Systems of Records Published Between January 2, 2026 and December 31, 2027

/-001 Honors Attorney Applicant Records.

Unclassified.

Legal Division, FDIC, 550 17th Street NW, Washington, DC 20429; and Atlanta Regional Office, FDIC, 10 Tenth Street, Suite 800, Atlanta, Georgia 30309.

Assistant General Counsel, Open Bank Regional Affairs Section, Legal Division, FDIC, 550 17th Street NW, Washington, DC 20429.

Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).

The information in this system is used to evaluate the qualifications of individuals who apply for honors attorney positions in the Legal Division.

Applicants for the position of honors attorney with the Legal Division of the FDIC.

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; writing samples; and copies of academic transcripts and class ranking.

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.

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside the FDIC as a routine use as follows:

(1) To appropriate Federal, State, local and foreign authorities responsible for investigating or prosecuting a violation of, or for enforcing or implementing a statute, rule, regulation, or order issued, when the information indicates a violation or potential violation of law, whether civil, criminal, or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule, or order issued pursuant thereto;

(2) To a court, magistrate, or other administrative body 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;

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(4) To appropriate agencies, entities, and persons when (a) the FDIC suspects or has confirmed that there has been a breach of the system of records; (b) the FDIC has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, the FDIC (including its information systems, programs, and operations), the Federal Government, or national security; the FDIC and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the FDIC’s efforts to respond to the suspected or confirmed breach or to prevent, minimize, or remedy such harm;

(5) To another Federal agency or Federal entity, when the FDIC determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (a) responding to a suspected or confirmed breach or (b) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

(6) To appropriate Federal, State, and local authorities in connection with hiring or retaining an individual, conducting a background security or suitability investigation, adjudication of liability, or eligibility for a license, contract, grant, or other benefit;

(7) To appropriate Federal, State, and local authorities, agencies, arbitrators, and other parties responsible for processing any personnel actions or conducting administrative hearings or corrective actions or grievances or appeals, or if needed in the performance of other authorized duties;

(8) To appropriate Federal agencies and other public authorities for use in records management inspections;

(9) To contractors, grantees, volunteers, and others performing or working on a contract, service, grant, cooperative agreement, or project for the FDIC, the Office of Inspector General, or the Federal Government for use in carrying out their obligations under such contract, grant, agreement or project;

(10)To officials of a labor organization when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions; and

(11)To individuals or concerns whose names were supplied by the applicant as references and/or past or present employers in requesting information about the applicant.

(12) To Federal agencies, and to those Federal employees designated by the President or Agency Heads pursuant to Executive Order 14243, for the purposes of identifying and eliminating waste, fraud, and abuse, including the elimination of bureaucratic duplication and inefficiency and the enhancement of the Government’s ability to detect overpayments and fraud.

Records are stored in electronic media and in paper format within individual file folders.

Records are retrieved by name. Records of unsuccessful applicants are indexed first by job position category and year and then by name.

Records of unsuccessful applicants are maintained two years after their submission; records of successful applicants become a part of the Personnel Records, FDIC 30-64-0015. Disposal is by shredding or other appropriate disposal methods.

Electronic records are password-protected and accessible only by authorized personnel. Paper records are maintained in lockable metal file cabinets accessible only to authorized personnel. Some paper records may be maintained in a locked room accessible only to authorized personnel during a finite initial review period.

Individuals wishing to contest or request an amendment to their records in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to know whether this system contains information about them must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

Pursuant to 12 CFR part 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.

80 FR 66981 (Oct. 30, 2015), 84 FR 35184 (Jul. 22, 2019).

/-002

Financial Institution Investigative and Enforcement Records.

Unclassified.

Division of Risk Management Supervision, FDIC, 550 17th Street NW, Washington, DC 20429. Duplicate systems may exist, in whole or in part, at secure sites and on secure servers maintained by third-party service providers for the FDIC.

Director, Division of Risk Management Supervision, FDIC, 550 17th Street NW, Washington, DC 20429.

Director, Division of Risk Management Supervision, FDIC, 550 17th Street, NW, Washington, DC 20429.

Sections 5, 6, 7, 8, 9, 18, and 19 of the Federal Deposit Insurance Act (12 U.S.C. 1815, 1816, 1817, 1818, 1819, 1828, 1829).

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 initiation 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.

(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 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 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.

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.

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.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(8) To appropriate Federal agencies and other public authorities for use in records management inspections;

(10)To officials of a labor organization when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions;

(11)To a financial institution affected by enforcement activities or reported criminal activities;

(12)To the Internal Revenue Service and appropriate State and local taxing authorities;

(13)To other Federal, State or foreign financial institutions supervisory or regulatory authorities; and

(14)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.

Disclosure to consumer reporting agencies:

Pursuant to 5 U.S.C. 552a(b)(12), disclosures may be made from this system to consumer reporting agencies as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)).

(15) To Federal agencies, and to those Federal employees designated by the President or Agency Heads pursuant to Executive Order 14243, for the purposes of identifying and eliminating waste, fraud, and abuse, including the elimination of bureaucratic duplication and inefficiency and the enhancement of the Government’s ability to detect overpayments and fraud.

Records are stored in electronic media and in paper format within individual file folders.

Records are retrieved by name. Records of unsuccessful applicants are indexed first by job position category and year and then by name.

Records for name and identification checks that document criminal history or lack thereof on proposed bank directors, officer, and purchasers are maintained five years. Disposal is by shredding or other appropriate disposal methods.

Electronic records are password-protected and accessible only by authorized personnel. Paper records are maintained in lockable metal file cabinets accessible only to authorized personnel.

Individuals wishing to request access to records about them in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

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).

80 FR 66981 (October 30, 2015).

/-003

Administrative and Personnel Action Records.

Unclassified.

Legal Division, Executive Secretary Section, FDIC, 550 17th Street NW, Washington, DC 20429.

Sections 8, 9, and 19 of the Federal Deposit Insurance Act (12 U.S.C. 1818, 1819, 1829).

The system is maintained to record the administrative and personnel actions taken by the FDIC Board of Directors, standing committees, or other officials.

Individuals who have been the subject of administrative enforcement actions or other 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.

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.

Intra-agency records.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(8) To appropriate Federal agencies and other public authorities for use in records management inspections;

(11)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.

(12)To Federal agencies, and to those Federal employees designated by the President or Agency Heads pursuant to Executive Order 14243, for the purposes of identifying and eliminating waste, fraud, and abuse, including the elimination of bureaucratic duplication and inefficiency and the enhancement of the Government’s ability to detect overpayments and fraud.

Records are stored in electronic media, microfilm, and paper format within individual file folders, minute book ledgers and index cards.

Records are retrieved by name.

Permanent.

Electronic records are password-protected and accessible only by authorized personnel. Paper records are maintained in lockable metal file cabinets accessible only to authorized personnel. A security copy of certain microfilmed portions of the records is retained at another location.

None.

80 FR 66981 (Oct. 30, 2015), 84 FR 35184 (Jul. 22, 2019).

/-004

Changes in Financial Institution Control Ownership Records.

Unclassified.

Director, Division of Risk Management Supervision, FDIC, 550 17th Street NW, Washington, DC 20429.

The system maintains information on individuals involved in changes of control of FDIC-insured financial institutions for the period 1989 to 1995 and is used to support the FDIC's regulatory and supervisory functions.

(1) Individuals who acquired or disposed of voting stock in an FDIC-insured financial institution resulting in a change of financial institution control or ownership; and

(2) Individuals who filed or are included as a member of a group listed in a "Notice of Acquisition of Control'' of an FDIC-insured financial institution. 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 financial institution 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.

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 financial institution; 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.

Persons who acquired control of an FDIC-insured financial institution; the insured financial institution 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.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(8) To appropriate Federal agencies and other public authorities for use in records management inspections;

(11)To other Federal or State financial institution supervisory authorities.

(12)To Federal agencies, and to those Federal employees designated by the President or Agency Heads pursuant to Executive Order 14243, for the purposes of identifying and eliminating waste, fraud, and abuse, including the elimination of bureaucratic duplication and inefficiency and the enhancement of the Government’s ability to detect overpayments and fraud.

Records are stored in electronic media and in paper format within individual file folders.

Records for the period 1989 to 1995 are indexed and retrieved by name of the individual.

Records are maintained ten years. Disposal is by shredding or other appropriate disposal methods.

Electronic records are password-protected and accessible only by authorized personnel. Paper records are maintained in lockable metal file cabinets accessible only to authorized personnel.

None.

80 FR 66981 (Oct. 30, 2015), 84 FR 35184 (Jul. 22, 2019).

/-005

Consumer Complaint and Inquiry Records.

Unclassified.

Division of Depositor and Consumer Protection, 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 www.fdic.gov/about/contact/directory or Appendix A for the location of FDIC Regional Offices.) Duplicate systems may exist, in whole or in part, at secure sites and on secure servers maintained by third-party service providers for the FDIC.

Deputy Director, Consumer and Community Affairs, Division of Depositor and Consumer Protection, FDIC, 550 17th Street NW, Washington, DC 20429, or the Regional Director, Division of Supervision and Consumer Protection for records maintained in FDIC Regional Offices. (See www.fdic.gov/about/contact/directory or Appendix A for the location of FDIC Regional Offices.)

Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819) and Section 202(f) of Title II of the Federal Trade Improvement Act (15 U.S.C. 57a(f)).

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, and concerns expressed by individuals. The information in this system supports the FDIC regulatory and supervisory functions.

Individuals who have submitted complaints or inquiries concerning activities or practices of FDIC-insured depository institutions.

This 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 and contact information including name, e-mail address, online identity verification information, and any other information voluntarily supplied by the individual. This system may also contain regulatory and supervisory communications between the FDIC and the FDIC-insured depository institution in question and/or intra-agency or inter-agency memoranda or correspondence relevant to the complaint or inquiry.

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.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(8) To appropriate Federal agencies and other public authorities for use in records management inspections;

(10) To officials of a labor organization when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions;

(11) To the insured depository institution which is the subject of the complaint or inquiry when necessary to investigate or resolve the complaint or inquiry;

(12) 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; and

(13) 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.

(14) To Federal agencies, and to those Federal employees designated by the President or Agency Heads pursuant to Executive Order 14243, for the purposes of identifying and eliminating waste, fraud, and abuse, including the elimination of bureaucratic duplication and inefficiency and the enhancement of the Government’s ability to detect overpayments and fraud.

Records are stored in electronic media.

Electronic media is indexed and retrieved by unique identification number which may be cross referenced to the name of complainant or inquirer.

Records are maintained seven years. Disposal is by shredding or other appropriate disposal methods.

Electronic records are password-protected and accessible only by authorized personnel.

None.

80 FR 66981 (Oct. 30, 2015), 84 FR 35184 (Jul. 22, 2019).

/-006

Employee Financial Disclosure Records

Unclassified.

Records are located in FDIC Divisions and Offices to which

individuals covered by the system are assigned. Duplicate copies of the records are located in the Legal Division, Executive Secretary Section, Ethics Unit, FDIC, 550 17th Street NW, Washington, DC 20429. (See www.fdic.gov/about/contact/directory or Appendix A for the location of FDIC Regional Offices.) Duplicate systems may exist, in whole or in part, at secure sites and on secure servers maintained by third-party service providers for the FDIC.

Ethics Program Manager, Executive Secretary Section, Legal Division, FDIC, 550 17th Street NW, Washington, DC 20429.

The records are maintained to assure compliance with the standards of conduct for Government employees established by Executive Orders Federal Statute, 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.

Current and former officers and employees, prospective employees, and special government employees.

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; relevant personnel information and ethics training records; and information contained on the forms described below. Note: This system includes only records maintained by the FDIC. Associated records are described and covered by the Office of Government Ethics government-wide system of records OGE/GOVT-1 (Executive Branch Personnel Public Financial Disclosure Reports and Other Name-Retrieved Ethics Program Records) or OGE/GOVT-2 (Executive Branch Confidential Financial Disclosure Reports).

(1) Confidential Financial Disclosure Report—contains listing of personal and family investment holdings, interests in business enterprises and real property, creditors, and outside employment for covered employees.

(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 financial institutions 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) Public Financial Disclosure Form—contains a description of an employee’s personal and family investment holdings, including interests in business enterprises or real property, non-investment income, creditors, former or future employer information, outside positions, and other affiliations for political appointees.

(6) Notification of Post-Employment Negotiation or Agreement and Recusal Statement—contains notice of any negotiation for, or agreement of, future employment or compensation with a non-federal entity and requisite recusal statement.

The information is obtained from the individual or a person or entity designated by the individual; FDIC employees designated as Ethics Counselors or Deputy Ethics Counselors; FDIC automated personnel records system; and other employees or individuals to whom the FDIC has provided information in connection with evaluating the records maintained.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(8) To appropriate Federal agencies and other public authorities for use in records management inspections; and

(10) To Federal agencies, and to those Federal employees designated by the President or Agency Heads pursuant to Executive Order 14243, for the purposes of identifying and eliminating waste, fraud, and abuse, including the elimination of bureaucratic duplication and inefficiency and the enhancement of the Government’s ability to detect overpayments and fraud.

Records are stored in electronic media and in paper format within individual file folders.

Records are retrieved by name.

Records of nominees to Presidentially Appointed Senate confirmed (PAS) positions who are not confirmed are retained one year. All other records are retained six years, except that documents needed in an ongoing investigation will be retained until no longer needed in the investigation. 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. Disposal is by shredding or other appropriate disposal methods.

Electronic records are password-protected and accessible only by authorized personnel. Paper records are maintained in lockable metal file cabinets accessible only to authorized personnel.

None.

80 FR 66981 (Oct. 30, 2015), 84 FR 35184 (Jul. 22, 2019).

/-007

FDIC Learning and Development Records

Unclassified.

FDIC Corporate University, 3501 Fairfax Drive, Arlington, VA 22226, and FDIC Office of Inspector General, 3501 Fairfax Drive, Arlington, VA 22226. Duplicate systems may exist, in whole or in part, at secure sites and on secure servers maintained by third-party service providers for the FDIC.

