identification number which may be cross referenced to the
name of complainant or inquirer.
Safeguards:
Electronic files are password protected and accessible only by
authorized personnel. Paper format files are maintained in lockable
metal file cabinets accessible only to authorized personnel.
Retention and disposal:
Records are retained for two years after receipt, unless updated
by correspondence received during the second year. Electronic media
is deleted and paper format records are destroyed in accordance with
the FDIC Records Retention and Disposition Schedule.
System manager(s) and address:
Associate Director, Division of Compliance and Consumer Affairs,
FDIC, 550 17th Street, NW., Washington, DC 20429, or the Regional
Director, Division of Compliance and Consumer Affairs for records
maintained in FDIC regional offices (See Appendix A for the location
of FDIC Regional Offices).
Notification procedure:
Individuals wishing to determine if they are named in this system
of records or seeking access to records maintained in this system
must submit their request in writing to the Office of the Executive
Secretary, FOIA/PA Unit, FDIC, 550 17th Street, NW., Washington, DC
20429. The request must contain the name and address of the
complainant or inquirer and the name and address of the insured
depository institution that is the subject of the complaint or
inquiry. Individuals requesting their own records must provide their
name, address and a notarized statement attesting to their identity.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above. Individuals wishing to
contest or amend information maintained in this system should specify
the information being contested, the reasons for contesting it, and
the proposed amendment to such information.
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.
Exemptions claimed for the system:
None.
30-64-0006
System name:
Employee Confidential Financial Disclosure Records.
System location:
Records are located in component divisions, offices and regional
offices to which individuals covered by the system are assigned.
Duplicate copies of the records are located in the Office of the
Executive Secretary, FDIC, 550 17th Street, NW., Washington, DC
20429. A complete list of record locations is available from the
Office of the Executive Secretary, FDIC, 550 17th Street, NW.,
Washington, DC 20429 (See Appendix A for a list of the FDIC regional
offices and their addresses).
Categories of individuals covered by the system:
Current and former officers and employees, and special government
employees.
Categories of records in the system:
Contains statements of personal and family financial holdings and
other interests in business enterprises and real property; listings
of creditors and outside employment; opinions and determinations of
ethics counselors; information related to conflict of interest
determinations; and information contained on the following forms:
(1) Confidential Financial Disclosure Report--contains listing of
personal and family investment holdings, interests in business
enterprises and real property, creditors, and outside employment.
(2) Confidential Report of Indebtedness--contains information on
extensions of credit to employees, including loans and credit cards,
by FDIC-insured depository institutions or their subsidiaries; may
also contain memoranda and correspondence relating to requests for
approval of certain loans extended by insured banks or subsidiaries
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) Employee Certification and Acknowledgment of Standards of
Conduct Regulation--contains employee's certification and
acknowledgment that he or she has received a copy of the Standards of
Ethical Conduct for Employees of the FDIC.
(5) Confidential Statement of Credit Card Obligation in FDIC-
insured State Nonmember Bank and Acknowledgment of Conditions for
Retention--Notice of Disqualification--for Division of Supervision
and Division of Compliance and Consumer Affairs employees; identifies
FDIC-insured State Nonmember depository institutions outside the
employee's region or field office 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, and that the employee is aware of
and understands the requirement for self-disqualification from
participation in matters affecting the creditors identified.
Note: The records identified in categories (2)-(5) above are
maintained in addition to those maintained by the United States
Office of Government Ethics for the government-wide system of records
identified as ``Confidential Statements of Employment and Financial
Interests,'' (known as OGE/GOVT-2).
Authority for maintenance of the system:
Ethics in Government Act of 1978 (5 U.S.C. 7301 and App.); sec. 9
and 12(f) of the Federal Deposit Insurance Act (12 U.S.C. 1819(a) and
1822(f)); 26 U.S.C. 1043; Executive Order Nos. 12674 (as modified by
12731), 12565, and 11222; 5 CFR parts 2634, 2635 and 3201.
Purpose(s):
The records are maintained to assure compliance with the
standards of conduct for Government employees contained in the
Executive Orders, Federal Statutes and FDIC regulations and to
determine if a conflict of interest exists between employment of
individuals by the FDIC and their personal employment and financial
interests.
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
responsible authority, such information that is necessary and
pertinent 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 by
the congressional office at the request of the individual to whom the
record pertains;
(3) To third party sources and their representatives during the
course of an investigation to obtain information relevant or
pertinent to resolve a conflict or potential conflict of interest.
Information is disclosed to the extent necessary and pertinent to
conduct an investigation with respect to a conflict of interest
investigation or determination; 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 the criminal proceedings, when
the FDIC is a party to the proceeding or has a significant interest
in the proceeding, to the extent that the information is determined
to be relevant and necessary.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in electronic media and in paper format within
individual file folders.
Retrievability:
Records are indexed and retrieved by name of individual.
Electronic media and paper format do not index the names of
prospective employees who are not selected for employment.
Safeguards:
Electronic files are password protected and accessible only by
authorized personnel. Paper format copies are maintained in lockable
file cabinets.
Retention and disposal:
Records concerning prospective employees who are not selected for
employment are retained for one year and then destroyed, 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. Entries maintained in electronic
media are deleted, except that paper format documents and electronic
media entries needed in an ongoing investigation will be retained
until no longer needed for the investigation.
System manager(s) and address:
Ethics Counselor, Office of the Executive Secretary, FDIC, 550
17th Street, NW., Washington, DC 20429.
Notification procedure:
Individuals wishing to determine if they are named in this system
of records or seeking access to records maintained in this system
must submit their request in writing to the Office of the Executive
Secretary, FOIA/PA Unit, FDIC, 550 17th Street, NW., Washington, DC
20429. Individuals requesting their own records must provide their
name, address and a notarized statement attesting to their identity.
The request must identify the office location of the individual
covered by the system.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above. Individuals wishing to
contest or amend information maintained in this system should specify
the information being contested, the reasons for contesting it, and
the proposed amendment to such information.
Record source categories:
The information is obtained from the individual or a person or
entity designated by the individual; Ethics Counselors; Deputy Ethics
Counselors; support personnel or other parties to whom the FDIC has
provided information in connection with evaluating the records
maintained.
Exemptions claimed for the system:
None.
30-64-0007
System name:
Employee Training Information Records.
System location:
Division of Administration, Training and Consulting Services
Branch, 3501 Fairfax Drive, Arlington, Virginia 22226; Office of
Management and Policy, FDIC Office of Inspector General, 550 17th
Street, NW., Washington, DC 20429.
Categories of individuals covered by the system:
All current and former employees.
Categories of records in the system:
Contains the educational and training course history of an
individual while employed by the FDIC. Records include schedule of
employee's training classes and other educational programs attended,
dates of attendance, tuition fees and expenses. The system may also
contain employee certifications on training attended, employee
certifications or other information on educational degrees or
professional memberships, and other similar information.
Authority for maintenance of the system:
Sec. 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).
Purpose(s):
The system is used by employees, training administrators and
managers to record training and educational courses attended and to
manage and plan training courses. The system maintains attendance
records for an employee of courses attended and is utilized for FDIC
internal reporting purposes and to maintain records for applicable
continuing education requirements.
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 United States Office of Personnel Management, the
Merit Systems Protection Board, the Office of Special Counsel, the
Federal Labor Relations Authority, an arbitrator, the Equal
Employment Opportunity Commission, or another Federal agency, to the
extent disclosure is determined to be relevant and necessary to carry
out government-wide personnel management, security, investigatory,
adjudicatory and appellate functions, or the issuance of a contract,
grant, license or other benefit by a requesting agency;
(2) To a court, magistrate, alternative dispute resolution
mediator 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 when the FDIC is a party to the
proceeding or has a significant interest in the proceeding and the
information is determined to be relevant and necessary;
(3) To a congressional office in response to a written inquiry
made by the congressional office at the request of the individual to
whom the record pertains;
(4) To educational institutions for purposes of enrollment and
verification of employee attendance and performance;
(5) To vendors, professional licensing boards or other
appropriate third parties, for the purpose of verification,
confirmation, and substantiation of training or licensing
requirements.
(6) To a consultant, person or entity who contracts or
subcontracts with the FDIC, to the extent necessary for the
performance of the contract or subcontract. The recipient of the
records shall be required to comply with the requirements of the
Privacy Act of 1974, as amended (5 U.S.C. 552a); and
(7) To the Department of the Treasury, federal debt collection
centers, other appropriate federal agencies, and private collection
contractors or other third parties authorized by law, for the purpose
of collecting or assisting in the collection of delinquent debts owed
to the FDIC. Disclosure of information contained in these records
will be limited to the individual's name, Social Security number, and
other information necessary to establish the identity of the
individual, and the existence, validity, amount, status and history
of the debt.