Assistant Director, Educational Support Services, Corporate University, FDIC, 3501 Fairfax Drive, Arlington, VA 22226; Deputy Assistant Inspector General for Management, Office of Inspector General, FDIC, 3501 Fairfax Drive, Arlington, VA 22226.

Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819); Sections 4(b) and 6(e) of the Inspector General Act of 1978, as amended (5 U.S.C. App).

The system is used to record and manage comprehensive learning and development information that is available to learners, training administrators, and management. The system is also used to schedule training events, enroll students, launch online training, and run reports. The system is used to track training, career development, certifications, commissions, continuing education and learner skills and competencies.

All current and former employees and other individuals that have attended or completed training conducted or sponsored by the FDIC.

Records include the schedule of the individual’s training classes and other educational programs attended or completed, dates of attendance, continuing education credits earned, tuition fees and expenses for external training, and related information. Also contains information on career development, certification compliance, commissioning tests, career development, and learner skills and competencies. The system used by the Office of Inspector General may also contain information on educational degrees or professional memberships and other similar information.

The information is obtained from the employee about whom the record is maintained, employee supervisors, training administrators, the training facility or institution attended, and FDIC automated personnel records systems.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(8) To appropriate Federal agencies and other public authorities for use in records management inspections;

(10) To officials of a labor organization when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions;

(11) To educational institutions for purposes of enrollment and verification of employee attendance and performance;

(12) To vendors, professional licensing boards or other appropriate third parties, for the purpose of verification, confirmation, and substantiation of training or licensing requirements;

(13) To the U.S. Office of Personnel Management and other Federal, State, and foreign authorities for purposes of enrollment verification, attendance, and related information of employees who attend FDIC sponsored training; and

(14) To other Federal Offices of Inspector General or other entities for purposes of conducting quality assessments or peer reviews of the OIG or any of its components.

Records are stored in electronic media and in paper format within individual file folders.

Electronic media are accessible by unique identifier or name. File folders are indexed and retrieved by name of individual.

Records are maintained 10 years after employee separation from the FDIC. Disposal is by shredding or other appropriate methods.

Electronic records are password-protected and accessible only by authorized personnel. Paper records are maintained in lockable metal file cabinets accessible only to authorized personnel.

None.

80 FR 66981 (Oct. 30, 2015), 84 FR 35184 (Jul. 22, 2019).

/-008

Chain Banking Organizations Identification Records

Unclassified.

Division of Risk Management Supervision, FDIC, 550 17th Street NW, Washington, DC 20429, and FDIC Regional Offices. (See www.fdic.gov/about/contact/directory or Appendix A for the location of FDIC Regional Offices.) Duplicate systems may exist, in whole or in part, at secure sites and on secure servers maintained by third-party service providers for the FDIC.

Director, Division of Risk Management Supervision, FDIC, 550 17th Street NW, Washington, DC 20429.

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.

Individuals who directly, indirectly, or in concert with others, own or control two or more insured depository institutions.

Contains the names of and contact information for individuals who, either alone or in concert with others, 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.

Examination reports and related materials; regulatory filings; and Change in Financial Institution Control Notices filed pursuant to 12 U.S.C. 1817(j).

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(8) To appropriate Federal agencies and other public authorities for use in records management inspections;

(10) To officials of a labor organization when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions; and

(11) 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.

Records are stored in electronic media.

Electronic media are accessible by unique identifier or name.

Certain records are archived in off-line storage and all records are periodically updated to reflect changes. Records are maintained until they become inactive, at which time they will be retired or destroyed in accordance with FDIC Records Retention Schedules and the National Archives and Records Administration. Disposal is by shredding or other appropriate disposal methods.

Electronic records are password-protected and accessible only by authorized personnel.

None.

80 FR 66981 (Oct. 30, 2015), 84 FR 35184 (Jul. 22, 2019).

/-009

Safety and Security Incident Records

Unclassified.

FDIC, Division of Administration, 550 17th Street NW, Washington, DC 20429, and FDIC Regional or area Offices. (See www.fdic.gov/about/contact/directory or Appendix A for the location of FDIC Regional Offices.) Duplicate systems may exist, in whole or in part, at secure sites and on secure servers maintained by third-party service providers for the FDIC.

Chief, Security Operations, Security and Emergency Preparedness Section, Corporate Services Branch, Division of Administration, 3501 Fairfax Drive, Arlington, VA 22226.

Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).

This system of records is used to support the administration and maintenance of a safety and security incident investigation, tracking and reporting system involving FDIC facilities, property, personnel, contractors, volunteers, or visitors.

To the extent not covered by any other system, this system covers current and past FDIC employees, contractors, volunteers, visitors, and others involved in the investigation of accidents, injury, criminal conduct, and related civil matters involving the FDIC.

This system contains investigative reports, correspondence and other communications that may include, without limitation, name, home and office address and phone numbers, physical characteristics, vehicle information, and associated information.

The sources of records in this category include current FDIC employees, contractors, members of the public, witnesses, law enforcement officials, medical providers, and other parties providing information to the FDIC to facilitate an inquiry or resolve the complaint.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(8) To appropriate Federal agencies and other public authorities for use in records management inspections;

(10)To officials of a labor organization when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions.

(11)To Federal agencies, and to those Federal employees designated by the President or Agency Heads pursuant to Executive Order 14243, for the purposes of identifying and eliminating waste, fraud, and abuse, including the elimination of bureaucratic duplication and inefficiency and the enhancement of the Government’s ability to detect overpayments and fraud.

Records are stored in electronic media and in paper format within individual file folders.

Records are indexed and retrieved by name, date, or case number.

Records are maintained seven years. Disposal is by shredding or other appropriate disposal methods.

Electronic records are password-protected and accessible only by authorized personnel. Paper records are maintained in lockable metal file cabinets accessible only to authorized personnel.

Certain records contained within this system of records may be exempted from certain provisions of the Privacy Act (5 U.S.C. 552a) pursuant to 5 U.S.C. 552a(c)(3), (d)(5), (e)(1), (e)(4)(G), (H), and (I), (f) and (k).

80 FR 66981 (Oct. 30, 2015), 84 FR 35184 (Jul. 22, 2019).

/-10

Investigative Files of the Office of Inspector General

Unclassified.

FDIC Office of Inspector General (OIG), 3501 Fairfax Drive, Arlington, VA 22226. In addition, records are maintained in FDIC OIG field offices. FDIC OIG field office locations can be obtained by contacting the Assistant Inspector General for Investigations at said address. Original and duplicate systems may exist, in whole or in part, at secure sites and on secure servers maintained by third-party service providers for the FDIC OIG.

Assistant Inspector General for Investigations, FDIC Office of Inspector General, 3501 Fairfax Drive, Arlington, VA 22226.

Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819); the Inspector General Act of 1978, as amended (5 U.S.C. appendix).

Pursuant to the Inspector General Act, the system is maintained for the purpose of documenting, tracking, reviewing and reporting on all phases of the FDIC Office of Inspector General’s investigative and investigative-related litigation activities and serves as a repository and source for information necessary to fulfill statutory reporting, access and disclosure requirements, including those pertaining to the Inspector General Act.

Current and former FDIC employees and individuals involved in or associated with FDIC programs and operations, including contractors, subcontractors, vendors and other individuals, including members of the public, associated with investigative inquiries and investigative cases, including, but not limited to, witnesses, complainants, subjects and those contacting the FDIC OIG Hotline.

Investigative files, including memoranda, computer-generated background information, correspondence, including payroll records, call records, email records, electronic case management, forensic, and tracking files, FDIC OIG Hotline- related records, reports of investigations with related exhibits, statements, affidavits, records or other pertinent documents, reports from or to other law enforcement organizations, pertaining to violations or potential violations of criminal, civil, or administrative 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)), 12 CFR parts 336, 366, and 5 CFR parts 2634, 2635, and 3201. Records in this system may contain personally identifiable information such as names, social security numbers, dates of birth and addresses. This system may also contain such information as employment history, bank account numbers and information, driver’s licenses, educational records, criminal history, photographs, video and audio recordings, and other information of a personal nature provided or obtained in connection with an investigation.

Official records of the FDIC; current and former employees of the FDIC, other government employees, private individuals, vendors, contractors, subcontractors, witnesses and informants. Records in this system may have originated in other FDIC systems of records and subsequently been transferred to this system.

In addition to those

disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside the FDIC as a routine use as follows:

(1)To the appropriate Federal, State, local, foreign or international agency or authority which has responsibility for investigating or prosecuting a violation of or for enforcing or implementing a statute, rule, regulation, or order to assist such agency or authority in fulfilling these responsibilities 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 (collectively referred to as the adjudicative bodies) 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 (collectively, the litigated proceedings) when the FDIC or FDIC 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 in order for the adjudicatory bodies, or any of them, to perform their official functions in connection with the presentation of evidence relative to the litigated proceedings;

(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, FDIC OIG or any employee thereof is a party to litigation or administrative proceeding or has a significant interest in the litigation or proceeding to assist those representatives by providing them with information or evidence for use in connection with such litigation or proceedings;

(4)To appropriate agencies, entities, and persons when (a) the FDIC suspects or has confirmed that there has been a breach of the system of records; (b) the FDIC has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, the FDIC (including its information systems, programs, and operations), the Federal Government, or national security; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the FDIC’s efforts to respond to the suspected or confirmed breach or to prevent, minimize, or remedy such harm;

(5)To another Federal agency or Federal entity, when the FDIC determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (a) responding to a suspected or confirmed breach or (b) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach;

(6)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;

(7)To the subjects and/or respondents 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, or to the extent necessary to provide such persons with information and explanations concerning the results of an investigation or other inquiry arising from matters about which they were a subject and/or respondent;

(8)To complainants, victims, and/or witnesses to the extent necessary to provide such persons with information and explanations concerning the results of the investigation or other inquiry arising from the matters about which they complained and/or with respect to which they were a victim or witness;

(9)To an individual who has been interviewed or contacted pursuant to an investigation or other inquiry, to the extent that the FDIC OIG may provide copies of that individual’s statements, testimony, or records produced by such individual;

(10)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 FDIC OIG;

(11)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;

(12)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, a security clearance determination or adjudication, the letting of a contract, or the issuance of a license, grant, or other benefit;

(13)To a Federal agency responsible for considering suspension or debarment action where such record is determined to be necessary and relevant to that agency’s consideration of such action;

(14)To a consultant, person or entity who contracts or subcontracts with the FDIC or FDIC 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);

(15)To contractors, grantees, volunteers, and others performing or working on a contract, service, grant, cooperative agreement, or project for the FDIC OIG, the FDIC or the Federal Government in order to assist those entities or individuals in carrying out their obligation under the related contract, grant, agreement or project;

(16)To the U.S. Office of Personnel Management, Government Accountability 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 out their authorized functions, including but not limited to a request made in connection with hiring or retaining an employee, rendering advice requested by FDIC OIG, making a security clearance determination or adjudication, reporting an investigation of an employee, reporting an investigation of prohibited personnel practices, letting a contract or issuing 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;

(17)To appropriate Federal, State, and local authorities in connection with hiring or retaining an individual, conducting a background security or suitability investigation, adjudication of liability, or eligibility for a license, contract, grant, or other benefit;

(18)To appropriate Federal, State, and local authorities, agencies, arbitrators, and other parties responsible for processing any personnel actions or conducting administrative hearings or corrective actions or grievances or appeals, or if needed in the performance of other authorized duties;

(19)To officials of a labor organization when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions;

(20)To a financial institution affected by enforcement activities or reported criminal activities authorities to ascertain the knowledge of or involvement in matters that have been developed during the course of the investigation;

(21)To the Internal Revenue Service and appropriate State and local taxing authorities for their use in enforcing the relevant revenue and taxation law and related official duties;

(22)To other Federal, State or foreign financial institutions, supervisory or regulatory authorities for their use in administering their official functions, to include examination, supervision, litigation, and resolution authorities with respect to financial institutions, receiverships, liquidations, conservatorships, bridge institutions, and similar functions;

(23)To appropriate Federal agencies and other public authorities for use in records management inspections;

(24)To a governmental, public or professional or self-regulatory licensing organization for use in licensing or related determinations 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;

(25)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 or to obtain information in the course of an investigation (to the extent permitted by law). 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;

(26)To other Federal Offices of Inspector General or other entities for the purpose of conducting quality assessments or peer reviews of the FDIC OIG, or its investigative components, or for statistical purposes;

(27)To the news media and/or the public when such information has been publicly disclosed in court proceedings, subject to limitations imposed by law or court rule or order; and,

(28)To the news media and/or the public when the Inspector General determines that the community needs to be reassured that the appropriate law enforcement agency is investigating a matter, or where release of information is necessary to protect the public safety, and that disclosure would not constitute an unwarranted invasion of personal privacy.

(29)To Federal agencies, and to those Federal employees designated by the President or Agency Heads pursuant to Executive Order 14243, for the purposes of identifying and eliminating waste, fraud, and abuse, including the elimination of bureaucratic duplication and inefficiency and the enhancement of the Government’s ability to detect overpayments and fraud.

Disclosure to Consumer Reporting Agencies: Pursuant to 5 U.S.C. 552a (b)(12), disclosures may be made from this system to consumer reporting agencies as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)).

Records are stored in electronic media and in paper format within individual file folders.

Records are indexed and may be retrieved by a variety of fields, including but not limited to, name of individual, unique investigation number assigned, referral number, social security number, or investigative subject matter.

Records are maintained as follows and then dispositioned in accordance with approved records retention schedules. Records regarding "significant" investigations (i.e., those receiving national media attention, involving a Congressional investigation, or otherwise having been deemed to have historic value) are retained permanently. For records that are investigative in nature but not related to a specific investigation, the retention period is five years. For records related to a specific investigation, except significant investigations (national media attention, Congressional investigation, or substantive changes in agency policies and procedures), the retention period is ten years after the Office of Investigations’ closure of the file.

trict controls to minimize the risk of compromising the information that is being stored. Access to the records in this system is limited to those individuals who have completed mandatory privacy and security training and have a need to know the information for the performance of their official duties. FDIC and FDIC OIG have also implemented policies and procedures to safeguard the records. This includes maintaining files in secured facilities and restricting access to records to individuals who have appropriate role based permissions.

Individuals wishing to request access to records about them in this system of records must submit their request in writing to the FDIC FOIA &Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to contest or request an amendment to their records in this system of records must submit their request in writing to the FDIC FOIA &Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to know whether this system contains information about them must submit their request in writing to the FDIC FOIA &Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

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); (e)(12); (f); (g); and (h) 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 investigatory material compiled: (A) for other law enforcement purposes (except where an individual has been denied any right, privilege, or benefit for which he or she would otherwise be entitled to or eligible for under Federal law, so long as the disclosure of such information would not reveal the identity of a source who furnished information to the FDIC under an express promise that his or her identity would be kept confidential); or (B) solely for purposes 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 subsections (c)(3); (d); (e)(1); (e)(4)(G) and (H); and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2) and (k)(5), respectively. Note, records in this system that originated in another system of records shall be governed by the exemptions claimed for this system as well as any additional exemptions claimed for the other system.

84 FR 35184 (July 22, 2019).

/-011

Corporate Applicant Recruiting, Evaluating and Electronic Referral Records

Unclassified.

Human Resources Branch, Division of Administration, FDIC, 3501 Fairfax Drive, Arlington, VA 22226, and FDIC Office of Inspector General (OIG), 3501 Fairfax Drive, Arlington, VA 22226.

Assistant Director, Information Systems and Services Section, Human Resources Branch, Division of Administration, FDIC, 3501 Fairfax Drive, Arlington, VA 22226; Deputy Assistant Inspector General for Management, Office of Inspector General, FDIC, 3501 Fairfax Drive, Arlington, VA 22226.

Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819); 5 U.S.C. 1104; and Section 8C(b) of the Inspector General Act, as amended (5 U.S.C. App.).

The records are collected and maintained to monitor and track individuals filing employment applications with the FDIC or OIG and to assess recruiting goals and objectives.

Individuals filing applications for employment with the FDIC or OIG in response to advertised position vacancy announcements.

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, other contact information, social security number, 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.

Information originates from position vacancy announcements, applications for employment submitted by individuals, and the applicant qualification and processing system.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(8) To appropriate Federal agencies and other public authorities for use in records management inspections;

(10)To officials of a labor organization when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions.

Records are stored in electronic media and in paper format within individual file folders.

Electronic media are accessible by unique identifier or name. File folders are indexed and retrieved by name of individual.

Records are maintained three years or until they become inactive, at which time they will be retired or destroyed in accordance with FDIC Records Retention Schedules and the National Archives and Records Administration. Disposal is by shredding or other appropriate disposal methods.

Electronic records are password-protected and accessible only by authorized personnel. Paper records are maintained in lockable metal file cabinets accessible only to authorized personnel.

None.

80 FR 66981 (Oct. 30, 2015), 84 FR 35184 (Jul. 22, 2019).

/-012

Financial Information Management Records.

Unclassified.

Division of Finance, FDIC, 3501 Fairfax Drive, Arlington, VA 22226. Records concerning garnishments, attachments, wage assignments and related records concerning FDIC employees are located with the Legal Division, FDIC, 3501 Fairfax Drive, Arlington, VA 22226. Some information, including travel and lodging reservations, is collected and maintained, on behalf of the FDIC by Sato Travel Services at 4601 N. Fairfax Drive, Suite 170, Arlington, VA 22203. Duplicate systems may exist, in whole or in part, at secure sites and on secure servers maintained by third-party service providers for the FDIC.

Director, Division of Finance, FDIC, 3501 Fairfax Drive, Arlington, VA 22226. For records about FDIC employees concerning garnishments, attachments, wage assignments and related records, the system manager is the Legal Division, FDIC, 3501 Fairfax Drive, Arlington, VA 22226.

Sections 9 and 10(a) of the Federal Deposit Insurance Act (12 U.S.C. 1819 and 1820(a)).

The records are maintained for the FDIC and the failed financial institution receiverships managed by the FDIC. The records are used to manage and account for financial transactions and financial activities 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.

Current and former employees; current and former vendors and contractors providing goods and/or services to the FDIC; current and former employees, advisory committee members and others who travel for the FDIC; current and former FDIC customers; and individuals who were depositors or claimants of failed financial institutions for which the FDIC was appointed receiver. Note: Only records reflecting personal information are subject to the Privacy Act. This system also contains records concerning failed financial institution receiverships, corporations, other business entities, and organizations whose records are not subject to the Privacy Act.

This system contains (1) employee payroll, benefit, and disbursement-related records; (2) contractor and vendor invoices and other accounts payable records; (3) customer records related to accounts receivables; (4) payment records for individuals who were depositors or claimants of failed financial institutions for which the FDIC was appointed receiver; and (5) accounting and financial management records. The payroll and/or disbursement records include, without limitation, employees' mailing addresses and home addresses; dependents’ names and dates of birth; financial institution account information; social security number and unique employee identification number; rate and amount of pay; tax exemptions; tax deductions for employee payments; and corporate payments information for tax reporting. Records relating to employee, advisory committee and other claims for reimbursement of official travel expenses include, without limitation, travel authorizations, vouchers showing amounts claimed, medical certification and narratives with information about the traveler’s medical or physical conditions, exceptions taken as a result of audit, and amounts paid. 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 and similar reimbursements; awards, bonuses, and buyout payments; advances or other funds owed to the FDIC; and garnishments, attachments, wage assignments or related records. Copies of receipts/invoices provided to the FDIC for reimbursement may contain credit card or other identifying account information. Contractor, vendor, and other accounts payable records consist of all documents relating to the purchase of goods and/or services from those individuals including contractual documents, vendor addresses and financial institution account information, vendor invoice statements; amounts paid, and vendor tax identification number. Copies of documentation supporting vendor invoice statements may contain identifying data, such as account number. Customer information is also captured as necessary for the collection of accounts receivable. Payment records for individuals who were depositors or claimants of failed financial institutions for which the FDIC was appointed receiver include name, address, and payment amount; tax id numbers or social security numbers are also included for depositors or claimants when an informational tax return must be filed. The records also include general ledger and detailed trial balances and supporting data. Note: This system includes only records maintained by the FDIC. Associated records maintained by the government travel card issuer and travel services provider are described and covered by the government-wide system of records GSA/GOVT-3 (Travel Charge Card Program), and GSA/GOVT-4 (Contracted Travel Services Program).

The information is obtained from the individual upon whom the record is maintained; other government agencies; contractors; or 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.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(8) To appropriate Federal agencies and other public authorities for use in records management inspections;

(10) To officials of a labor organization when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions;

(11) To auditors employed by the U.S. Government Accountability Office;

(12) To the Internal Revenue Service and appropriate State and local taxing authorities;

(13) To vendors, carriers, or other appropriate third parties by the FDIC Office of Inspector General for the purpose of verification, confirmation, or substantiation during the performance of audits or investigations; and

(14) 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.

Disclosure to consumer reporting agencies:Pursuant to 5 U.S.C. 552a(b)(12), disclosures may be made from this system to consumer reporting agencies as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)).

Records are stored in electronic media and in paper format within individual file folders.

Electronic media are indexed and retrievable by social security number or specialized identifying number; paper format records are generally indexed and retrieved by name.

Financial management records are maintained seven years. Records relating to banking transaction authorization forms, garnishments, attachments and wage assignments are maintained three years after termination. Disposal is by shredding or other appropriate disposal systems. Summary Corporate accounting records are considered permanent and do not contain personal information.

Electronic records are password-protected and accessible only by authorized personnel. Paper records are maintained in lockable metal file cabinets accessible only to authorized personnel.

Individuals wishing to request access to records about them in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to contest or request an amendment to their records in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to know whether this system contains information about them must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

None.

80 FR 66981 (Oct. 30, 2015), 84 FR 35184 (Jul. 22, 2019)..

/-013

Financial Institution Resolution and Receivership Records.

Unclassified.

Records are maintained at FDIC facilities in Washington, DC; Arlington, VA; and regional offices. Original and duplicate systems may exist, in whole or in part, at secure sites and on secure servers maintained by third-party service providers for the FDIC.

Deputy Director, Division of Resolutions and Receiverships, FDIC, 550 17th Street NW, Washington, DC 20429; 600 North Pearl Street, Suite 700, Dallas, Texas 75201.

Sections 9, 11, and 13 of the Federal Deposit Insurance Act (12 U.S.C. 1819, 1821, 1822, and 1823) and applicable state laws governing the liquidation of assets and winding-up of the affairs of financial institutions.

Individuals who are or were obligors, obligees, or subject to claims of FDIC-insured or covered financial institutions for which the FDIC performs resolution or receivership functions.

This system contains the individual's files held by the FDIC insured, failing, failed, or covered financial institution, including deposit, loan, or contractual agreements, related documents, and correspondence. The system 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 and 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, as well as notes, correspondence, and other documents relating to the liquidation of the loan obligation or asset. FDIC receivership claim 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.

Information is obtained from the individual on whom the record is maintained; appraisers retained by the originating financial institution or the FDIC; investigative and/or research companies; credit bureaus and/or services; loan servicers; deposit servicers, court records; references named by the individual; attorneys or accountants retained by the originating financial institution or the FDIC; participants in the obligation(s) of the individual; officers and employees of the financial institution;; and other parties providing services to the FDIC in support of the resolution and receivership functions of the FDIC.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(8) To appropriate Federal agencies and other public authorities for use in records management inspections;

(9) 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. Third party contractors include, but are not limited to, asset marketing contractors; loan servicers; appraisers; environmental contractors; attorneys retained by the FDIC; collection agencies; auditing or accounting firms retained to assist in an audit or investigation of the FDIC's resolution activities; grantees, volunteers, and others performing or working on a contract, service, grant, cooperative agreement, or project for the FDIC;

(10) To officials of a labor organization when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions;

(11) 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;

(12) 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;

(13) To participants in the loan obligation in order to fulfill any contractual or incidental responsibilities in connection with the loan participation agreement;

(15) 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;

(16) To Federal or State 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;

(17) To the individual, the individual's counsel or other representatives, insurance carrier(s) or underwriters of bankers' blanket bonds or other financial institution bonds 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 other financial institution bonds; and

(18) To allow members of the public access to a limited portion of the data sufficient to help individuals locate and understand the status of their accounts previously held by a financial institution.

(19) To Federal agencies, and to those Federal employees designated by the President or Agency Heads pursuant to Executive Order 14243, for the purposes of identifying and eliminating waste, fraud, and abuse, including the elimination of bureaucratic duplication and inefficiency and the enhancement of the Government’s ability to detect overpayments and fraud.

(20) To the U.S. Department of the Treasury when disclosure of the information is relevant to review payment and award eligibility through the Do Not Pay Working System for the purposes of identifying, preventing, or recouping improper payments to an applicant for, or recipient of, Federal funds, including funds disbursed by a state (meaning a state of the United States, the District of Columbia, a territory or possession of the United States, or a federally recognized Indian tribe) in a state-administered, federally funded program.

Records are stored in electronic media and in paper format within individual file folders.

Records are indexed by financial institution number, name of failed or assisted insured or covered institution, name of individual, social security number, and loan number, if applicable.

Failed insured depository institution data are maintained for at least ten years after appointment of FDIC as receiver in accordance with approved records retention schedules. Records generated as part of the resolution of a failed insured depository institution are maintained in accordance with approved retention schedules typically not exceeding fifteen years after the termination of the receivership or as established by state or federal law or court order, if longer. Disposal is by shredding or other appropriate disposal methods.

Records are protected from unauthorized access and improper use through administrative, technical, and physical security measures. Administrative safeguards include written guidelines on handling personal information including agency-wide procedures for safeguarding personally identifiable information. In addition, all FDIC staff are required to take annual privacy and security training. Technical security measures within FDIC include restrictions on computer access to authorized individuals who have a legitimate need to know the information; required use of strong passwords that are frequently changed; multi-factor authentication for remote access and access to many FDIC network components; use of encryption for certain data types and transfers; firewalls and intrusion detection applications; and regular review of security procedures and best practices to enhance security. Physical safeguards include restrictions on building access to authorized individuals, security guard service, and maintenance of records in lockable offices and filing cabinets.

Individuals wishing to request access to records about them in this system of records must submit their request in writing to the FDIC FOIA & Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to contest or request an amendment to their records in this system of records must submit their request in writing to the FDIC FOIA & Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to know whether this system contains information about them must submit their request in writing to the FDIC FOIA & Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

None.

80 FR 66981 (Oct. 30, 2015), 84 FR 35184 (Jul. 22, 2019), 87 FR 66178 (Nov. 2, 2022).

/-014

Personnel Benefits and Enrollment Records

Unclassified.

Division of Administration, FDIC, 550 17th Street NW, Washington, DC 20429. For administrative purposes, duplicate systems may exist within the FDIC at the duty station of each employee. (See www.fdic.gov/about/contact/directory or Appendix A for the location of FDIC Regional Offices). The FDIC also has an interagency agreement with the U.S. Department of Agriculture, National Finance Center in New Orleans, Louisiana, to provide and maintain payroll, personnel, and related services and systems involving FDIC employees. The FDIC also has agreements with T. Rowe Price, Benefit Allocation Systems, and other benefit plan contractors to provide employee benefits and related administrative services.

Deputy Director, Human Resources Branch, FDIC Division of Administration, 550 17th Street NW, Washington, DC 20429.

Section 9 of the Federal Deposit Insurance Act (12 U.S.C. §1819) and Executive Order 9397.

The records are collected, maintained and used to support the administration and management of FDIC personnel benefits programs.

To the extent not covered by any other system, this system covers current and former FDIC employees and their dependents who are enrolled in FDIC-sponsored, health, life, and other insurance or benefit programs.