Disclosures to consumer reporting agencies:
Disclosures may be made from this system, pursuant to subsection
(b)(12) of the Privacy Act, to consumer reporting agencies in
accordance with 31 U.S.C. 3711(e). (The term ``consumer reporting
agency'' is defined by 31 U.S.C. 3701(a)(3) and 15 U.S.C. 1681a(f).)
Disclosure of information contained in these records will be limited
to the individual's name, Social Security number, and other
information necessary to establish the identity of the individual,
and the existence, validity, amount, status and history of the debt.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in electronic media and in paper format within
individual file folders.
Retrievability:
Electronic media are accessible by social security number or
name. File folders are indexed and retrieved by name of individual.
Safeguards:
Electronic files are password protected and accessible only by
authorized personnel. Paper records within individual file folders
are maintained in lockable metal file cabinets accessible only by
authorized personnel.
Retention and disposal:
Permanent retention.
System manager(s) and addresses:
Assistant Director, Training Operations, Training and Consulting
Services Branch, FDIC, 3501 Fairfax Drive, Arlington, Virginia 22226-
3500; Assistant Inspector General, Office of Management and Policy,
Office of Inspector General, 550 17th Street, NW., Washington, DC
20429.
Notification procedure:
Individuals wishing to determine if they are named in this system
of records or seeking access to records maintained in this system
must submit their request in writing to Office of the Executive
Secretary, FOIA/PA Unit, FDIC, 550 17th Street, NW., Washington, DC
20429. Individuals requesting their own records must provide their
name, address and a notarized statement attesting to their identity.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above. Individuals wishing to
contest or amend information maintained in this system should specify
the information being contested, the reasons for contesting it, and
the proposed amendment to such information.
Record source categories:
The information is obtained from the employee on whom the record
is maintained; training administrators and the training facility or
institution attended.
Exemptions claimed for the system:
None.
30-64-0008
System name:
Chain Banking Organizations Identification Records.
System location:
Division of Supervision, FDIC, 550 17th Street, NW., Washington,
DC 20429, and FDIC regional offices. (See Appendix A for a list of
the FDIC regional offices and their addresses.)
Categories of individuals covered by the system:
Individuals who directly, indirectly, or in concert with others,
own or control two or more insured depository institutions.
Categories of records in the system:
Contains information relating to an individual (or group of
individuals acting in concert) that own or control two or more
insured depository institutions as well as the insured depository
institutions names, locations, stock certificate numbers, total asset
size, and percentage of outstanding stock owned by the controlling
individual or group of individuals; charter types and, if applicable,
name of intermediate holding entity and percentage of holding company
held by controlling individual or group.
Authority for maintenance of the system:
Secs. 7(j) and 9 of the Federal Deposit Insurance Act (12 U.S.C.
1817(j) and 1819).
Purpose(s):
This system identifies and maintains information of possible
linked FDIC-insured depository institutions or holding companies
which, due to their common ownership, present a concentration of
resources that could be susceptible to common risks. The information
in this system is used to support the FDIC's regulatory and
supervisory functions.
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 financial institution supervisory
authorities for: (a) Coordination of examining resources when the
chain banking organization is composed of insured depository
institutions subject to multiple supervisory jurisdictions; (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
responsible authority, such information that is necessary and
pertinent 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 counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal law proceedings, when the
FDIC is a party to the proceeding or has a significant interest in
the proceeding, to the extent that the information is determined to
be relevant and necessary;
(4) To a congressional office in response to an inquiry made by
the congressional office at the request of the individual to whom the
record pertains; and
(5) To a consultant, person or entity who contracts or
subcontracts with the FDIC, to the extent necessary for the
performance of the contract or subcontract. The recipient of the
records shall be required to comply with the requirements of the
Privacy Act of 1974, as amended (5 U.S.C. 552a).
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Records are stored in electronic media.
Retrievability:
Indexed and retrieved by name of controlling individual(s) or
assigned identification number.
Safeguards:
Electronic files are password protected and accessible only by
authorized personnel.
Retention and disposal:
Records are maintained in electronic media. Certain records are
archived in off-line storage. All records are periodically updated to
reflect changes and maintained as long as needed and then deleted.
System manager(s) and address:
Director, Division of Supervision, FDIC, 550 17th Street, NW.,
Washington, DC 20429
Notification procedure:
Individuals wishing to determine if they are named in this system
of records or to gain access to records maintained in this system
must submit their request in writing to the Office of the Executive
Secretary, FOIA/PA Unit, FDIC, 550 17th Street, NW., Washington, DC
20429. Individuals requesting their own records must provide their
name, address and a notarized statement attesting to their identity.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above. Individuals wishing to
contest or amend information maintained in this system should specify
the information being contested, the reasons for contesting it, and
the proposed amendment to such information.
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).
Exemptions claimed for the system:
None.
30-64-009 [Reserved]
30-64-0010
System name:
Investigative Files of the Office of the Inspector General.
System location:
Office of the Inspector General (``OIG''), FDIC, 550 17th Street,
NW., Washington, DC 20429. In addition, records are maintained at OIG
field offices. OIG field office locations can be obtained by
contacting the Assistant Inspector General for Investigations, 550
17th Street, NW., Washington, DC 20429.
Categories of individuals covered by the system:
Current and former FDIC employees and individuals involved in or
associated with FDIC programs and operations including contractors,
subcontractors, vendors and individuals associated with inquiries and
investigations, including witnesses, complainants, and suspects.
Categories of records in the system:
Investigative files, including memoranda, computer-generated
background information, correspondence, computerized case management
and tracking files, reports of investigations with related exhibits,
statements, affidavits, records or other pertinent documents, reports
from or to other law enforcement bodies, pertaining to violations or
potential violations of criminal laws, fraud, waste, and abuse with
respect to administration of FDIC programs and operations, and
violations of employee and contractor Standards of Conduct as set
forth in section 12(f) of the Federal Deposit Insurance Act (12
U.S.C. 1822(f)) and 5 CFR parts 2634, 2635 and 3201.
Authority for maintenance of the system:
Sec. 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819); the
Inspector General Act of 1978, as amended, (5 U.S.C. App. 3).
Purpose(s):
Pursuant to the Inspector General Act, the system is maintained
for the purposes of (1) conducting and documenting investigations by
the OIG or other investigative agencies regarding FDIC programs and
operations in order to determine whether employees or other
individuals have been or are engaging in waste, fraud and abuse with
respect to the FDIC's programs or operations and reporting the
results of investigations to other Federal agencies, other public
authorities or professional organizations which have the authority to
bring criminal or civil or administrative actions, or to impose other
disciplinary sanctions; (2) documenting the outcome of OIG
investigations; (3) maintaining a record of the activities which were
the subject of investigations; (4) reporting investigative findings
to other FDIC components or divisions for their use in operating and
evaluating their programs or operations, and in the imposition of
civil or administrative sanctions; and (5) acting as a repository and
source for information necessary to fulfill the reporting
requirements of the Inspector General Act.
Routine uses of records maintained in the system, including
categories of users and purposes of such uses:
Information in the system may be disclosed:
(1) To the appropriate Federal, State, local, foreign or
international agency or authority responsible for investigating or
prosecuting a violation of or for enforcing or implementing a
statute, rule, regulation, or order, when the record, either by
itself or in combination with other information, indicates a
violation or potential violation of law, or contract, 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, alternative dispute resolution
mediator 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 when the FDIC or OIG is a party
to the proceeding or has a significant interest in the proceeding and
the information is determined to be relevant and necessary;
(3) To the FDIC's or another Federal agency's legal
representative, including the U.S. Department of Justice or other
retained counsel, when the FDIC, OIG or any employee thereof is a
party to litigation or administrative proceeding or has a significant
interest in the litigation or proceeding;
(4) To a grand jury agent pursuant either to a Federal or State
grand jury subpoena or to a prosecution request that such record be
released for the purpose of its introduction to a grand jury;
(5) To the subjects of an investigation and their representatives
during the course of an investigation and to any other person or
entity that has or may have information relevant or pertinent to the
investigation to the extent necessary to assist in the conduct of the
investigation;
(6) To third-party sources during the course of an investigation
only such information as determined to be necessary and pertinent to
the investigation in order to obtain information or assistance
relating to an audit, trial, hearing, or any other authorized
activity of the OIG;
(7) To a congressional office in response to a written inquiry
made by the congressional office at the request of the individual to
whom the records pertain;
(8) 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, or the issuance of a license, grant, or other benefit;
(9) To a Federal agency responsible for considering suspension or
debarment action where such record is determined to be necessary and
relevant;
(10) To a consultant, person or entity who contracts or
subcontracts with the FDIC or OIG, to the extent necessary for the
performance of the contract or subcontract. The recipient of the
records shall be required to comply with the requirements of the
Privacy Act of 1974, as amended (5 U.S.C. 552a);
(11) To a governmental, public or professional or self-regulatory
licensing organization when such record indicates, either by itself
or in combination with other information, a violation or potential
violation of professional standards, or reflects on the moral,
educational, or professional qualifications of an individual who is
licensed or who is seeking to become licensed;
(12) To the U.S. Office of Personnel Management, General
Accounting Office, Office of Government Ethics, Merit Systems
Protection Board, Office of Special Counsel, Equal Employment
Opportunity Commission, Department of Justice, Office of Management
and Budget or the Federal Labor Relations Authority of records or
portions thereof determined to be relevant and necessary to carrying
our their authorized functions, including but not limited to a
request made in connection with the hiring or retention of an
employee, rendering advice requested by OIG, the issuance of a
security clearance, the reporting of an investigation of an employee,
the reporting of an investigation of prohibited personnel practices,
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;
(13) To the Department of the Treasury, federal debt collection
centers, other appropriate federal agencies, and private collection
contractors or other third parties authorized by law, for the purpose
of collecting or assisting in the collection of delinquent debts owed
to the FDIC. Disclosure of information contained in these records
will be limited to the individual's name, Social Security number, and
other information necessary to establish the identity of the
individual, and the existence, validity, amount, status and history
of the debt; and
(14) To other Federal Offices of Inspector General for the
purpose of conducting quality assessments or peer reviews of the OIG,
or its investigative components.