This system contains general personnel and enrollment information for FDIC-sponsored flexible spending account (FSA) plans and insurance plans (life, dental, vision, or long-term disability). This may include information such as an individual’s name, earnings, number and name of dependents, sex, date of birth, home address, social security number, employee locator information (including e-mail and office addresses), claims for FSA reimbursements, and related correspondence.

The sources of records in this category include the individuals to whom the records pertain and information retrieved from official FDIC records in the systems noted in System Location.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(8) To appropriate Federal agencies and other public authorities for use in records management inspections;

(9) To officials of a labor organization when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions;

(10) To contractors, grantees, volunteers, and others performing or working on a contract, service, grant, cooperative agreement, or project for the FDIC, the Office of Inspector General, or the Federal Government for use in carrying out their obligations under such contract, grant, agreement or project;

(11) To the Department of Agriculture, National Finance Center to provide personnel, payroll, and related services and systems involving FDIC personnel;

(12) To the Internal Revenue Service and appropriate State and local taxing authorities;

(13) To appropriate Federal agencies to effect salary or administrative offsets, or for other purposes connected with the collection of debts owed to the United States;

(14) To the Office of Child Support Enforcement, Administration for Children and Families, Department of Health and Human Services for the purpose of locating individuals to establish paternity, establish and modify orders of child support enforcement actions as required by the Personal Responsibility and Work Opportunity Reconciliation Act, the Federal Parent Locator System and the Federal Tax Offset System;

(15) To the Office of Child Support Enforcement for release to the Social Security Administration for verifying social security numbers in connection with the operation of the Federal Parent Locator System by the Office of Child Support Enforcement;

(16) To the Office of Child Support Enforcement for release to the Department of Treasury for purposes of administering the Earned Income Tax Credit Program and verifying a claim with respect to employment in a tax return;

(17) To Benefit Allocation Systems, T. Rowe Price, and other benefit providers, carriers, vendors, contractors, and agents to process claims and provide related administrative services involving FDIC personnel.

Disclosure to consumer reporting agencies:

(18) To Federal agencies, and to those Federal employees designated by the President or Agency Heads pursuant to Executive Order 14243, for the purposes of identifying and eliminating waste, fraud, and abuse, including the elimination of bureaucratic duplication and inefficiency and the enhancement of the Government’s ability to detect overpayments and fraud.

(19) To the U.S. Department of the Treasury when disclosure of the information is relevant to review payment and award eligibility through the Do Not Pay Working System for the purposes of identifying, preventing, or recouping improper payments to an applicant for, or recipient of, Federal funds, including funds disbursed by a state (meaning a state of the United States, the District of Columbia, a territory or possession of the United States, or a federally recognized Indian tribe) in a state-administered, federally funded program.

Records are stored in electronic media and in paper format within individual file folders.

Records are indexed and retrieved by the name, social security number, or system-specific assigned number of the employee.

Records are maintained ten years after employee separation. Disposal is by shredding or other appropriate disposal methods.

Electronic records are password-protected and accessible only by authorized personnel. Paper records are maintained in lockable metal file cabinets accessible only to authorized personnel.

Individuals wishing to request access to records about them in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to contest or request an amendment to their records in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to know whether this system contains information about them must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

None.

80 FR 66981 (Oct. 30, 2015), 84 FR 35184 (Jul. 22, 2019).

/-015

Personnel Records

Unclassified.

Division of Administration, FDIC, 550 17th Street NW, Washington, DC 20429, and FDIC Office of Inspector General, 3501 Fairfax Drive, Arlington, VA 22226. For administrative purposes, duplicate systems may exist within the FDIC at the duty station of each employee. (See www.fdic.gov/about/contact/directory or Appendix A for the location of FDIC Regional Offices.) The FDIC also has an interagency agreement with the U.S. Department of Agriculture, National Finance Center in New Orleans, Louisiana, to provide and maintain payroll, personnel, and related services and systems involving FDIC employees

Deputy Director, Human Resources Branch, FDIC Division of Administration, 550 17th Street NW, Washington, DC 20429; Deputy Assistant Inspector General for Management, Office of Inspector General, FDIC, 3501 Fairfax Drive, Arlington, VA 22226.

Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819), Executive Order 9397; and Section 8C(b) of the Inspector General Act, as amended (5 U.S.C. App.).

The records are collected, maintained and used to support the administration and management of the FDIC personnel and benefits programs.

To the extent not covered by any other system, this system covers current and former FDIC or OIG employees, contractors, and applicants for employment.

This system contains a variety of records relating to personnel actions and determinations made about individuals while employed or seeking employment. These records may contain information about an individual relating to name, birth date, Social Security Number (SSN), personal telephone numbers and addresses, employment applications, background, identity verification and credentials, duty station telephone numbers and addresses, compensation, performance, separation, Internal Revenue Service (IRS) or court-ordered levies, emergency contacts, and related records and correspondence. These records may also contain Equal Employment Opportunity (EEO) group information about FDIC employees, such as race, national origin, sex and disability information. Note: Records maintained by the FDIC in the official personnel file are described in the government-wide Privacy Act System Notice known as OPM/GOVT-1 and other government-wide system notices published by the Office of Personnel Management, and are not included within this system.

The sources of records in this category include the individuals to whom the records pertain and information retrieved from official FDIC records.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(8) To appropriate Federal agencies and other public authorities for use in records management inspections;

(9) To officials of a labor organization when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions;

(11) To the Department of Agriculture, National Finance Center to provide personnel, payroll, and related services and systems involving FDIC personnel;

(12) To the Internal Revenue Service and appropriate State and local taxing authorities;

(13) To appropriate Federal agencies to effect salary or administrative offsets, or for other purposes connected with the collection of debts owed to the United States;

Disclosure to consumer reporting agencies:

(17) To Federal agencies, and to those Federal employees designated by the President or Agency Heads pursuant to Executive Order 14243, for the purposes of identifying and eliminating waste, fraud, and abuse, including the elimination of bureaucratic duplication and inefficiency and the enhancement of the Government’s ability to detect overpayments and fraud.

(18) To the U.S. Department of the Treasury when disclosure of the information is relevant to review payment and award eligibility through the Do Not Pay Working System for the purposes of identifying, preventing, or recouping improper payments to an applicant for, or recipient of, Federal funds, including funds disbursed by a state (meaning a state of the United States, the District of Columbia, a territory or possession of the United States, or a federally recognized Indian tribe) in a state-administered, federally funded program.

Records are stored in electronic media and in paper format within individual file folders.

Records are indexed and retrieved by individual name, social security number, or other unique identifier.

Official personnel records are maintained sixty-five years after employee separation from the Federal Service. Other personnel records include employment applications, identity verification, performance, court-ordered levies, correspondence, emergency contacts, etc. are kept until superseded up to six months after the employee separates or transfers from the FDIC. Disposal is by shredding or other appropriate disposal methods.

Electronic records are password-protected and accessible only by authorized personnel using PIV cards. Paper records are maintained in lockable metal file cabinets in a locked room accessible only to authorized personnel.

Individuals wishing to request access to records about them in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to contest or request an amendment to their records in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to know whether this system contains information about them must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

None.

80 FR 66981 (October 30, 2015).

/-016

Professional Qualification Records for Municipal Securities Dealers, Securities Representatives, and U.S. Government Securities Broker/Dealers

Unclassified.

Division of Risk Management Supervision, Risk Management Policy Branch, FDIC, 550 17th Street NW, Washington, DC 20429. Duplicate systems may exist, in whole or in part, at secure sites and on secure servers maintained by third-party service providers for the FDIC.

Senior Examination Specialist - Trust, Risk Management Policy Branch, Division of Risk Management Supervision, FDIC, 550 17th Street NW, Washington, DC 20429.

Sections 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 Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).

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.

(1) Persons who are or seek to be associated with municipal securities brokers or municipal securities dealers which are FDIC-insured, state-chartered financial institutions (including insured state-licensed branches of foreign financial institutions), not members of the Federal Reserve System, or are subsidiaries, departments, or divisions of such financial institutions; and

(2) Persons who are or seek to be persons associated with U.S. Government securities dealers or brokers which are FDIC-insured state-chartered financial institutions, other than members of the Federal Reserve 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.

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.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(8) To appropriate Federal agencies and other public authorities for use in records management inspections;

(10) To officials of a labor organization when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions;

(11) 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;

(12) 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;

(13) 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;

(14) 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; and

(15) To a registered dealer, registered broker, registered municipal securities dealer, U.S. Government securities dealer, U.S. Government securities broker, or an insured financial institution 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.

(16) To Federal agencies, and to those Federal employees designated by the President or Agency Heads pursuant to Executive Order 14243, for the purposes of identifying and eliminating waste, fraud, and abuse, including the elimination of bureaucratic duplication and inefficiency and the enhancement of the Government’s ability to detect overpayments and fraud.

Records are stored in electronic media and in paper format within individual file folders.

Indexed by name and dealer registration number or FDIC financial institution certificate number.

Records are maintained ten years from the date of submission. Disposal is by shredding or other appropriate disposal methods.

Electronic records are password-protected and accessible only by authorized personnel. Paper records are maintained in lockable metal file cabinets accessible only to authorized personnel.

Individuals wishing to request access to records about them in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to contest or request an amendment to their records in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to know whether this system contains information about them must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

None.

80 FR 66981 (Oct. 30, 2015), 84 FR 35184 (Jul. 22, 2019).

/30-64-0018

Grievance Records

Unclassified.

Human Resources Branch, Division of Administration, FDIC, 3501 Fairfax Drive, Arlington, VA 22226; and FDIC Office of Inspector General, 3501 Fairfax Drive, Arlington, VA 22226. Records at the regional level generated through grievance procedures negotiated with recognized labor organizations are located in the FDIC Regional Office where originated. (See www.fdic.gov/about/contact/directory or Appendix A for the location of FDIC Regional Offices.) For non-headquarters employees, duplicate copies may be maintained by the Human Resources Branch, Division of Administration, Arlington, VA for the purpose of coordinating grievance and arbitration proceedings.

Deputy Director of Personnel, Human Resources Branch, Division of Administration, FDIC, 3501 Fairfax Drive, Arlington, VA 22226; Deputy Assistant Inspector General for Management, Office of Inspector General, FDIC, 3501 Fairfax Drive, Arlington, VA 22226. The appropriate FDIC Regional Director for records maintained in FDIC Regional Offices. (See www.fdic.gov/about/contact/directory or Appendix A for the location of FDIC Regional Offices.)

Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819); the Inspector General Act, as amended (5 U.S.C. App.); 5 U.S.C. 1302, 3301, 7121; 5 CFR part 771.

Current or former FDIC or OIG 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.

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 the FDIC may establish through negotiations with recognized labor organizations. The system used by the Office of Inspector General contains records related to grievances filed by OIG employees.

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.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(8) To appropriate Federal agencies and other public authorities for use in records management inspections;

(10) To officials of a labor organization when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions; and

(11) 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.

Records are stored in electronic media and in paper format within individual file folders.

Electronic media are accessible by unique identifier or name. File folders are indexed and retrieved by name of individual.

Records are maintained until they become inactive, at which time they will be retired or destroyed in accordance with FDIC Records Retention Schedules and the National Archives and Records Administration. Disposal is by shredding or other appropriate disposal methods.

Electronic records are password-protected and accessible only by authorized personnel. Paper records are maintained in lockable metal file cabinets accessible only to authorized personnel.

Individuals wishing to request access to records about them in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to contest or request an amendment to their records in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to know whether this system contains information about them must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

None.

80 FR 66981 (October 30, 2015).

/30-64-0019

Potential Bidders List

Unclassified.

Division of Resolutions and Receiverships, FDIC, 550 17th Street, NW, Washington, DC 20429; and Field Operations Branch, Division of Resolutions and Receiverships, FDIC, 1601 Bryan Street, Dallas, Texas 75201. Duplicate systems may exist, in whole or in part, at secure sites and on secure servers maintained by third-party service providers for the FDIC.

Director, Division of Resolutions and Receiverships, FDIC, 550 17th Street, NW, Washington DC 20429.

Sections 9, 11 and 13 of the Federal Deposit Insurance Act (12 U.S.C. 1819, 1821 and 1823).

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 qualified potential purchasers and to solicit bids for assets. The information in this system is used to support the FDIC's liquidation/receivership functions.

Individuals who have purchased or submitted written notice of an interest in purchasing loans, owned real estate, securities, or other assets from the FDIC.

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 sales.

Information is obtained from the individual about whom the record is maintained.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(8) To appropriate Federal agencies and other public authorities for use in records management inspections;

(10) To officials of a labor organization when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions; and

(11) To other Federal or State agencies and to contractors to assist in the marketing and sale of loans, real estate, or other assets held by the FDIC.

Records are stored in electronic media and in paper format within individual file folders.

Electronic media are accessible by unique identifier or name. File folders are indexed and retrieved by name of individual.

Electronic records are password-protected and accessible only by authorized personnel. Paper records are maintained in lockable metal file cabinets accessible only to authorized personnel.

Individuals wishing to request access to records about them in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to contest or request an amendment to their records in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to know whether this system contains information about them must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

None.

80 FR 66981 (October 30, 2015).

/30-64-0020

Telephone Call Detail Records

Unclassified.

Division of Information Technology, FDIC, 3501 Fairfax Drive, Arlington, VA 22226.

Assistant Director, Operations Section, Infrastructure Services Branch, Division of Information Technology, FDIC, 3501 Fairfax Drive, Arlington, VA 22226.

Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).

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.

Individuals assigned telephone numbers 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 or charged to FDIC telephones.

Records, including telephone number, location, dates and duration of telephone calls relating to use of FDIC telephones to place or receive long distance and local calls, and records indicating assignment of telephone numbers to individuals covered by the system.

Telephone assignment records and call detail listings.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(8) To appropriate Federal agencies and other public authorities for use in records management inspections;

(10) To officials of a labor organization when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions;

(11) 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;

(12) To a telecommunications company providing telecommunications support to permit servicing the account; and

Records are stored in electronic media.