Note: 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 published notice of
the system of records from which the record is derived.
Disclosures to consumer reporting agencies:
Disclosures may be made from this system, pursuant to subsection
(b)(12) of the Privacy Act, to consumer reporting agencies in
accordance with 31 U.S.C. 3711(e). (The term ``consumer reporting
agency'' is defined by 31 U.S.C. 3701(a)(3) and 15 U.S.C. 1681a(f).)
Disclosure of information contained in these records will be limited
to the individual's name, Social Security number, and other
information necessary to establish the identity of the individual,
and the existence, validity, amount, status and history of the debt.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Records are stored in electronic media and in paper format within
individual file folders.
Retrievability:
Records are indexed and retrieved by name of individual, unique
investigation number assigned, referral number, or investigative
subject matter.
Safeguards:
Electronic files are password protected and accessible only by
authorized personnel. File folders are maintained in lockable metal
file cabinets and lockable offices accessible only by authorized
personnel.
Retention and disposal:
Electronic media and file folders are retained for ten years and
then destroyed by deletion or shredding.
System manager(s) and address:
Assistant Inspector General for Investigations, FDIC, 550 17th
Street, NW., Washington, DC 20429.
Notification procedure:
Individuals wishing to determine if they are named in this system
of records or to gain access to records maintained in this system
must submit their request in writing to Office of the Executive
Secretary, FOIA/PA Unit, FDIC, 550 17th Street, NW., Washington, DC
20429. Individuals requesting their own records must provide their
name, address and a notarized statement attesting to their identity.
Note: This system contains records that are exempt under 5 U.S.C.
552a (j)(2), (k)(2) and (k)(5). See the section of this notice titled
``Systems exempted from certain provisions of the Act'' below.
Record access procedure:
See ``Notification procedure'' above.
Contesting record procedure:
See ``Notification procedure'' above and the section of this
notice titled ``Systems exempted from certain provisions of the
act.'' Individuals wishing to contest or amend information maintained
in this system should specify the information being contested, the
reasons for contesting it, and the proposed amendment to such
information.
Record source categories:
Current and former employees of the FDIC, other government
employees, private individuals, vendors, contractors, subcontractors,
witnesses and informants.
Exemptions claimed for the system:
This system of records, to the extent that it consists of
information compiled for the purpose of criminal investigations, has
been exempted from the requirements of subsections (c)(3) and (4);
(d); (e)(1), (2) and (3); (e)(4)(G) and (H); (e)(5); (e)(8); (f);
(g); (h); and (i) of the Privacy Act pursuant to 5 U.S.C. 552a
(j)(2). In addition, this system of records, to the extent that it
consists of other investigatory material compiled for law enforcement
purposes has been exempted from the requirements of subsections
(c)(3); (d); (e)(1); (e)(4)(G) and (H); (f); (g); (h); and (i) of the
Privacy Act pursuant to 5 U.S.C. 552a (k)(2). Finally, this system of
records, to the extent that it consists of investigatory material
compiled for the purpose of determining suitability, eligibility, or
qualifications for Federal civilian employment or Federal contracts,
the release of which would reveal the identity of a source who
furnished information to the FDIC on a confidential basis, has been
exempted from the requirements of subsection (c)(3) and (d) of the
Privacy Act pursuant to 5 U.S.C. 552a (k)(5).
30-64-0011
System name:
Corporate Recruitment Tracking Records.
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, date of birth, sex, 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:
Sec. 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819); 5
U.S.C. 1104.
Purpose(s):
The records are collected and maintained to monitor and track
individuals filing employment applications with the FDIC and to
assess recruiting goals and objectives.
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 Government Ethics, the Office of
Special Counsel, the Federal Labor Relations Authority or its General
Counsel, the Equal Employment Opportunity Commission, to the extent
disclosure is determined to be relevant and necessary to carry out
the government-wide personnel management, investigatory,
adjudicatory, and appellate functions within their respective
jurisdictions;
(2) To a congressional office in response to a written inquiry
made by a congressional office at the request of the individual to
whom the record pertains;
(3) To the appropriate Federal, State or local agency or
responsible authority, such information that is necessary and
pertinent 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 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, when the
FDIC is a party to the proceeding or has a significant interest in
the proceeding and the information is determined to be relevant and
necessary; and
(5) To a consultant, person or entity who contracts or
subcontracts with the FDIC, to the extent necessary for the
performance of the contract or subcontract. The recipient of the
records shall be required to comply with the requirements of the
Privacy Act of 1974, as amended (5 U.S.C. 552a).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in electronic media.
Retrievability:
Indexed and retrieved by name and social security number of
individual applicant.
Safeguards:
Electronic files are password protected and accessible only by
authorized personnel. Network servers are located in a locked room
with physical access limited to only authorized personnel.
Retention and disposal:
Information is maintained for two years and, if no longer needed,
deleted.
System manager(s) and address:
Assistant Director, Information Systems and Services Section,
Personnel Service Branch, Division of Administration, FDIC, 550 17th
Street, NW., Washington, DC 20429.
Notification procedure:
Individuals wishing to determine if they are named in this system
of records or gain access to records maintained in this system must
submit their request in writing to the Office of the Executive
Secretary, FOIA/PA Unit, FDIC, 550 17th Street, NW., Washington, DC
20429. Individuals requesting their own records must provide their
name, address and a notarized statement attesting to their identity.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above. Individuals wishing to
contest or amend information maintained in this system should specify
the information being contested, the reasons for contesting it, and
the proposed amendment to such information.
Record source categories:
Information originates from position vacancy announcements,
applications for employment submitted by individuals, and applicant
qualification and processing system.
Exemptions claimed for the system:
None.
30-64-0012
System name:
Financial Information Management Records.
System location:
Division of Finance, FDIC, 550 17th Street, NW., Washington, DC
20429. Records concerning garnishments, attachments, wage assignments
and related records concerning FDIC employees are located with the
General Counsel, Legal Division, FDIC, 550 17th Street NW.,
Washington, DC 20429.
Categories of individuals covered by the system:
Current and former employees, current and former vendors and
contractors providing goods and/or services to the FDIC, and current
and former FDIC customers.
Note: Only records reflecting personal information are subject to
the Privacy Act. This system also contains records concerning failed
bank receiverships, corporations, other business entities, and
organizations whose records are not subject to the Privacy Act.
Categories of records in the system:
This system contains (a) employee payroll and disbursement-
related records; (b) contractor and vendor invoices and other
accounts payable records; and (c) customer records related to
accounts receivables. The payroll and/or disbursement records include
employees' mailing addresses and home addresses; rate and amount of
pay; hours worked; leave accrued and leave balances; tax exemption;
tax deductions for employee supplemental payments; and Corporate
payments for taxes, life insurance, health insurance, and retirement
funds. Records relating to employee claims for reimbursement of
official travel expenses include travel authorizations, advances,
vouchers showing amounts claimed, exceptions taken as a result of
audit, advance balances applied, amounts paid, and travel savings
awards program payments. Other records maintained on employees
include reimbursement claims for relocation expenses consisting of
authorizations, advances, vouchers of amounts claimed and amounts
paid; reimbursement for educational expenses or professional
membership dues and licensing fees; awards and buyout payments; child
care and Life Cycle reimbursements; advances or other funds owed to
the FDIC; and garnishments, attachments, wage assignments or related
records. 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 as well as customer information necessary for the
collection of accounts receivable. The records may also include
general ledger and detailed trial balances and supporting data.
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)).
Purpose(s):
The records are maintained for the FDIC and the failed bank
receiverships managed by the FDIC. The records are used to manage and
account for financial transactions of the FDIC. The records and
associated databases and subsystems provide a data source for the
production of reports and documentation for internal and external
management reporting associated with the financial operations of the
FDIC.
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 auditors employed by the General Accounting Office;
(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 counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the
FDIC is a party to the proceeding or has a significant interest in
the proceeding and the information is determined to be relevant and
necessary;
(4) 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, adjudicate and appellate functions within their
respective jurisdictions;
(5) To a congressional office in response to an inquiry made by
the congressional office at the request of the individual to whom the
record pertains;
(6) To Federal, State, and City income tax authorities, including
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;
(7) 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;
(8) To a consultant, person or entity who contracts or
subcontracts with the FDIC, to the extent necessary for the
performance of the contract or subcontract. The recipient of the
records shall be required to comply with the requirements of the
Privacy Act of 1974, as amended (5 U.S.C. 552a); and
(9) To the Department of the Treasury, federal debt collection
centers, other appropriate federal agencies, and private collection
contractors or other third parties authorized by law, for the purpose
of collecting or assisting in the collection of delinquent debts owed
to the FDIC. Disclosure of information contained in these records
will be limited to the individual's name, Social Security number, and
other information necessary to establish the identity of the
individual, and the existence, validity, amount, status and history
of the debt.
Disclosures to consumer reporting agencies:
Disclosures may be made from this system, pursuant to subsection
(b)(12) of the Privacy Act, to consumer reporting agencies in
accordance with 31 U.S.C. 3711(e). (The term ``consumer reporting
agency'' is defined by 31 U.S.C. 3701(a)(3) and 15 U.S.C. 1681a(f).)
Disclosure of information contained in these records will be limited
to the individual's name, Social Security number, and other
information necessary to establish the identity of the individual,
and the existence, validity, amount, status and history of the debt.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system;
Storage:
Records are stored in electronic media and paper format/record
cards in individual file folders.
Retrievability:
Electronic media are indexed and retrievable by social security
number or specialized identifying number; paper format/record cards
are indexed and retrieved by name.
Safeguards:
Electronic files are password protected and accessible only by
authorized personnel. Paper format/record cards are maintained in
lockable metal file cabinets.
Retention and disposal:
Financial receipt and payment, trial balance, payroll and
employee supplemental payment, and official travel expense and
reimbursement records are retained by the FDIC for ten years in
electronic format and then transferred to the Federal Records Center
or destroyed. Source documents for employee financial records and
authorization vouchers are retained for the period of use and up to
six additional years, after which they are destroyed. Records on
individuals who are employees of the FDIC authorized to approve
payment authorization vouchers or regulatory and supervision
expenditures are 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 Finance, FDIC, 550 17th Street, NW.,
Washington, DC 20429. For records about FDIC employees concerning
garnishments, attachments, wage assignments and related records, the
system manager is the General Counsel, Legal Division, FDIC, 550 17th
Street, NW., Washington, DC 20429.
Notification procedure:
Individuals wishing to determine if they are named in this system
of records or seeking access to records maintained in this system
must submit their request in writing to the Office of the Executive
Secretary, FDIC, FOIA/PA Unit, 550 17th Street, NW., Washington, DC
20429. The request must contain the individual's name, social
security number, a notarized statement attesting to their identity,
and, to the extent relevant, the duty station, division and
approximate dates of employment.
Record access procedures:
See ``Notification procedure'' above.
Contesting records procedures:
See ``Notification procedure'' above. Individuals wishing to
contest or amend information contained in this system should specify
the information being contested, the reasons for contesting it, and
the proposed amendment to such information.
Record source categories:
The information is obtained from the individual upon whom the
record is maintained; other government agencies, contractors,
documents submitted to or received from another FDIC office
maintaining the records in the performance of their duties. 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 authority.
Exemptions claimed for the system:
None.
30-64-0013
System name:
Insured Bank Liquidation Records.
System location:
Division of Resolutions and Receiverships, FDIC, 550 17th Street,
NW., Washington, DC 20429; and Field Operations Branch, Division of
Resolutions and Receiverships, FDIC, 1910 Pacific Avenue, Dallas,
Texas 75201.
Categories of individuals covered by the system:
Individuals who were obligors or obligees of FDIC-insured
financial institutions for which the FDIC was appointed receiver or
liquidator or FDIC-insured financial institutions that were provided
open-bank assistance by the FDIC and the FDIC is acting as
liquidator, receiver or conservator of certain of the financial
institution's assets.
Note: Only records reflecting personal information are subject to
the Privacy Act. This system also contains records concerning failed
bank receiverships, corporations, other business entities, and
organizations whose records are not subject to the Privacy Act.
Categories of records in the system:
This system contains the individual's files held by the closed
financial institution or assisted financial institution, which files
may include the loan or contractual agreement and related documents
and correspondence. It also contains FDIC asset files, including
judgments obtained, restitution orders and loan deficiencies arising
from the liquidation of the obligor's loan asset(s) and associated
collateral, if any; information relating to the obligor's financial
condition such as financial statements, income tax returns, asset or
collateral verifications or searches, appraisals, and potential
sources of repayment. FDIC asset files also include intra- or inter-
agency memoranda, notes relating to the liquidation of the loan
obligation or asset, correspondence and any other documents related
to the liquidation of the loan obligation or asset. FDIC's
receivership claims files may include all information related to
claims filed with the receivership estate by a failed financial
institution's landlords, creditors, service providers or other
obligees or claimants.
Note: 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:
Secs. 9, 11, and 13 of the Federal Deposit Insurance Act (12
U.S.C. 1819, 1821, and 1823) and applicable State laws governing the
liquidation of assets and wind-up of the affairs of failed financial
institutions.
Purpose(s):
The records are maintained to: (a) Identify and manage loan
obligations and assets acquired from failed FDIC-insured financial
institutions for which the FDIC was appointed receiver or liquidator
or FDIC-insured financial institutions that were provided open-bank
assistance by the FDIC; (b) identify, manage and discharge the
obligations to creditors, obligees and other claimants of FDIC-
insured financial institutions for which the FDIC was appointed
receiver or liquidator or FDIC-insured financial institutions that
were provided open-bank assistance by the FDIC; and (c) assist with
financial and management reporting. The records support the
liquidation and receivership functions of the FDIC required by
applicable Federal and State statutes.
Routine uses of records maintained in the system, including
categories of users and the purposes of such use:
Information in the system may be disclosed, subject to applicable
law:
(1) To prospective purchaser(s) of the individual's
obligation(s), including judgments and loan deficiencies, for the
purpose of informing the prospective purchaser(s) about the nature
and quality of the loan obligation(s) to be purchased;
(2) To contractors or entities performing services for the FDIC
in connection with the liquidation of an individual's obligation(s),
including judgments and loan deficiencies or in connection with the
fulfillment of a claim filed with the FDIC as receiver or liquidator.
Third party contractors include, but are not limited to, asset
marketing contractors; loan servicers; appraisers; environmental
contractors; attorneys retained by the FDIC; 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 loan obligation in order to fulfill
any contractual or incidental responsibilities in connection with the
loan participation agreement;
(4) To Federal or State agencies 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 or
write-off of a loan 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 financial institutions
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, when the
FDIC is a party to the proceeding or has a significant interest in
the proceeding, of only such information that is determined to be
relevant and necessary;
(9) To the appropriate Federal, State, or local agency or
responsible authority, such information that is necessary and
pertinent for investigating or prosecuting a violation of or for
enforcing or implementing a statute, rule, regulation, or order, when
the information by itself or together with other 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 a written inquiry
made by the congressional office at the request of the individual to
whom the record pertains; and
(11) To the individual, the individual's counsel or other
representatives, insurance carrier(s) or underwriters of bankers'
blanket bonds or financial institutions bonds for failed or assisted
FDIC-insured financial institutions in conjunction with claims made
by the FDIC or litigation instituted by the FDIC or others on behalf
of the FDIC against former officers, directors, accountants, lawyers,
consultants, appraisers, or underwriters of bankers blanket bonds or
financial institutions bonds of a failed or assisted FDIC-insured
financial institution.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in electronic media and in paper format within
individual file folders.
Retrievability:
Records are indexed by financial institution number, name of
failed or assisted insured institution, and by name of individual.
Safeguards:
Electronic files are password protected and accessible only by
authorized personnel. Paper format records maintained in individual
file folders are stored in lockable file cabinets and/or in secured
vaults or warehouses and are accessible only by authorized personnel.
Retention and disposal:
Credit/loan files or files concerning the obligees of the failed
or assisted financial institution are maintained until the
receivership claim, loan obligation, judgment, loan deficiency or
other asset or liability is sold or otherwise disposed of, or for the
period of time provided under applicable Federal or State laws
pursuant to which the FDIC liquidates the assets, discharges the
liabilities or processes the claims. FDIC asset files and information
maintained in magnetic media are retained as long as needed.
System manager(s) and address:
Division of Resolutions and Receiverships, FDIC, 550 17th Street,
NW., Washington, DC 20429; and Deputy Director, Field Operations
Branch, FDIC, 1910 Pacific Avenue, Dallas, Texas 75201.