Electronic media are accessible by unique identifier or name.

Records are maintained three years from the date created or until the close of the fiscal year in which the records are audited. Disposal is by shredding or other appropriate disposal methods

Electronic records are password-protected and accessible only by authorized personnel.

Individuals wishing to request access to records about them in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to contest or request an amendment to their records in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to know whether this system contains information about them must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

None.

80 FR 66981 (October 30, 2015).

/30-64-0021

Fitness Center Records

Unclassified.

Fitness Centers, Corporate Services Branch, Division of Administration, FDIC, 3501 Fairfax Drive, Arlington, VA, 22226, and 550 17th Street, NW, Washington, DC 20429.

Health, Safety and Environmental Program Manager, Acquisition and Corporate Services Branch, Division of Administration, FDIC, 3501 Fairfax Drive, Arlington, VA 22226.

Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).

The records are collected and maintained to control access to the fitness center; to enable the Fitness Centers’ 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.

FDIC employees who apply for membership and participate in the Fitness Centers.

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.

Information is principally obtained from the individual who has applied for membership and Fitness Center personnel. Some information may be provided by the individual's personal physician.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(8) To appropriate Federal agencies and other public authorities for use in records management inspections;

(10) To officials of a labor organization when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions;

(11) To the individuals listed as emergency contacts or the individual's personal physician, in the event of a medical emergency; and

(12) To a Health Unit or occupational safety and health contractors, including contract nurses, industrial hygienists, and others retained for the purpose of performing any function associated with the operation of the Fitness Centers.

Records are stored in paper format within individual file folders.

File folders are indexed and retrieved by name of individual.

Paper records are maintained in lockable metal file cabinets accessible only to authorized personnel.

Individuals wishing to request access to records about them in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to contest or request an amendment to their records in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to know whether this system contains information about them must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

None.

80 FR 66981 (October 30, 2015).

/30-64-0022

Freedom of Information Act and Privacy Act Request Records

Unclassified.

Legal Division, FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, FDIC, 550 17th Street, NW, Washington, DC 20429.

Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819); Freedom of Information Act (5 U.S.C. 552), the Privacy Act of 1974 (5 U.S.C 552a), 12 CFR parts 309 and 310.

The records are collected and maintained to process requests made under the provisions of the FOIA and Privacy Act and to assist the FDIC in carrying out any other responsibilities relating to the FOIA and Privacy Act.

Individuals who submit requests and administrative appeals pursuant to the provisions of the Freedom of Information Act (FOIA) or the Privacy Act; individuals whose requests, appeals or other records have been referred to the FDIC by other agencies; attorneys or other persons authorized to represent individuals submitting requests and appeals; individuals who are the subjects of such requests; and FDIC personnel assigned to process such requests or appeals.

Records in the system may contain requesters’ and their attorneys’ or representatives’ names, addresses, e-mail addresses, telephone numbers; online identity verification information (username and password); and any other information voluntarily submitted, such as an individual’s social security number; tracking numbers; correspondence with the requester or others representing the requester; internal FDIC correspondence and memoranda to or from other agencies having a substantial interest in the determination of the request; responses to the request and appeals; and copies of responsive records. These records may contain personal information retrieved in response to a request. Note – FOIA and Privacy Act case records may contain inquiries and requests regarding any of the FDIC’s other systems of records subject to the FOIA and Privacy Act, and information about individuals from any of these other systems may become part of this system of records.

Requesters and persons acting on behalf of requesters, FDIC Divisions and Offices, other Federal agencies having a substantial interest in the determination of the request, and employees processing the requests.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(6) To appropriate Federal agencies and other public authorities for use in records management inspections;

(7) To contractors, grantees, volunteers, and others performing or working on a contract, service, grant, cooperative agreement, or project for the FDIC, the Office of Inspector General, or the Federal Government for use in carrying out their obligations under such contract, grant, agreement or project;

(8) 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; and

(9) To a third party authorized in writing to receive such information by the individual about whom the information pertains.

(10) To the National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. 552(b), to review administrative agency policies, procedures and compliance with the Freedom of Information Act, and to facilitate OGIS’ offering of mediation services to resolve disputes between persons making FOIA requests and administrative agencies.

Records are stored in electronic media.

Records are indexed and retrieved by the requester’s name or by unique 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.

FOIA request records are maintained for six years after final agency determination or after final adjudication by the courts. Privacy Act request records are maintained in accordance with established disposition schedules for individual records, or five years after the date of the disclosure, whichever is later. Disposal is by shredding or other appropriate disposal methods.

Electronic records are password-protected and accessible only by authorized personnel.

Individuals wishing to request access to records about them in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to contest or request an amendment to their records in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to know whether this system contains information about them must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

The FDIC has claimed exemptions for several of its other systems of records under 5 U.S.C. 552a (j)(2), (k)(1), (k)(2), and (k)(5) and 12 CFR part 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 records continues 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.

80 FR 66981 (October 30, 2015).

/30-64-0023

Affordable Housing Program Records

Unclassified.

Division of Resolutions and Receiverships, FDIC, 550 17th Street NW, Washington, DC 20429.

Supervisory Resolutions and Receiverships Specialist, Operations Branch, Division of Resolutions and Receiverships, FDIC, 550 17th Street NW, Washington, DC 20429. Duplicate systems may exist, in whole or in part, at secure sites and on secure servers maintained by third-party service providers for the FDIC.

Sections 9, 11, 13, and 40 of the Federal Deposit Insurance Act (12 U.S.C. 1819, 1821, 1823, 1831q).

The records are collected and maintained to determine and verify eligibility of individuals to participate in the FDIC Affordable Housing Program and to monitor compliance by individuals with purchaser income restrictions. The information in the system supports the FDIC's liquidation of qualifying residential housing units and the FDIC’s goal to provide home ownership for low-income and moderate-income families.

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.

Contains the purchaser's or prospective purchaser's income qualification form and substantiating documents (such as personal financial statements, income tax returns, asset 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.

Information is obtained from the individual seeking to participate in the FDIC’s Affordable Housing Program. Information pertaining to an individual may, in some cases, be supplemented with reports from credit bureaus and/or similar credit reporting services.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(8) To appropriate Federal agencies and other public authorities for use in records management inspections;

(10) To officials of a labor organization when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions; and

(11) 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.

Records are stored in electronic media and in paper format within individual file folders.

Electronic media and paper format are accessible by name of purchaser or prospective purchaser and by address of the property purchased.

Records are maintained seven years after the Memorandum of Understanding covering the records is superseded or terminated. If the agreement involves the expenditure of funds, the records will be maintained seven years after the final payment. Disposal is by shredding or other appropriate disposal methods.

Electronic records are password-protected and accessible only by authorized personnel. Paper records are maintained in lockable metal file cabinets accessible only to authorized personnel.

Individuals wishing to request access to records about them in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to contest or request an amendment to their records in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to know whether this system contains information about them must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

None.

80 FR 66981 (October 30, 2015).

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Unclaimed Deposit Account Records

Unclassified.

Records are maintained at FDIC facilities in Arlington, Virginia and regional offices. Original and duplicate systems may exist, in whole or in part, at secure sites and on secure servers maintained by third-party service providers for the FDIC.

Financial Managers, Division of Resolutions and Receiverships, FDIC, 550 17th Street, NW, Washington, DC 20429, and 600 North Pearl Street, Suite 700, Dallas, Texas 75201.

Sections 9, 11, and 12 of the Federal Deposit Insurance Act (12 U.S.C. 1819, 1821, and 1822).

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.

Individuals identified as deposit account owners and individuals claiming to be deposit account holders of unclaimed insured deposits of a closed insured depository institution for which the FDIC was appointed receiver after January 1, 1989.

Deposit account records, including signature cards; last known home address; social security number; name of insured depository institution.

Information originates from deposit records of closed insured depository institutions and claimants. After 18 months following institution failure, unclaimed deposit records are transferred to the FDIC from assuming depository institutions. Custody of these records are transferred to State’s unclaimed property for a period of 10 years. After 10 years, unclaimed records are returned to FDIC.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(8) To appropriate Federal agencies and other public authorities for use in records management inspections;

(9) To officials of a labor organization when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions;

(11) To the appropriate State agency accepting custody of unclaimed insured deposits; and

(12) To allow members of the public access to a limited portion of the data sufficient to help individuals locate and understand the status of their accounts previously held by a financial institution.

Records are stored in electronic media and in paper format within individual file folders.

Electronic media and paper format are indexed and retrieved by depository institution name, depositor name, depositor social security number, or deposit account number.

Records of unclaimed deposits are maintained ten years after the termination date of the receivership or as established by the state or Federal law or court order, if longer. Disposal is by shredding or other appropriate disposal methods.

Individuals wishing to request access to records about them in this system of records must submit their request in writing to the FDIC FOIA &amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to contest or request an amendment to their records in this system of records must submit their request in writing to the FDIC FOIA &amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to know whether this system contains information about them must submit their request in writing to the FDIC FOIA &amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

None.

84 FR 35184 (July 22, 2019).

/30-64-0025

Beneficial Ownership Filings (Securities Exchange Act)

Unclassified.

Chief, Accounting &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Securities Disclosure Section, Division of Risk Management Supervision, FDIC, 550 17th Street, NW, Washington, DC 20429.

Sections 12(i) and 16(a) of the Securities Exchange Act of 1934 (respectively, 15 U.S.C. 78l(i) and 78p(a)).

In accordance with Section 16(a) of the Securities Exchange Act of 1934, as amended by section 403 of the Sarbanes-Oxley Act of 2002, this information is being made available to the public on the FDIC's external internet website in order to facilitate the more efficient transmission, dissemination, analysis, storage and retrieval of insider ownership and transaction information in a manner that will benefit investors, filers and financial institution regulatory agencies.

(1) Any director or officer of an FDIC-insured depository institution with a class of equity securities registered pursuant to section 12 of the Securities Exchange Act of 1934, and (2) Any person who is directly or indirectly the beneficial owner of greater than 10% of a class of equity securities issued by an FDIC-insured depository institution that are registered under section 12 of the Securities Exchange Act of 1934; including any trust, trustee, beneficiary or settlor required to report pursuant to Securities and Exchange Commission Rule 16a-8.

Reporting persons submit electronically or on paper reports on any of the following three forms: "Initial Statement of Beneficial Ownership of Securities," "Statement of Changes in Beneficial Ownership of Securities" and "Annual Statement of Beneficial Ownership of Securities." Reporting persons are required to use these forms to disclose ownership and transactional information relative to their beneficial ownership of securities of FDIC-insured depository institutions with securities registered under the Securities Exchange Act of 1934. Under section 403 of the Sarbanes-Oxley Act of 2002, these forms must be submitted in electronic form and must be made available to the public on a Federal agency's external internet website. The forms require disclosure of the name of the financial institution, relationship of reporting person to the financial institution, reporting person's name and street address, date of form or amendment, and filer's signature and date. A description of the securities' terms and transactional information including transaction date, type of transaction, amount of securities acquired or disposed, price, aggregate amount of securities beneficially owned, and form and nature of beneficial ownership must also be disclosed on the forms.

Information originates from (1) any director or officer of an FDIC-insured depository institution with a class of equity securities registered pursuant to section 12 of the Securities Exchange Act of 1934; and (2) any beneficial owner of greater than 10% of an FDIC- insured depository institution with a class of equity securities registered under the Securities Exchange Act of 1934, including any trust, trustee, beneficiary or settlor required to report pursuant to SEC Rule 16a-8.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(8) To officials of a labor organization when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions;

(9) To appropriate Federal agencies and other public authorities for use in records management inspections;

(11) To the appropriate governmental or self-regulatory organizations when relevant to the organization's regulatory or supervisory responsibilities or if the information is relevant to a known or suspected violation of a law or licensing standard within that organization's jurisdiction.

Records are stored in electronic media and in paper format within individual file folders.

Electronically filed reports are indexed and retrieved by the name of the reporting party. Paper-filed reports are indexed by the name of the depository institution issuing the securities being reported, with sub-indexing by the filer's name.

Records are maintained for fifteen years from the date of filing. Disposal is by shredding or other appropriate disposal methods.

Electronic records are password-protected and accessible only by authorized personnel. Paper records are maintained in lockable metal file cabinets accessible only to authorized personnel.

Individuals wishing to request access to records about them in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to contest or request an amendment to their records in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to know whether this system contains information about them must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

None.

80 FR 66981 (October 30, 2015).

/30-64-0026

Transit Subsidy Program Records

Unclassified.

Division of Administration, FDIC, 550 17th Street, NW, Washington, DC 20429 and the FDIC Regional Offices. (See www.fdic.gov/about/contact/directory or Appendix A for the location of FDIC Regional Offices.) Records for FDIC Headquarters and all Regional Offices are also housed electronically at the U.S. Department of Transportation, 1200 New Jersey Avenue, SE, Washington, DC 20590.

Lead, Transportation Unit, Security and Emergency Preparedness Section, Corporate Services Branch, Division of Administration, 3501 Fairfax Dr. Arlington, VA 22226.

Section 9 of the Federal Deposit Insurance Act (12 U.S.C. §1819).

The records are used to administer the FDIC transit subsidy program.

To the extent not covered by any other system, this system covers employees who apply for and receive transit subsidy program benefits.

The system contains completed transit subsidy application forms. The applications include, but are not limited to, the applicant’s name, home address, title, grade, Division, Office, work hours, room and telephone numbers, commuting schedule, and transit system(s) used.

The sources of records in this category include the individuals to whom the records pertain and information taken from official FDIC records.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(8) To appropriate Federal agencies and other public authorities for use in records management inspections;

(9) To officials of a labor organization when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions;

Records are stored in electronic media and in paper format within individual file folders.

Records are indexed and retrieved by the name of the transit subsidy program participant.

Records are maintained two years after employee separation. Disposal is by shredding or other appropriate disposal methods.

Electronic records are password-protected and accessible only by authorized personnel. Paper records are maintained in lockable metal file cabinets accessible only to authorized personnel.