Notification procedure:
Individuals wishing to determine if they are named in this system
of records or seeking access to records maintained in this system
must submit their request in writing to the Office of the Executive
Secretary, FOIA/PA Unit, 550 17th Street, NW., Washington, DC 20429.
The request must contain the individual's name, address, a notarized
statement attesting to their identity, and the name and address of
the failed or assisted institution at which the individual had a loan
obligation or otherwise transacted business.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above. Individuals wishing to
contest or amend information maintained in this system should specify
the information being contested, the reasons for contesting it, and
the proposed amendment to such information.
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; loan servicers; court records; 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.
Exemptions claimed for the system:
None.
30-64-0015
System name:
Unofficial Personnel System (to be revised at a later date).
30-64-0016
System name:
Professional Qualification Records for Municipal Securities
Dealers, Municipal Securities Representatives, and U.S. Government
Securities Brokers/Dealers.
System location:
Securities, Capital Markets and Trust 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 associated with municipal
securities principals or municipal securities representatives 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
U.S. Government securities dealers or 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 contain identifying information, detailed educational
and employment histories, examination information, disciplinary
information, if any, and information concerning the termination of
employment of individuals covered by the system. Identifying
information includes name, address, date and place of birth, and may
include social security number.
Authority for maintenance of the system:
Secs. 15B(c), 15C, and 23 of the Securities Exchange Act of 1934
(15 U.S.C. 78o-4, 78o-5, and 78q and 78w); and sec. 9 of the Federal
Deposit Insurance Act (12 U.S.C. 1819).
Purpose(s):
The records are maintained to comply with the registration
requirements of municipal securities dealers, municipal securities
representatives, and U.S. Government securities brokers or dealers
and associated persons contained in the Securities Exchange Act of
1934 and to support the FDIC's regulatory and supervisory functions.
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 courses of civil discovery, litigation, or
settlement negotiations or in connection with criminal proceedings,
when the FDIC is a party to the proceeding or has a significant
interest in the proceeding, of only such information that is
determined to be relevant and necessary;
(2) To the appropriate Federal, State, local, or foreign agency
or authority or to the appropriate self-regulatory organization, as
defined in section 3(a)(26) of the Securities Exchange Act of 1934
(15 U.S.C. 78c (a)(26)), to the extent disclosure is determined to be
necessary and pertinent for investigating or prosecuting a violation
of or for enforcing or implementing a statute, rule, regulation, or
order, when the information by itself or together with additional
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 regulation, rule
or order issued pursuant thereto;
(3) To a congressional office in response to a written inquiry
made by the congressional office 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, to the
extent that the information is relevant to the proceeding;
(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 U.S. Government
securities broker or a U.S. Government securities dealer;
(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, registered broker, registered
municipal securities dealer, U.S. Government securities dealer, U.S.
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; and
(8) To a consultant, person or entity who contracts or
subcontracts with the FDIC, to the extent necessary for the
performance of the contract or subcontract. The recipient of the
records shall be required to comply with the requirements of the
Privacy Act of 1974, as amended (5 U.S.C. 552a).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in electronic media and in paper format within
individual file folders.
Retrievability:
Indexed by name, social security number, and dealer registration
number or FDIC bank certificate number.
Safeguards:
Electronic files are password protected and accessible only by
authorized personnel. Paper format records are stored in file folders
in lockable metal file cabinets accessible only by authorized
personnel.
Retention and disposal:
Permanent retention.
System manager(s) and address:
Senior Financial Analyst, Securities, Capital Markets and Trust
Branch, Division of Supervision, FDIC, 550 17th Street, NW.,
Washington, DC 20429.
Notification procedure:
Individuals wishing to determine if they are named in this system
of records or seeking access to records maintained in this system
must submit their request in writing to the Office of the Executive
Secretary, FOIA/PA Unit, FDIC, 550 17th Street, NW., Washington, DC
20429. Individuals requesting their own records must provide their
name, the date and place of their birth, and a notarized statement
attesting to their identity.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above. Individuals wishing to
contest or amend information maintained in this system should specify
the information being contested, the reasons for contesting it, and
the proposed amendment to such information.
Record source categories:
Individuals on whom the records are maintained, municipal
securities dealers and U.S. 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 organizations or
agencies which regulate the securities industry.
Exemptions claimed for the system:
None.
30-64-0017
System name:
Employee Medical and Health Assessment Records.
System location:
Health Unit, Acquisition and Corporate Services Branch, Division
of Administration, FDIC, located at the following addresses: 550 17th
Street, NW., Washington, DC 20429, and 3501 North Fairfax Drive,
Arlington, Virginia 22226; and Health Units located in FDIC regional
offices. (See Appendix A for a list of the FDIC regional offices and
their addresses.)
Categories of individuals covered by the system:
All current and former FDIC employees who participate in health
screening programs administered by contractor personnel retained by
the FDIC and individuals who seek treatment, medical accommodations
or information at an FDIC Health Unit.
Categories of records in the system:
Medical records of the employee, including name, age, height,
weight, history of certain medical conditions, health screening
records; dates of visits to the FDIC Health Unit, diagnoses, and
treatments administered; ergonomic reviews and assessments; and the
name and telephone number of the person to contact in the event of a
medical emergency involving the employee.
Note: In addition to the FDIC system of records, the United
States Office of Personnel Management maintains its own government-
wide system of records (known as OPM/GOVT-10).
Authority for maintenance of the system:
Sec. 9 of the Federal Deposit Insurance Act (12 U.S.C.
Sec. 1819).
Purpose(s):
The records are collected and maintained to identify potential
health issues and concerns of an individual and to identify and
collect information with respect to medical conditions reported by an
individual to the FDIC Health Unit and to identify necessary contacts
in the event of a medical emergency involving the covered individual.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Note: The records are disclosed only to a very limited number of
FDIC officials, generally only to a medical review or management
official to the extent necessary for a determination concerning a
medical issue or condition affecting the individual.
Information in the system may be disclosed:
(1) To the appropriate Federal, State or local agency when
necessary to adjudicate a claim (filed by or on behalf of the
individual) under a retirement, insurance or health benefit program;
(2) To a Federal, State, or local agency to the extent necessary
to comply with laws governing reporting of communicable disease;
(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 when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, and only of such information that is determined to be
relevant and necessary and it has been determined that the disclosure
is compatible with the purpose for which the records were collected;
(4) To the appropriate Federal, State or local agency or
responsible authority, such information that is necessary and
pertinent for investigating, prosecuting, enforcing, or implementing
a statute, rule, regulation, or order, when the information by itself
or together with additional information, indicates a violation or
potential violation of civil or criminal law or regulation;
(5) To a congressional office in response to a written inquiry
made by the congressional office at the request of the individual to
whom the record pertains;
(6) To the Merit Systems Protection Board or the Office of the
Special Counsel, the Federal Labor Relations Authority and its
General Counsel, the U.S. Office of Personnel Management, the Equal
Employment Opportunity Commission, arbitrators, hearing examiners and
appointed representatives of an individual to the extent necessary to
carry out their authorized duties or functions;
(7) To health or life insurance carriers contracting with the
FDIC to provide life insurance or to provide health benefits plan,
such information necessary to verify eligibility for payment of a
claim for life or health benefits;
(8) To a Health Unit contractor, including contract nurses,
retained for the purpose of performing any function associated with
the operation of the Health Unit; and
(9) To the person designated on the appropriate form as the
individual to contact in the event of a medical emergency of the
employee.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The records are stored in electronic media and in paper format
within individual file folders.
Retrievability:
Records are indexed and retrieved by name.
Safeguards:
Electronic files are password protected and accessible only by
authorized personnel. Paper format records are stored in lockable
metal file cabinets. Access is limited to authorized employees,
authorized employees of the contractor or contract nurses responsible
for servicing the records in the performance of their duties.
Retention and disposal:
Records are kept for the duration of the employee's employment
with FDIC. Upon termination of employment, the records are maintained
for six years and then destroyed.
System manager(s) and address:
Health, Safety and Environmental Program Manager, Acquisition and
Corporate Services Branch, Division of Administration, FDIC, 550 17th
Street, NW., Washington, DC 20429.
Notification procedure:
Individuals wishing to determine if they are named in this system
of records or seeking access to records maintained in this system
must submit their requests in writing to the Office of the Executive
Secretary, FOIA/PA Unit, FDIC, 550 17th Street, NW., Washington, DC
20429. All requests must contain the individual's name and identify
the office where the individual was employed. Individuals must also
provide a notarized statement attesting to their identity.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above. Individuals wishing to
contest or amend information maintained in this system should specify
the information being contested, the reasons for contesting it, and
the proposed amendment to such information.
Record source categories:
The records are compiled by the employee and contractor personnel
during the course of a visit to the Health Unit for treatment.
Records are created also as a result of the individual's
participation in a health screening program, or if the individual
requests an ergonomic assessment or health or medical accommodation.
The employee supplies the information contained in the emergency
contact sheet.
Exemptions claimed for the system:
None.
30-64-0018
System name:
Grievance Records.
System location:
Personnel Services Branch, Division of Administration, FDIC, 550
17th Street, NW., Washington, DC 20429. Records at the regional level
generated through grievance procedures negotiated with recognized
labor organizations are located in the FDIC regional office where
originated (See Appendix A for a list of the FDIC regional offices
and their addresses). For non-headquarters employees, duplicate
copies may be maintained by the Personnel Services Branch, Division
of Administration, Washington, DC, for the purpose of coordinating
grievance and arbitration proceedings.
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. Case files contain
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 procedures 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; sec. 9 of the Federal Deposit
Insurance Act, 12 U.S.C. 1819.
Purpose(s):
The information contained in this system is used to make
determinations and document decisions made on filed grievances and
settle matters of dissatisfaction or concern of covered individuals.
Information from this system may be used for preparing statistical
summary or management reports.
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, local agency or
responsible authority, such information that is necessary and
pertinent for investigating, prosecuting, 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 any source during the course of an investigation only such
information as determined to be necessary and pertinent to process 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 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 the requesting agency's decision on the
matter;
(4) To a congressional office in response to an inquiry made by
the congressional office at the request of the individual to whom the
record pertains;
(5) To 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);
(6) To officials of the Merit Systems Protection Board, the
Office of the Special Counsel, the Federal Labor Relations Authority,
the Equal Employment Opportunity Commission, the Office of Personnel
Management, or an arbitrator, when requested in performance of their
authorized duties and functions, but only to the extent that the
information disclosed is determined to be necessary and relevant to
the requesting agency's decision on the matter;
(7) To a court, magistrate, alternative dispute resolution
mediator or administrative tribunal in the course of presenting
evidence, including disclosures to counsel or witnesses in the course
of civil discovery, litigation, alternative dispute resolution, or
settlement negotiations or in connection with criminal proceedings,
when the FDIC is a party to the proceeding or has a significant
interest in the proceeding and the information is determined to be
relevant and necessary;
(8) 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; and
(9) To a consultant, person or entity who contracts or
subcontracts with the FDIC, to the extent necessary for the
performance of the contract or subcontract. The recipient of the
records shall be required to comply with the requirements of the
Privacy Act of 1974, as amended (5 U.S.C. 552a).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in paper format within individual file folders
or electronically.
Retrievability:
Records are indexed and retrieved by name.
Safeguards:
Electronic files are password protected and accessible only by
authorized personnel. Records in paper format are maintained in
lockable metal filing cabinets accessible only by authorized
personnel.
Retention and disposal:
The records are disposed of three years after closing of the
case.
System manager(s) and address:
Director of Personnel, Personnel Services Branch, Division of
Administration, FDIC, 550 17th Street, NW., Washington, DC 20429. The
appropriate FDIC regional director for records maintained in FDIC
regional offices (see Appendix A for a list of the FDIC regional
offices and their addresses).
Notification procedure:
Individuals wishing to determine if they are named in this system
of records or seeking access to their records maintained in this
system must submit their requests in writing to the Executive
Secretary, FOIA/PA Unit, FDIC, 550 17th Street, NW., Washington, DC
20429. Individuals requesting their own records must provide their
name, address, and a notarized statement attesting to their identity.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification Procedure'' above. Individuals wishing to
contest or amend information maintained in this system should specify
the information being contested, the reasons for contesting it, and
the proposed amendment to such information.
Record source categories:
Information in this system 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.
Exemptions claimed for the system:
None.
30-64-0019
System name:
Potential Bidders List.
System location:
Division of Resolutions and Receiverships, FDIC, 550 17th Street,
NW., Washington, DC 20429; and Field Operations Branch, Division of
Resolutions and Receiverships, FDIC, 1910 Pacific Avenue, Dallas,
Texas 75201.
Categories of individuals covered by the system:
Individuals who have purchased or submitted written notice of an
interest in purchasing loans, owned real estate or other assets from
the FDIC.
Categories of records in the system:
Contains the individual's name, address, telephone number and
electronic mail address, if available; information as to the kind or
category and general geographic location of loans or owned real
estate that the individual may be interested in purchasing; and
information relating to whether any bids have been submitted on prior
loan sales.
Authority for maintenance of the system:
Secs. 9, 11 and 13 of the Federal Deposit Insurance Act (12
U.S.C. 1819, 1821 and 1823).
Purpose(s):
The system collects, identifies and maintains information about
potential purchasers of assets (primarily loans and owned real
estate) from the FDIC. The information is utilized by the FDIC in the
marketing of assets, to identify potential purchasers and to solicit
bids for assets. The information in this system is used to support
the FDIC's liquidation/receivership functions.
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, subject to applicable
law:
(1) To other Federal or State agencies and to contractors to
assist in the marketing and sale of loans and real estate held by the
FDIC;
(2) To the appropriate Federal, State or local agency or
responsible authority, to the extent that disclosure is necessary and
pertinent 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 counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal law proceedings, when the
FDIC is a party to the proceeding or has a significant interest in
the proceeding and the information is determined to be relevant and
necessary; and
(4) To a congressional office in response to a written inquiry
made by the congressional office 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:
Records are stored in electronic media and paper format in file
folders.
Retrievability:
Electronic media and paper format are indexed and retrieved by
name of prospective purchaser or unique identification number
assigned to the prospective purchaser.
Safeguards:
Electronic files are password protected and accessible only by
authorized personnel. Hard copy printouts are maintained in lockable
metal file cabinets or offices.
Retention and disposal:
Records are periodically updated to reflect changes and
maintained as long as needed. Obsolete records are deleted or
destroyed after 15 months.
System manager(s) and address:
Director, Division of Resolutions and Receiverships, FDIC, 550
17th Street, NW., Washington DC 20429.
Notification procedure:
Individuals wishing to determine if they are named in this system
of records or seeking access to records maintained in this system
must submit their request in writing to the Office of the Executive
Secretary, FOIA/PA Unit, FDIC, 550 17th Street, NW., Washington DC
20429. Individuals requesting their own records must provide their
name, address and a notarized statement attesting to their identity.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above. Individuals wishing to
contest or amend information maintained in this system should specify
the information being contested, the reasons for contesting it, and
the proposed amendment to such information.
Record source categories:
Information is obtained from the individual about whom the record
is maintained.
Exemptions claimed for the system:
None.
30-64-0020
System name:
Telephone Call Detail Records.
System location:
Division of Information Resources Management, FDIC, 3501 N.
Fairfax Dr., Arlington, VA 22226.
Categories of individuals covered by the system:
Individuals assigned telephone numbers and authorization codes by
the FDIC, including current and former FDIC employees and contractor
personnel, who make local and long distance telephone calls and
individuals who receive telephone calls placed from or charged to
FDIC telephones.
Categories of records in the system:
Records, including telephone number, location, dates and duration
of telephone call, relating to use of FDIC telephones to place or
receive long distance and local calls; records of any charges billed
to FDIC telephones; records indicating assignment of telephone
numbers to individuals covered by the system; and the results of
administrative inquiries to determine responsibility for the
placement of specific local or long distance calls.
Authority for maintenance of the system:
Sec. 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).
Purpose(s):
The records in this system are maintained to identify and make a
record of all telephone calls placed to or from FDIC telephones and
enable the FDIC to analyze call detail information for verifying call
usage; to determine responsibility for placement of specific long
distance calls; and for detecting possible abuse of the FDIC provided
long distance telephone network.
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 congressional office in response to an inquiry made by
the congressional office 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, when the
FDIC is a party to the proceeding or has a significant interest in
the proceeding and the information is determined to be relevant and
necessary;
(3) To the appropriate Federal, State, or local agency or
responsible authority such information that is necessary and
pertinent 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;
(4) To current and former FDIC employees and other individuals
currently or formerly provided telephone services by the FDIC to
determine their individual responsibility for telephone calls;
(5) 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;
(6) To a telecommunications company providing telecommunications
support to permit servicing the account;
(7) To a consultant, person or entity who contracts or
subcontracts with the FDIC, to the extent necessary for the
performance of the contract or subcontract. The recipient of the
records shall be required to comply with the requirements of the
Privacy Act of 1974, as amended (5 U.S.C. 552a); and
(8) To the Department of the Treasury, federal debt collection
centers, other appropriate federal agencies, and private collection
contractors or other third parties authorized by law, for the purpose
of collecting or assisting in the collection of delinquent debts owed
to the FDIC. Disclosure of information contained in these records
will be limited to the individual's name, Social Security number, and
other information necessary to establish the identity of the
individual, and the existence, validity, amount, status and history
of the debt.
Disclosures to consumer reporting agencies:
Disclosures may be made from this system, pursuant to subsection
(b)(12) of the Privacy Act, to consumer reporting agencies in
accordance with 31 U.S.C. 3711(e). (The term ``consumer reporting
agency'' is defined by 31 U.S.C. 3701(a)(3) and 15 U.S.C. 1681a(f).)