Individuals wishing to request access to records about them in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to contest or request an amendment to their records in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to know whether this system contains information about them must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

None.

80 FR 66981 (October 30, 2015).

/30-64-0027

Parking Program Records

Unclassified.

Division of Administration, FDIC, 550 17th Street, NW, Washington, DC 20429 and Regional Offices with FDIC parking facilities. (See www.fdic.gov/about/contact/directory or Appendix A for the location of FDIC Regional Offices.)

Lead, Transportation Unit, Security and Emergency Preparedness Section, Corporate Services Branch, Division of Administration, 3501 Fairfax Dr. Arlington, VA 22226.

Section 9 of the Federal Deposit Insurance Act (12 U.S.C. §1819).

The records are used to administer the parking program, to allocate the limited number of parking spaces in the FDIC parking facilities among employees and visitors, to facilitate the formation of car pools with employees who have been issued parking permits, and to provide for the safe use of FDIC facilities.

To the extent not covered by any other system, this system covers employees and others who have applied for and/or been issued a parking permit for the use of FDIC parking facilities; individuals who car-pool with employees holding such permits; and employees interested in joining a car pool.

The system contains completed parking application forms, car pool information, disability parking applications, special parking authorizations, and visitor parking requests. The information includes, but is not limited to, the applicant’s name, home address, title, grade, make, year and license number of vehicle, Division, Office, work hours, room and telephone numbers, and arrival/departure times.

The sources of records in this category include the individuals to whom the records pertain, information retrieved from official FDIC records, or information from other agency parking records.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(8) To appropriate Federal agencies and other public authorities for use in records management inspections;

(9) To officials of a labor organization when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions;

Records are stored in electronic media and in paper format within individual file folders.

Records are indexed and retrieved by the name of the permit holder, employee identification number, or license tag number.

Records are maintained for four years. Disposal is by shredding or other appropriate disposal methods.

Electronic records are password-protected and accessible only by authorized personnel. Paper records are maintained in lockable metal file cabinets accessible only to authorized personnel.

Individuals wishing to request access to records about them in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to contest or request an amendment to their records in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to know whether this system contains information about them must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

None.

80 FR 66981 (October 30, 2015).

/30-64-0028

Office of the Chairman Correspondence Records

Unclassified.

FDIC, Office of Legislative Affairs, 550 17th Street, NW, Washington, DC 20429.

Office of Legislative Affairs, FDIC, 550 17th Street, NW, Washington, DC 20429.

Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).

This system of records is used to document and respond to correspondence addressed to the FDIC, Office of the Chairman.

Individuals who correspond to, or receive correspondence from, the Office of the Chairman; and individuals who are the subject of correspondence to or from the Office of the Chairman.

Contains correspondence, memoranda, E-mail, and other communications with the Office of the Chairman that may include, without limitation, name and contact information supplied by the individual as well as information concerning subject matter, internal office assignments, processing, and final response or other disposition.

Information maintained in this system is obtained from individuals who submit correspondence to the FDIC for response, and FDIC personnel.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(8) To appropriate Federal agencies and other public authorities for use in records management inspections;

(10) To an insured depository institution which is the subject of an inquiry or complaint when necessary to investigate or resolve the inquiry or complaint; and

(11) To the primary Federal or State financial regulator of an insured depository institution that is the subject of an inquiry or complaint.

Records are stored in electronic media and in paper format within individual file folders.

Records are indexed and retrieved by name, date, and subject.

Records signed by the Chairman regarding a legislative or public policy issue are maintained for ten years and then offered to the National Archives and Records Administration and retained permanently.

Electronic records are password-protected and accessible only by authorized personnel. Paper records are maintained in lockable metal file cabinets accessible only to authorized personnel.

Individuals wishing to request access to records about them in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to contest or request an amendment to their records in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to know whether this system contains information about them must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

None.

80 FR 66981 (October 30, 2015).

/30-64-0029

Congressional Correspondence Records

Unclassified.

FDIC, Office of Legislative Affairs, 550 17th Street, NW, Washington, DC 20429.

Office of Legislative Affairs, FDIC, 550 17th Street, NW, Washington, DC 20429.

Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).

This system of records is used to document and respond to constituent and other inquiries forwarded by Members of the U.S. Congress or Congressional staff.

Current and former Members of the U.S. Congress and Congressional staff; and individuals whose inquiries relating to FDIC activities are forwarded by Members of Congress or Congressional staff to the FDIC for response.

Contains correspondence from Members of the U.S. Congress or Congressional staff making inquiries or transmitting inquiries, correspondence or documents from constituents that may include, without limitation, name and contact information as well as information concerning subject matter, internal office assignments, processing, and final response or other disposition.

Information maintained in this system is obtained from individuals who submit correspondence to the FDIC for response, and FDIC personnel.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(8) To appropriate Federal agencies and other public authorities for use in records management inspections;

(10) To an insured depository institution which is the subject of an inquiry or complaint when necessary to investigate or resolve the inquiry or complaint;

(11) To the primary Federal or State financial regulator of an insured depository institution that is the subject of an inquiry or complaint; and

(12) To authorized third-party sources during the course of the investigation in order to resolve the inquiry or complaint. Information that may be disclosed under this routine use is limited to the name of the inquirer or complainant and the nature of the inquiry or complaint and such additional information necessary to investigate the inquiry or complaint.

Records are stored in electronic media and in paper format within individual file folders.

Records are indexed and retrieved by name, date, and subject.

Records are maintained four years after the expiration of the Member’s congressional term of office. Disposal is by shredding or other appropriate disposal methods.

Electronic records are password-protected and accessible only by authorized personnel. Paper records are maintained in lockable metal file cabinets accessible only to authorized personnel.

Individuals wishing to request access to records about them in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to contest or request an amendment to their records in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to know whether this system contains information about them must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

None.

80 FR 66981 (October 30, 2015).

/30-64-0030

Legislative Information Tracking System Records

Unclassified.

FDIC, Office of Legislative Affairs, 550 17th Street, NW, Washington, DC 20429.

Director, Office of Legislative Affairs, FDIC, 550 17th Street, NW, Washington, DC 20429.

Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).

This system of records is used to document and respond to inquiries regarding the FDIC’s views on proposed legislation, facilitate Congressional briefings, and coordinate preparation of FDIC responses to constituent inquiries.

Current and former Members of the U.S. Congress and Congressional staff; and individuals who contact, or are contacted by the FDIC Office of Legislative Affairs.

Contains memoranda, e-mail and other communications with the Office of Legislative Affairs that may include without limitation, name and contact information supplied by the individual as well as information related to the inquiry that was developed by FDIC staff.

Information maintained in this system is obtained from individuals who contact the FDIC for response, and FDIC personnel.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(8) To appropriate Federal agencies and other public authorities for use in records management inspections;

(10) To an insured depository institution which is the subject of an inquiry or complaint when necessary to investigate or resolve the inquiry or complaint;

(11) To the primary Federal or State financial regulator of an insured depository institution that is the subject of an inquiry or complaint; and

Records are stored in electronic media.

Records are indexed and retrieved by name, date, and subject.

Electronic records are password-protected and accessible only by authorized personnel.

Individuals wishing to request access to records about them in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to contest or request an amendment to their records in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to know whether this system contains information about them must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

None.

80 FR 66981 (October 30, 2015).

/30-64-0031

Online Ordering Request Records

Unclassified.

These electronic records are collected in a web-based system located at a secure site and on secure servers maintained by a contractor for the FDIC, Division of Administration, 550 17th Street, NW, Washington, DC 20429.

Assistant Director, Library &amp;amp;amp;amp;amp;amp; Public Information Center, Corporate Services Branch, Division of Administration, FDIC, 550 17th Street, NW, Washington, DC 20429.

Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).

This system of records is used to organize and process orders for publications, products, or other materials offered by the FDIC.

Individuals who make an online order for publications, products, or other materials from the FDIC.

Contains names, business or organization affiliations, addresses, phone numbers, fax numbers, e-mail addresses, order history, login information (username, user ID, and password), fulfillment information (shipping and delivery instructions), and other contact information provided by individuals covered by this system.

Information maintained in this system is obtained from individuals who contact the FDIC, FDIC personnel, and contractors.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(6) To appropriate Federal agencies and other public authorities for use in records management inspections;

Records are stored in electronic media at a secure site and on secure servers maintained by a contractor.

Records are indexed and retrieved by name, order number, publication title, and date.

Electronic records are password-protected and accessible only by authorized personnel.

Individuals wishing to request access to records about them in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to contest or request an amendment to their records in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to know whether this system contains information about them must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

None.

80 FR 66981 (October 30, 2015).

/30-64-0033

Emergency Notification Records

Unclassified.

Division of Administration, FDIC, 550 17th Street, NW., Washington, DC 20429 or FDIC Regional Offices (See www.fdic.gov/about/contact/directory or Appendix A for the location of FDIC Regional Offices.) Duplicate systems may exist, in whole or in part, at secure sites and on secure servers maintained by third-party service providers for the FDIC.

Associate Director, FDIC Division of Administration, Security and Emergency Preparedness Section 550 17th Street, NW, Washington, DC 20429.

Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).

The system provides for multiple communication device notification to registered FDIC personnel during and after local, regional or national emergency events and security incidents, disseminates time sensitive information, provide personnel accountability and status during emergency events, and conduct communication tests. The system also provides for the receipt of real-time message acknowledgements and related management reports.

Current FDIC employees, contractors, and other registered users.

The system includes individual contact information including name, personal telephone numbers, personal e-mail addresses, official business phone number, and official business e-mail address.

The sources of records in this category include the individuals to whom the records pertain and information taken from official FDIC records.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(6) To appropriate Federal agencies and other public authorities for use in records management inspections;

(8) To contractors, grantees, volunteers, and others performing or working on a contract, service, grant, cooperative agreement, or project for the FDIC, the Office of Inspector General, or the Federal Government for use in carrying out their obligations under such contract, grant, agreement or project; and

(9) To officials of a labor organization when relevant and necessary to their duties of

exclusive representation concerning personnel policies, practices, and matters affecting working conditions.

Records are stored in electronic media at a secure site and on secure servers maintained by a contractor.

Records are indexed and retrieved by groups and individual name.

Records are maintained until the employee or contractor separates from the FDIC. Disposal is by deleting or other appropriate disposal methods.

Electronic records are password-protected and accessible only by authorized personnel.

Individuals wishing to request access to records about them in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to contest or request an amendment to their records in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to know whether this system contains information about them must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

None.

80 FR 66981 (October 30, 2015).

/30-64-0034

Office of Inspector General Inquiry Records

Unclassified.

FDIC Office of Inspector General (OIG), 3501 Fairfax Drive, Arlington, VA 22226.

FDIC Inspector General, 3501 Fairfax Drive, Arlington, VA 22226.

Section 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.).

This system of records is used to document and respond to correspondence addressed or directed to the FDIC OIG; to track the receipt and disposition of correspondence; and to act as a means of referring allegations of illegality, fraud and abuse to the OIG investigative function.

Individuals—including, but not limited to, members of the public, the media, contractors and subcontractors, Congressional sources, and employees of the FDIC or of other governmental agencies—who communicate with the Office of Inspector General (OIG) through written or electronic correspondence or telephonically including the OIG Hotline. The system also includes individuals who receive correspondence from OIG and those who are the subject of correspondence to or from OIG.

Contains communications such as correspondence, memoranda, email records, call records, voicemail, faxes, other electronic or digital communications, and additional documentation supplied by the source of the records to include other FDIC, congressional, and other executive branch sources. Information from the communications may be recorded in an electronic tracking system. Records provided by the source may include personally identifiable information including name, addresses, e-mail addresses, telephone numbers, and any other information voluntarily submitted such as Social Security Number, as well as information developed by OIG, such as the date the matter was received by OIG, the date the matter was closed, and the manner of disposition. Records that involve law enforcement matters are transferred to the OIG investigative function, whose applicable system of records is covered by FDIC-30-64-0010, Investigative Files of the Office of Inspector General.

Official records of the FDIC; current and former employees of the FDIC, other government employees, private individuals, vendors, contractors, subcontractors, witnesses and informants.

use as follows:

(1) To the appropriate Federal, State, local, foreign or international agency or authority which has responsibility for investigating or prosecuting a violation of or for enforcing or implementing a statute, rule, regulation, or order to assist such agency or authority in fulfilling these responsibilities 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 (collectively referred to as the adjudicative bodies) 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 (collectively, the litigative 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 in order for the adjudicatory bodies, or any of them, to perform their official functions in connection with the presentation of evidence relative to the litigative proceedings;

(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 records pertain;

(6) 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 to assist those representatives by providing them with information or evidence for use in connection with such litigation or proceedings;

(7) To appropriate Federal, State, and local authorities in connection with hiring or retaining an individual, conducting a background security or suitability investigation, adjudication of liability, or eligibility for a license, contract, grant, or other benefit;

(8) To appropriate Federal, State, and local authorities, agencies, arbitrators, and other parties responsible for processing any personnel actions or conducting administrative hearings or corrective actions or grievances or appeals if needed in the performance of these or other authorized duties;

(9) To appropriate Federal agencies and other public authorities for use in records management inspections;

(10) To contractors, grantees, volunteers, and others performing or working on a contract, service, grant, cooperative agreement, or project for the OIG, FDIC or Federal Government in order to assist those entities or individuals in carrying out their obligations under the related contract, grant, agreement or project;

(11) To a financial institution (whether or not FDIC-insured, but subject to the FDIC’s examination, supervision and/or resolution authority) which is the subject of an inquiry or complaint when necessary to investigate or resolve the inquiry or complaint;

(12) To the primary Federal or State financial regulator of a financial institution (whether or not FDIC-insured, but subject to the FDIC’s examination, supervision and/or resolution authority) that is the subject of an inquiry or complaint in order to resolve the inquiry or complaint;

(13) To third-party sources, as authorized by OIG or the FDIC, during the course of the investigation in order to resolve the inquiry or complaint. Information that may be disclosed under this routine use is limited to the name of the inquirer or complainant and the nature of the inquiry or complaint and such additional information necessary to investigate the inquiry or complaint;

(14) To the U.S. Office of Personnel Management, Government Accountability 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 out their authorized functions, including but not limited to a request made in connection with hiring or retaining an employee, rendering advice requested by OIG, issuing a security clearance, reporting an investigation of an employee, reporting an investigation of prohibited personnel practices, letting a contract or issuing 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;

(15) To other Federal Offices of Inspector General or other entities for the purpose of conducting quality assessments or peer reviews of the OIG, or its investigative components, or for statistical purposes; and

(16) To a Federal agency responsible for considering suspension or debarment action where

such a record is determined to be necessary and relevant.

Note: In addition to the foregoing: (1) 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; and (2) records contained in this system that are subsequently transferred to OIG’s investigative function may be disclosed as a routine use as specified in FDIC-30-64-0010, Investigative Files of the Office of Inspector General.

Disclosure to consumer reporting agencies:

Records are stored in electronic media and in paper format within individual file folders.

Records are indexed and retrieved by name, date received or closed, and/or subject.

Records are maintained five years. Disposal is by shredding or other appropriate disposal methods. For records transferred from this system to OIG investigative function, the retention period and manner of destruction will be governed by the applicable investigative-records retention schedule.

The electronic system files are accessible only by authorized personnel on a need-to-know basis. File folders are maintained in lockable metal file cabinets and lockable offices accessible only by authorized personnel. Employees authorized to have access to this system include certain employees of the Inspector General’s immediate office, OIG’s Office of General Counsel, the audit and/or investigative function.

Individuals wishing to request access to records about them in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to contest or request an amendment to their records in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to know whether this system contains information about them must submit their request in writing to the FDIC FOIA &amp;amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

None. Records transferred from this system to the OIG investigative function are subject to the exemptions claimed under FDIC-30-64-0010, Investigative Files of the Office of Inspector General.

80 FR 66981 (October 30, 2015).

/30-64-0035

Credentialing, Facility Access, and Visitor Management Records, FDIC-035.

Unclassified.

The Federal Deposit Insurance Corporation (FDIC) located at 550 17th Street NW, Washington, DC 20429, and other FDIC office locations. Information may also be stored within an appropriately authorized cloud environment or in other secure locations.

Chief, Physical Security and Intelligence Unit, Security Enterprise Programs Section, Corporate Services Branch, Division of Administration, 3501 Fairfax Dr. Arlington, VA 22226.

Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819); Executive Order 9397, as amended; and Homeland Security Presidential Directive (HSPD) 12, Policy for a Common Identification Standard for Federal Employees and Contractors.

The primary purpose of the system is to manage the safety and security of FDIC resources, facilities, information technology systems, and other Federal government agency facilities and systems, as well as the occupants of those facilities. The system supports FDIC’s issuance of Personal Identity Verification (PIV) cards or other forms of credentials or badges to FDIC personnel and individuals who are visitors or guests at FDIC facilities or events. It also supports the maintenance of entry and exit records from FDIC facilities as well as FDIC-sponsored parking. Information in the system of records may also be used to support the development and operation of current and future information technology to support the objectives of the FDIC’s physical security operations program.

Note: This system does not cover records described in FDIC-041, Personal Information Allowing Network Operation, which supports the approval, monitoring, and disabling of access by individuals that interact with FDIC information technology resources. It also does not cover records described in FDIC-009, Safety and Security Incident Records, which supports the administration and maintenance of FDIC safety and security incident investigations involving FDIC facilities, property, personnel, contractors, volunteers, or visitors.

This system covers (1) all FDIC employees, contractors, and other individuals who have applied for and/or been issued a PIV card or HSPD-12 compliant credentials by FDIC; (2) Federal government employees, contractors, and other individuals who require access to FDIC facilities and have been issued a PIV card or HSPD-12 compliant credentials by another (non-FDIC) Federal agency; and (3) FDIC visitors, guests, or other individuals who require infrequent access to FDIC facilities and/or have otherwise not been issued a PIV card or HSPD-12 compliant credentials.

This system contains the following categories of records:

(1) Records maintained on FDIC employees, contractors, and other individuals who have applied for and/or been issued a PIV card or HSPD-12 compliant credentials by FDIC include all information submitted during application for the PIV card required to establish and verify the identity of each individual issued a PIV card. These records include, but are not limited to, the individual’s name, Social Security number (SSN), date and place of birth, hair and eye color, height, weight, ethnicity, status as Federal or contractor employee, employee ID number, email address, home and work address, telephone numbers, biometric identifiers including fingerprints, digital color photograph, physical and/or logical access rights, and data from source documents used to positively identify the applicant, including passport and Form I-9 (Employment Eligibility Verification) documents. Records also include entry and egress details (e.g., date, time, location of entry) and, as applicable, purpose of entry, agency point of contact/sponsor, and vehicle information, such as vehicle identification, license plate number, and state of issuance.

Note: This system includes only records maintained by the FDIC. FDIC participates in the General Services Administration (GSA) USAccess shared service that provides PIV credentialing services for Federal agencies. FDIC’s USAccess records are covered by GSA’s government-wide system of records, GSA/GOVT-7, HSPD-12 USAccess.

(2) Records maintained on Federal government employees, contractors and other individuals who access FDIC facilities using PIV cards or HSPD-12 compliant credentials issued by other (non-FDIC) Federal agencies include the following information: the individual’s full name; date of birth; digital image (photograph); hair color; eye color; height; weight; physical/mailing address; email address; employer/agency name and affiliation (e.g., employee, contractor, volunteer, etc.); telephone number; PIV card/HSPD-12 compliant credentials issue and expiration dates; copies of documents used to verify identification (e.g., driver's license, passport, etc.); vehicle information (if parking in FDIC facilities), including vehicle make, model and color; license plate number; state of issuance; date, time, and location of entry and exit; purpose for entry; and agency point of contact/sponsor. Additionally, the system will access the Public Key Infrastructure (PKI) certificate for the individual’s PIV/HSPD-12 compliant credentials in order to grant/provision access to FDIC facilities but will not store or maintain the certificate.

(3) Records maintained on FDIC visitors, guests, and other individuals who require infrequent access to FDIC facilities and/or have not been issued a PIV card or HSPD-12 compliant credentials include the following information: full name; date and place of birth; physical/mailing address; email address; telephone numbers; employment information (e.g., employer/company name, position title, etc.); organization/office of assignment; digital photograph; identification number, such as driver’s license number or passport number; images of and information from relevant identification documents (e.g., driver’s license, passport, etc.); U.S. citizenship status; vehicle information (if parking in FDIC facilities), including vehicle make, model and color; license plate number; state of issuance; date, time, and location of entry and exit; purpose for entry; and agency point of contact/sponsor.

Information in this system is obtained from the individual to whom the record pertains; supervisors, designated approving officials, sponsors or FDIC visitors or guests, and/or those authorized by the subject individuals to furnish information; FDIC’s identity and access management and personnel systems and records; GSA’s USAccess system; and other Federal agencies issuing PIV or HSPD-12 compliant cards/credentials. Information regarding entry and egress from FDIC facilities or access to information technology systems is obtained from use of the PIV card or HSPD-12 compliant credentials.

(1) To appropriate Federal, State, local, tribal, territorial, and foreign agencies responsible for investigating or prosecuting a violation of, or for enforcing or implementing a statute, rule, regulation, or order issued, when the information, either alone or in conjunction 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.

(2) To a court or adjudicative body before which the FDIC is authorized to appear when, (a) the FDIC or any component thereof; or (b) any employee of the FDIC in his or her official capacity; or (c) any employee of the FDIC in his or her individual capacity where the FDIC has agreed to represent the employee; or (d) the United States, where the FDIC determines that litigation is likely to affect the FDIC or any of its components, is a party to litigation or has an interest in such litigation, and the FDIC determines that use of such records is relevant and necessary to the litigation, provided, however, that in each case, the FDIC determines that disclosure of the records is a use of the information contained in the records which is compatible with the purpose for which the records were collected.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record.

(4) To appropriate agencies, entities, and persons when (a) the FDIC suspects or has confirmed that there has been a breach of the system of records; (b) the FDIC has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, the FDIC (including its information systems, programs, and operations), the Federal Government, or national security; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the FDIC’s efforts to respond to the suspected or confirmed breach or to prevent, minimize, or remedy such harm.

(5) To another Federal agency or Federal entity when the FDIC determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (a) responding to a suspected or confirmed breach; or (b) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

(6) To appropriate Federal, State, local, tribal, and territorial agencies in connection with hiring or retaining an individual; conducting a background security or suitability investigation; adjudication of liability; or eligibility for a license, contract, grant, or other benefit, to the extent that the information shared is relevant and necessary to the requesting agency’s decision on the matter.

(7) To contractors, grantees, experts, consultants, students, volunteers, and others performing or working on a contract, service, grant, cooperative agreement, or project for the FDIC or the Office of Inspector General for use in carrying out their obligations under such contract, grant, agreement or project.

(8) To such recipients and under such circumstances and procedures as are mandated by Federal statute or treaty.

(9) To a Federal, State, local, tribal, or territorial agency for the purpose of comparing to the agency’s system of records or to non-Federal records, in coordination with an Office of Inspector General in conducting an audit, investigation, inspection, evaluation, or other review as authorized by the Inspector General Act of 1978, as amended.

(11) To notify another Federal agency when, or to verify whether, a PIV card or HSPD-12 compliant credential is no longer valid, or to otherwise facilitate access control and visitor management at FDIC and other Federal facilities.

(12) To officials of a labor organization when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions.

(13) To the U.S. General Services Administration or another agency, organization, or individual for the purpose of performing audit or oversight operations in accordance with interagency or contractual agreements or as authorized by law, but only such information as is necessary and relevant to such audit or oversight function.

Records are stored electronically or in paper format in secure facilities. Electronic records may be stored locally on digital media, in FDIC-operated cloud environments, or in vendor cloud service offerings that are appropriately authorized and/or certified.

Records are indexed and retrieved by name, SSN, date of birth, driver’s license number, passport number, PIV card serial number, mailing address and/or email address.

Records relating to FDIC employees, contractors or other individuals who applied for, been issued, and/or used a PIV card or HSPD-12 compliant credentials are maintained for six (6) years after separation from the FDIC and then dispositioned in accordance with approved records retention schedules. PIV cards are destroyed or deactivated after expiration, confiscation, or return. Visitor access records are maintained for five (5) years after the requested access date and then dispositioned in accordance with approved records retention schedules. Visitor passes are destroyed or deactivated after expiration, confiscation, or return.

Records are protected from unauthorized access and improper use through administrative, technical, and physical security measures. Administrative safeguards include written guidelines on handling personal information including agency-wide procedures for safeguarding personally identifiable information. In addition, all FDIC staff are required to take annual privacy and security training. Technical security measures within FDIC include restrictions on computer access to authorized individuals who have a legitimate need to know the information; multi-factor authentication for remote access and access to many FDIC systems; strong passwords when multi-factor authentication is not available; use of encryption for certain data types and transfers; firewalls and intrusion detection applications; and regular review of security procedures and best practices to enhance security. Physical safeguards include restrictions on building access to authorized individuals, security guard service, and maintenance of records in lockable offices and filing cabinets.

Individuals requesting access to records about them in this system of records should submit their request online through the FDIC FOIA Service Center at fdic.gov/foia. Alternatively, individuals can send a request in writing to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email efoia@fdic.gov. Individuals will be required to provide a detailed description of the records they seek including time period when the records were created and other supporting information where possible. Individuals will be required to provide proof of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals contesting the content of or requesting an amendment to their records in this system of records should submit their request online through the FDIC FOIA Service Center at fdic.gov/foia. Alternatively, individuals can send a request in writing to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email efoia@fdic.gov. The request 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 FDIC to identify the particular record or portion thereof with respect to which amendment is sought. Requests must specify which information is being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310. Individuals will be required to provide proof of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals seeking to know whether this system contains information about them should submit their request online through the FDIC FOIA Service Center at fdic.gov/foia. Alternatively, individuals can send a request in writing to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email efoia@fdic.gov. Individuals will be required to provide proof of identity in accordance with FDIC regulations at 12 CFR part 310.

None.

80 FR 66982 (Oct. 30, 2015); 84 FR 35184 (Jul. 22, 2019); 90 FR 51316 (Nov. 17, 2025).

/036

Ensuring Workplace Health and Safety in Response to a Public Health Emergency, FDIC-036.

Unclassified.

Special Advisor to FDIC’s Chief Operating Officer, 3501 Fairfax Drive, Arlington, VA 22226, healthandsafety@fdic.gov.

Sections 9, 11, and 12 of the Federal Deposit Insurance Act (12 U.S.C. 1819, 1821, and 1822); American with Disabilities Act, including 42 U.S.C. 12112(d)(3)(B), 29 CFR 1630.2(r), 1630.14(b), (c), (d)(4); Title VII of the Civil Rights Act, 42 U.S.C. 2000e; 29 U.S.C. 791; Workforce safety federal requirements, including the Occupational Safety and Health Act of 1970, 5 U.S.C. 7902; 29 U.S.C. Chapter 15 (e.g., 29 U.S.C. 668), 29 CFR part 1904, 29 CFR 1910.1020, and 29 CFR 1960.66; Executive Order 13164; Executive Order 12196; Executive Order on Requiring Coronavirus Disease 2019 Vaccination for Federal Employees dated September 9, 2021; Executive Order 14042, Ensuring Adequate COVID Safety Protocols for Federal Contractors.

The information in the system is collected to assist the FDIC with maintaining a safe and healthy workplace and respond to a public health emergency (as defined by the U.S. Department of Health and Human Services and declared by its Secretary), such as a pandemic or epidemic. These measures may include instituting activities such as requiring FDIC personnel to provide information before being allowed access to a FDIC facility, medical screening, contact tracing, to provide information before being authorized to travel, and to comply with applicable mandates related to a public health emergency. These measures may also include requiring visitor information to determine whether to admit an individual to an FDIC facility and to conduct contract tracing when necessary for those who have visited.