Disclosure of information contained in these records will be limited
to the individual's name, Social Security number, and other
information necessary to establish the identity of the individual,
and the existence, validity, amount, status and history of the debt.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in electronic media.
Retrievability:
Records are indexed and retrieved by telephone number and office
location.
Safeguards:
Electronic files are password protected and accessible only by
authorized personnel.
Retention and disposal:
Records are destroyed after the close of the fiscal year in which
they are audited or after three years from the date the record was
created, whichever occurs first.
System manager(s) and address:
Associate Director, Division of Information Resources Management,
3501 N. Fairfax Dr., Arlington, Virginia 22226.
Notification procedure:
Individuals wishing to determine if they are named in this system
of records or seeking access to records maintained in this system
must submit their requests in writing to the Office of the Executive
Secretary, FOIA/PA Unit, FDIC, 550 17th Street, NW., Washington, DC
20429. The request must contain the individual's name, office
location, the telephone number assigned to the individual by the
FDIC, and a notarized statement attesting to their identity.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above. Individuals wishing to
contest or amend information maintained in this system should specify
the information being contested, the reasons for contesting it, and
the proposed amendment to such information.
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.
Exemptions claimed for the system:
None.
30-64-0021
System name:
Fitness Center Records.
System location:
Fitness Center, Acquisition and Corporate Services Branch,
Division of Administration, FDIC, 550 17th Street, NW., Washington,
DC 20429.
Categories of individuals covered by the system:
FDIC employees who apply for membership and participate in the
Fitness Center.
Categories of records in the system:
Principally contains the individual's name, gender, age; fitness
assessment results; identification of certain medical conditions; and
the name and phone number of the individual's personal physician and
emergency contact.
Authority for maintenance of the system:
Sec. 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).
Purpose(s):
The records are collected and maintained to control access to the
fitness center; to enable the Fitness Center contractor to identify
any potential health issues or concerns and the fitness level of an
individual; and to identify necessary contacts in the event of a
medical emergency while the individual is participating in a fitness
activity.
Routine uses of records maintained in the system, including
categories of users and purposes of such uses:
Information in the system may be disclosed to:
(1) The individuals listed as emergency contacts or the
individual's personal physician, in the event of a medical emergency;
(2) A consultant, person or entity who contracts or subcontracts
with the FDIC, to the extent necessary for the performance of the
contract or subcontract. The recipient of the records shall be
required to comply with the requirements of the Privacy Act of 1974,
as amended (5 U.S.C. 552a); and
(3) 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, when the
FDIC is a party to the proceeding or has a significant interest in
the proceeding and the information is determined to be relevant and
necessary.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records:
Storage:
Records are stored in paper format within individual file
folders. Information recorded on index cards is stored in a card file
box.
Retrievability:
Individual file folders and cards are indexed and retrieved by
name.
Safeguards:
Records are maintained in lockable metal file cabinets. Access is
limited to authorized employees of the contractor responsible for
servicing the records in the performance of their duties.
Note: In the future, all or some portion of the records may be
stored in electronic media. These records will be indexed and
retrieved by name and will be password protected and accessible only
by authorized personnel.
Retention and disposal:
Active records are retained indefinitely; inactive records are
destroyed.
System manager(s) and address:
Health, Safety and Environmental Program Manager, Acquisition and
Corporate Services Branch, Division of Administration, FDIC, 550 17th
Street, NW., Washington, DC 20429.
Notification procedure:
Individuals wishing to determine if they are named in this system
of records or seeking access to records maintained in this system
must submit their requests in writing to the Office of the Executive
Secretary, FOIA/PA Unit, FDIC, 550 17th Street, NW., Washington, DC
20429. Individuals requesting their own records must provide their
name, address and a notarized statement attesting to their identity.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above. Individuals wishing to
contest or amend information maintained in this system should specify
the information being contested, the reason for contesting it, and
the proposed amendment to such information.
Record source categories:
Information is principally obtained from the individual who has
applied for membership and contractor personnel. Some information may
be provided by the individual's personal physician.
Exemptions claimed for the system:
None.
30-64-0022
System name:
Freedom of Information Act and Privacy Act Request Records.
System location:
Office of the Executive Secretary, FOIA/PA Unit, FDIC, 550 17th
Street, NW., Washington, DC 20429. In addition, records may be
maintained at the division or office level in the FDIC Washington
office or at FDIC Regional offices (see Appendix A for a list of the
FDIC regional offices and their addresses).
Categories of individuals covered by the system:
Individuals who have submitted requests for information pursuant
to the Freedom of Information Act; individuals who have submitted
requests for records about themselves under the provisions of the
Privacy Act of 1974 and individuals filing an administrative appeal
of a denial, in whole or part, of any such requests.
Categories of records in the system:
Contains names and addresses of individuals making written
requests for access to information; written requests for amendment of
records made pursuant to the Privacy Act; correspondence to or from
the requester; correspondence to or from a person writing on the
requester's behalf; internal FDIC memoranda; memoranda to or from
other Federal agencies having a substantial interest in the
determination of the request; responses to requests (including for
example acknowledgment letters, fee estimate letters, and final
determinations); administrative appeals of denials of access to
records; administrative appeals of denials of requests for amendment
of records made pursuant to the Privacy Act. These records may
contain personal information retrieved in response to a request.
Note: Freedom of Information Act and Privacy Act case records may
contain inquiries and requests regarding any of the FDIC's other
systems of records subject to the Freedom of Information Act and
Privacy Act, and information about individuals from any of these
other systems may become part of this system of records.
Authority for maintenance of the system:
Sec. 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819(a));
Freedom of Information Act (5 U.S.C. 552), the Privacy Act of 1974 (5
U.S.C 552a), 12 CFR part 309, and 12 CFR part 310.
Purpose(s):
The records maintained in this system are collected to process
requests made under the provisions of the Freedom of Information Act
and the Privacy Act. The records are also used by the FDIC to prepare
reports to the Office of Management and Budget and Congress required
by the Freedom of Information Act and the Privacy Act.
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 a substantial
interest in the determination of the request or for the purpose of
consulting with that agency as to the propriety of access or
correction of the record in order to complete the processing of
requests;
(2) To a congressional office in response to an inquiry made by
the congressional office 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, when the
FDIC is a party to the proceeding or has a significant interest in
the proceeding and the information is determined to be relevant and
necessary;
(4) To a third party authorized in writing to receive such
information by the individual about whom the information pertains;
(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, and the
information is determined to be relevant and necessary to the
investigation and/or prosecution or enforcement action; and
(6) To the Department of the Treasury, federal debt collection
centers, other appropriate federal agencies, and private collection
contractors or other third parties authorized by law, for the purpose
of collecting or assisting in the collection of delinquent debts owed
to the FDIC. Disclosure of information contained in these records
will be limited to the individual's name, Social Security number, and
other information necessary to establish the identity of the
individual, and the existence, validity, amount, status and history
of the debt.
Disclosures to consumer reporting agencies:
Disclosures may be made from this system, pursuant to subsection
(b)(12) of the Privacy Act, to consumer reporting agencies in
accordance with 31 U.S.C. 3711(e). (The term ``consumer reporting
agency'' is defined by 31 U.S.C. 3701(a)(3) and 15 U.S.C. 1681a(f).)
Disclosure of information contained in these records will be limited
to the individual's name, Social Security number, and other
information necessary to establish the identity of the individual,
and the existence, validity, amount, status and history of the debt.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in electronic media and paper format within
individual file folders.
Retrievability:
Electronic media and paper format records are indexed and
retrieved by the requester's name or by unique log number assigned to
the request. Records sometimes are retrieved by reference to the name
of the requester's firm, if any, or the subject matter of the
request.
Safeguards:
Electronic files are password protected and accessible only by
authorized personnel. File folders are maintained in lockable metal
file cabinets.
Retention and disposal:
Records for Freedom of Information Act requests which are
granted, withdrawn or closed for non-compliance or similar reason,
are destroyed two years after the date of the reply. Records for all
other Freedom of Information Act requests (e.g., requests denied in
part, requests denied in full, and requests for which no responsive
information was located) 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 established disposition schedules for individual records, or
five years after the date of the disclosure was made, whichever is
later.
System manager(s) and address:
Senior Program Attorney, FOIA/PA Unit, Office of the Executive
Secretary, FDIC, 550 17th Street, NW., Washington, DC 20429.
Notification procedure:
Individuals wishing to determine if they are named in this system
of records or seeking access to records maintained in this system
must submit their request in writing to Office of the Executive
Secretary, FOIA/PA Unit, FDIC, 550 17th Street, NW., Washington, DC
20429. Individuals requesting their own records must provide their
name, address and a notarized statement attesting to their identity.
Record access procedures:
The FDIC systems of records that are exempt from certain Privacy
Act requirements may be included in this system as part of a Freedom
of Information Act or Privacy Act case record. Such material retains
its exemption if it is included in this system of records (see
section of this notice titled, ``Systems Exempted from Certain
Provisions of the Act''). Individuals seeking access to their records
in this system should direct their request to the Office of the
Executive Secretary, FOIA/PA Unit, FDIC, 550 17th Street, NW.,
Washington, DC 20429.
Contesting record procedures:
The FDIC systems of records that are exempt from certain Privacy
Act requirements may be included in this system as part of a Freedom
of Information Act or Privacy Act case record. Such material retains
its exemption if it is included in this system of records (see
section of this notice titled, ``Systems exempted from certain
provisions of the act''). Individuals wishing to contest or amend
information maintained in the system should direct their request to
the Office of the Executive Secretary, FOIA/PA Unit, FDIC, 550 17th
Street, NW., Washington, DC 20429, stating specifically what
information is being contested, the reasons for contesting it, and
the proposed amendment to such information.
Record source categories:
Requesters and persons acting on behalf of requesters, FDIC
offices and divisions, other Federal agencies having a substantial
interest in the determination of the request, and employees
processing the requests.
Exemptions claimed for the system:
The FDIC has claimed exemptions for several of its other systems
of records under 5 U.S.C. 552a (k)(1), (k)(2), and (k)(5) and 12 CFR
310.13. During the processing of a Freedom of Information Act or
Privacy Act request, exempt records from these other systems of
records may become part of the case record in this system of records.
To the extent that exempt records from other FDIC systems of records
are entered or become part of this system, the FDIC has claimed the
same exemptions, and any such records compiled in this system of
records from any other system of record continue to be subject to any
exemption(s) applicable for the records as they have in the primary
systems of records of which they are a part.
30-64-0023
System name:
Affordable Housing Program Records.
System location:
Field Operations Branch, Division of Resolutions and
Receiverships, FDIC, 1910 Pacific Avenue, Dallas, Texas 75201.
Categories of individuals covered by the system:
Purchasers and prospective purchasers of residential properties
offered for sale through the FDIC's Affordable Housing Program.
Note: To be considered a prospective purchaser for purposes of
this record system, the individual 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 personal
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 other documents related to the FDIC's Affordable
Housing Program.
Authority for maintenance of the system:
Secs. 9, 11, 13, and 40 of the Federal Deposit Insurance Act (12
U.S.C. 1819, 1821, 1823, 1831q).
Purpose(s):
The records are collected and maintained to determine individual
eligibility to participate in the FDIC Affordable Housing Program;
monitor compliance by individuals with purchaser income restrictions;
and to verify that an individual qualifies to participate in the
program. The information in the system supports the FDIC's
liquidation of qualifying residential housing units and the FDIC goal
to provide homeownership for low-income and moderate-income families.
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, subject to
applicable law:
(1) To a congressional office in response to an inquiry made by
the congressional office 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, when the
FDIC is a party to the proceeding or has a significant interest in
the proceeding and the information is determined to be relevant and
necessary;
(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 contractors retained by the FDIC to perform services in
connection with the implementation of the FDIC Affordable Housing
Program such as brokers, appraisers, mortgage lenders, nonprofit
organizations, counsel, and consultants; and
(5) To mortgage companies, financial institutions, federal
agencies (such as the Federal Housing Administration, the Housing and
Urban Development Agency, the Farm Service Agency, and the Veterans
Administration), or state and local government housing agencies where
information is determined to be relevant to an application or request
for a loan, grant, financial benefit, or other type of assistance or
entitlement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in electronic media and in paper format within
individual file folders.
Retrievability:
Electronic media and paper format are accessible by name of
purchaser or prospective purchaser and by address of the property
purchased.
Safeguards:
Electronic files are password protected and accessible only by
authorized personnel. File folders are maintained in lockable metal
file cabinets accessible only by authorized personnel.
Retention and disposal:
If no longer needed by the FDIC, electronic media and paper
format files and information are destroyed six years after
termination of the closed bank receivership from which the eligible
affordable housing property was acquired.
System manager(s) and address:
Deputy Director, Field Operations Branch, Division of Resolutions
and Receiverships, FDIC, 1910 Pacific Avenue, Dallas, Texas 75201.
Notification procedure:
Individuals who wish to determine if they are named in this
system of records or seeking access to records maintained in this
system, must submit their request in writing to the Office of the
Executive Secretary, FOIA/PA Unit, FDIC, 550 17th Street, NW.,
Washington, DC 20429. The request must contain the purchaser's or the
prospective purchaser's name, property address, and a notarized
statement attesting to their identity.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above. Individuals wishing to
contest or amend information maintained in this system should specify
the information being contested, the reasons for contesting it, and
the proposed amendment to such information.
Record source categories:
Information is obtained 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.
Exemptions claimed for the system:
None.
30-64-0024
System name:
Unclaimed Deposit Account Records.
System location:
Operations Branch, Division of Resolutions and Receiverships,
Field Operations Branch, Divisions of Resolutions and Receiverships,
FDIC, 1910 Pacific Avenue, Dallas, Texas 75201.
Categories of individuals covered by the system:
Individuals identified as deposit account owners of unclaimed
insured deposits of a closed insured depository institution for which
the FDIC was appointed receiver after January 1, 1989.
Categories of records in the system:
Deposit account records, including signature cards, last known
home address, social security number, name of insured depository
institution, relating to unclaimed insured deposits or insured
transferred deposits from closed insured depository institutions for
which the FDIC was appointed receiver after January 1, 1989.
Authority for maintenance of the system:
Secs. 9, 11, and 12 of the Federal Deposit Insurance Act (12
U.S.C. 1819, 1821, and 1822).
Purpose(s):
The information in this system is used to process inquiries and
claims of individuals with respect to unclaimed insured deposit
accounts of closed insured depository institutions for which the FDIC
was appointed receiver after January 1, 1989, and to assist in
complying with the requirements of the Unclaimed Deposits Amendments
Act.
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, subject
to applicable law:
(1) To the appropriate State agency accepting custody of
unclaimed insured deposits;
(2) To a congressional office in response to an inquiry made by
the congressional office 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, when the
FDIC is a party to the proceeding or has a significant interest in
the proceeding and the information is determined to be relevant and
necessary.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in electronic media and in paper format.
Retrievability:
Electronic media and paper format are indexed and retrieved by
depository institution name, depositor name, depositor social
security number, or deposit account number.
Safeguards:
Electronic files are password protected and accessible only by
authorized personnel. Hard copy printouts are maintained in lockable
metal file cabinets accessible only to authorized personnel.
Retention and disposal:
If the appropriate State has accepted custody of unclaimed
deposits, a record of the unclaimed deposits will be retained by the
FDIC during the custody period of ten years. 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 the unclaimed deposits of the closed insured
depository institution, the FDIC will retain the unclaimed deposit
records and upon termination of the receivership of the closed
insured depository institution, the records will be destroyed in
accordance with the FDIC's records retention policy.
System manager(s) and address:
Assistant Director, Operations Branch, Division of Resolutions
and Receiverships, FDIC, 550 17th Street, NW., Washington, DC 20429.
Notification procedure:
Individuals wishing to determine if they are named in this system
of records or seeking access to records maintained in this system
must submit their request in writing to the Office of the Executive
Secretary, FOIA/PA Unit, FDIC, 550 17th Street, NW., Washington, DC
20429. The request must contain the individual's name, address, the
name and address of the closed depository institution, and a
notarized statement attesting to their identity.
Record access procedures:
Same as ``Notification'' above.
Contesting record procedures:
Same as ``Notification'' above. Individuals wishing to contest or
amend information maintained in this system should specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information.
Record source categories:
Information originates from deposit records of closed insured
depository institutions. Records of unclaimed transferred deposits
are provided to the FDIC from assuming depository institutions to
which the FDIC transferred deposits upon closing of the depository
institution.
Exemptions claimed for the system:
None.
Appendix A
Federal Deposit Insurance Corporation Regional Offices
Atlanta Regional Office, FDIC, One Atlantic Center,
1201 West Peachtree Street, NE., Suite 1600, Atlanta,
Georgia 30309-3415
Boston Regional Office, FDIC, 15 Braintree Hill Office
Park, Braintree, Massachusetts 02184-8701
Chicago Regional Office, FDIC, 500 West Monroe Street,
Suite 3300, Chicago, Illinois 60661
Dallas Regional Office, FDIC, 1910 Pacific Avenue, 20th
Floor, Dallas, Texas 75201-4586
Kansas City Regional Office, FDIC, 2345 Grand
Boulevard, Suite 1200, Kansas City, Missouri 64108-2638
Memphis Regional Office, FDIC, 5100 Poplar Avenue,
Suite 1900, Memphis, Tennessee 38137-5900
New York City Regional Office, FDIC, 20 Exchange Place,
Room 6014, New York, New York 10005
San Francisco Regional Office, FDIC, 25 Ecker Street,
Suite 2300, San Francisco, California 94105-2780
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]