Individuals covered by this system include FDIC personnel (including political appointees, onboarding employees, employees, detailees, contractors, consultants, interns, and volunteers) and visitors to a FDIC facility during a public health emergency, such as a pandemic or epidemic. FDIC may also maintain information on FDIC personnel’s emergency contacts.

FDIC personnel information may include:

●Name;

●Contact information (e.g., email address, phone number);

●Recent travel history;

●Whether they provide dependent care for an individual in a high-risk category;

●Health information, including:

○Body temperature,

○Confirmation of pathogen or communicable disease test,

○Test results,

○Dates, symptoms, potential or actual exposure to a pathogen or communicable disease,

○Immunization or vaccination information, and

○Information to support a request for exemption from a vaccination (e.g., medical diagnosis or religious beliefs);

●Contact tracing information, including:

○Dates when they visited the FDIC facility,

○Locations that they visited within the facility (e.g., office and cubicle number),

○Duration of time spent in the facility, and

○Whether they may have potentially come into contact with a contagious person while visiting the facility.

Information about visitors to FDIC facilities may include:

●Name;

●Contact information;

●Recent travel history;

●Health information, including:

Body temperature,

Confirmation of pathogen or communicable disease test,

Test results,

Dates, symptoms, potential or actual exposure to a pathogen or communicable disease, and

Attestation of vaccine status;

●Contact tracing information, including:

Dates when they visited the FDIC facility,

Locations that they visited within the facility (e.g., office and cubicle number),

Duration of time spent in the facility, and

Whether they may have potentially come into contact with a contagious person while visiting the facility.

Information about emergency contacts may include:

●Name,

●Phone number, and

●Email addresses.

The information in this system is collected in part directly from the individual or from the individual’s emergency contact. Information is also collected from security systems monitoring access to FDIC facilities, such as video surveillance and turnstiles, human resources systems, emergency notification systems, and federal, state, and local agencies assisting with the response to a public health emergency. Information may also be collected from property management companies responsible for managing office buildings that house FDIC facilities.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(6) To contractors, grantees, volunteers, and others performing or working on a contract, service, grant, cooperative agreement, or project for the FDIC, the Office of Inspector General for the purpose of assisting FDIC respond to a public health emergency;

(7) To a Federal, State, or local agency to the extent necessary to comply with laws governing reporting of infectious disease; and

(8) To the FDIC personnel member’s emergency contact for purposes of locating a personnel member during a public health emergency or to communicate that the FDIC personnel member may have potentially been exposed to a virus as the result of a pandemic or epidemic while visiting a FDIC facility.

Records are stored in electronic media and in paper format within individual file folders.

Electronic media and paper format are indexed and retrieved by employee name, employee identification number, office location, or office/division name.

FDIC is in the process of creating a new records schedule for declared public health emergencies. FDIC maintains emergency contact information until superseded or obsolete, or upon separation or transfer of employee.

Electronic records are password-protected and accessible only by authorized personnel. Paper records are maintained in lockable file cabinets accessible only to authorized personnel.

Individuals wishing to request access to records about them in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to contest or request an amendment to their records in this system of records must submit their request in writing to the FDIC FOIA &amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to know whether this system contains information about them must submit their request in writing to the FDIC FOIA &amp;amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

None.

/037

FDITECH Information, FDIC-037.

Unclassified.

The systems of record is located on the FDIC intranet. Duplicate systems may exist, in whole or in part, at secure sites and on secure servers maintained by third-party service providers for the FDIC.

Chief Innovation Officer, 3501 N. Fairfax Drive, Arlington, VA 22226, innovation@fdic.gov.

12 U.S.C. 1819(a), 1820(a); 15 U.S.C. 3719, as amended.

FDIC collects the information in this system of record to facilitate an individual’s participation in projects and programs hosted by FDITECH. FDIC may use the information collected to communicate and collaborate with interested individuals or entities on FDITECH initiatives and to ensure that any individuals are eligible to work with the FDIC or participate in FDITECH activities. Additionally, FDIC may use the information to follow up with individuals who interact with FDITECH for future collaboration.

Categories of records includes: name; phone number; email address; current or previous organizational or institutional affiliation; areas of expertise (e.g., developer, designer, data scientist); relevant work experience; eligibility check results; industry type.

The information in this system is collected in part directly from the individual or submitted on behalf of an individual by a team lead. Information may also be collected from FDIC source systems.

CATEGORIES OF USERS AND PURPOSES OF SUCH USES:

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(6) To other U.S. and international financial regulators, when necessary to facilitate regulatory discussions around technology innovations.

(7) To participants of FDITECH initiatives and other entities, to the extent that the disclosure facilitates collaboration and discussion around technology innovation.

Records are stored in electronic media.

Electronic media are indexed and retrieved by team name, program name, individual name, organization, and industry type.

Registration records and any other associated records are retained for 5 years. Disposal is by deletion or other appropriate disposal methods.

Electronic records are access restricted and accessible only by authorized personnel according to a need to know.

Individuals wishing to request access to records about them in this system of records must submit their request in writing to the FDIC FOIA &amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to contest or request an amendment to their records in this system of records must submit their request in writing to the FDIC FOIA &amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to know whether this system contains information about them must submit their request in writing to the FDIC FOIA &amp;amp; Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

None.

/038

Failed Insured Depository Institution Research, FDIC-038.

Unclassified.

Records are maintained at FDIC facilities in Arlington, VA, and regional offices. Original and duplicate systems may exist, in whole or in part, at secure sites and on secure servers maintained by third-party service providers for the FDIC.

FDIC Business Data Services System Program Manager, Chief Information Officer Organization, FDIC, 550 17th Street, NW, Washington, DC 20429.

Sections 9, 10, 11, and 13 of the Federal Deposit Insurance Act (12 U.S.C. 1819, 1820, 1821, and 1822) and 12 CFR part 380.

The purpose of this system is to conduct research using data from failed insured depository institutions to inform decisions regarding core business objectives of the FDIC, including: (a) helping the FDIC improve its operations and processes; (b) informing national and international policy discussions and rule-making in areas as varied as resolutions, emerging risks and risk assessments, deposit insurance, and banking policy, among others; and (c) providing important contributions to the broader academic literature on many topics of relevance to the FDIC. The failed financial institution data are collected from the failed insured depository institution into electronic and physical storage managed by the FDIC.

Data may contain personal identifiers. Those personal identifiers may be useful for research purposes. For example, data with personal identifiers may be used for matching records across different systems of a failed depository institution to conduct aggregate analysis on the failed insured depository institution, such as estimating the dollar amount of insured and uninsured deposits at the depository institution. Disclosure limitation methodologies, including disclosure review of research outputs such as tables, charts, text excerpts, and computer code, are used to reduce the risk of unintentional disclosure of information that impacts privacy. The FDIC does not use any research results to make a determination about a specific individual.

Information in the system contains data that have been collected from failed insured depository institutions for which the FDIC was appointed receiver. This includes information about depository institution customers, guarantors, and vendors of the failed insured financial institution, and bank officers, directors, and employees of the failed insured depository institution.

Records in the system from the failed insured depository institution fall into the following categories: loan and collateral files; deposit files; financial institution financials, email, file shares, Suspicious Activity Reports (SAR), Reports of Examinations (ROE), payroll records, human resources records, Board of Directors’ minutes, and other related records as necessary to meet the FDIC statutory requirements. The records may include:

•contact information (e.g., names, phone numbers, email addresses, physical addresses);

•date of birth;

•Social Security number (SSN);

•mother’s maiden name;

•certificates (e.g. birth, death, naturalization, marriage, etc.);

•employee identification number (EIN);

•driver’s license/state identification number, vehicle identifiers (e.g., license plates);

•legal documents, records, or notes (e.g., divorce decree);

•financial information;

•employment status/history;

•criminal information; and

•military state and/or records.

Information in this system is collected from failed insured depository institutions for which the FDIC was appointed receiver.

(1) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(2) To appropriate agencies, entities, and persons when (a) the FDIC suspects or has confirmed that there has been a breach of the system of records; (b) the FDIC has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, the FDIC (including its information systems, programs, and operations), the Federal Government, or national security; the FDIC and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the FDIC’s efforts to respond to the suspected or confirmed breach or to prevent, minimize, or remedy such harm;

(3) To another Federal agency or Federal entity, when the FDIC determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (a) responding to a suspected or confirmed breach or (b) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach;

(4) To contractors, grantees, volunteers, and others performing or working on a contract, service, grant, cooperative agreement, or project for the OIG, the FDIC or the Federal Government in order to assist those entities or individuals in carrying out their obligation under the related contract, grant, agreement or project; and

(5) To academic researchers and researchers from other agencies that serve as visiting scholars performing or working on contract with the FDIC to help the FDIC improve its operations and processes, and inform national and international policy discussions and rule-making in areas as varied as resolutions, emerging risks and risk assessments, deposit insurance, and banking policy, among others.

Records are stored in a database and in electronic media hosted in a secure location.

Records are indexed by failed insured depository institution number and name of insured depository institution. Records may contain personal identifiers for the purpose of matching records. The FDIC retains the personal identifiers after matching, but only for the purpose of performing similar matches for future research and to provide individuals with access to their information pursuant to the record access, contesting records, and notification procedures listed below.

Failed insured depository institution data are maintained for thirty years after appointment of FDIC as receiver in accordance with approved records retention schedules.

None.

/039

E-Rulemaking System of Records, FDIC-039.

Unclassified.

Legal Division, Office of the Executive Secretary, FDIC, 550 17th Street NW, Washington, DC 20429.

Section 206(d) of the E-Government Act of 2002 (Pub. L. 107-347, 44 U.S.C. 3501 note); Section 553 of the Administrative Procedure Act (5 U.S.C. 553); and the Federal Deposit Insurance Act (12 U.S.C. 1811) and rules and regulations promulgated thereunder.

The purpose of this system is to collect, review, and maintain feedback from the public on proposed FDIC rulemakings, notices, and other FDIC regulatory actions. FDIC may use any submitted contact information to seek clarification about a comment, respond to a comment when warranted, and for other purposes associated with the rulemaking or notice process.

Individuals providing comments or other input to the FDIC in response to an FDIC rulemaking, notice, or other request for comment, as well as individuals who may be discussed or identified in the body of a comment.

Records in this system include comments and other written input received by FDIC in response to proposed rules, notices, or other requests for comments associated with Corporation rules, regulations, policies, or procedures. Comments or input submitted through https://www.fdic.gov/resources/regulations/federal-register-publications include the commenter’s email address and any supplemental information that the commenter chooses to provide in their submission to FDIC, such as their full name, job title, organization name, representative name, mailing address, telephone number, fax number, and supporting documentation.

The comments or input provided may contain other personal information, although the comment submission instructions advise commenters not to include any information that the commenter does not wish to make available publicly, as all comments, including personal information, may be posted without change. The system may also contain summaries or memorializations of general communications input by FDIC personnel related to the proposed rule, statutory or regulatory provision, or Corporation activity.

The FDIC receives records from individuals and organizations providing comments to FDIC, including members of the public; representatives of Federal, State, or local government; non-governmental organizations; and the private sector.

(1) To appropriate Federal, State, local, and foreign authorities 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;

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(5) To another Federal agency or Federal entity, when the FDIC determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (a) responding to a suspected or confirmed breach; or (b) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach;

(6) To appropriate Federal, State, and local authorities in connection with hiring or retaining an individual; conducting a background security or suitability investigation; adjudication of liability; or eligibility for a license, contract, grant, or other benefit;

(8) To appropriate Federal agencies and other public authorities for use in records management inspections;

(10) To Federal, State, and local agencies for use in meeting their statutory or regulatory requirements; and

(11) To the public or certain stakeholders in the form of FDIC documents, such as final rules or reports, that use, consider, discuss, or publish comments received by the FDIC.

Records are stored in paper and electronic media.

FDIC may retrieve records by a variety of fields, including but not limited to, keyword, name of individual or entity submitting a comment, contact information or any data elements submitted in or as part of a comment, document title, Code of Federal Regulations (CFR) (search for a specific title within the CFR), CFR citation (search for the part or parts within the CFR title being searched), document type, document subtype, or date (e.g., date comment received or posted, Federal Register publication date, comment period end date).

Public comments received in response to rulemakings are temporary records that are destroyed/deleted 15 years after the rule or regulation becomes effective, in accordance with approved records retention schedules.

Records are protected from unauthorized access and improper use through administrative, technical, and physical security measures. Administrative safeguards include written guidelines on handling personal information including agency-wide procedures for safeguarding personally identifiable information. In addition, all FDIC staff are required to take annual privacy and security training. Technical security measures within FDIC include restrictions on computer access to authorized individuals who have a legitimate need to know the information; required use of strong passwords that are frequently changed; multi-factor authentication for remote access and access to many FDIC network components; use of encryption for certain data types and transfers; firewalls and intrusion detection applications; and regular review of security procedures and best practices to enhance security. Physical safeguards include restrictions on building access to authorized individuals, 24-hour security guard service, and maintenance of records in lockable offices and filing cabinets.

Individuals wishing to request access to records about them in this system of records must submit their request in writing to the FDIC FOIA &amp;amp; Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to contest or request an amendment to their records in this system of records must submit their request in writing to the FDIC FOIA &amp;amp; Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

None.

/040

Mailing, Event, and other Contact Lists, FDIC-040.

Unclassified.

Records are maintained at FDIC facilities in Arlington, Virginia and regional offices. Duplicate systems may exist, in whole or in part, at secure sites and on secure servers maintained by third-party service providers for the FDIC.

Director, Division of Administration, 3501

Fairfax Drive, Arlington, VA 22226, MailingEventsContactLists@FDIC.gov.

Federal Deposit Insurance Act (e.g., 12 U.S.C. 1811, 1819).

FDIC uses contact information to correspond with individuals who request information from the FDIC; maintain lists of individuals who register for events, training, or other programs; maintain lists and credentials of individuals whom FDIC may consult professionally in furtherance of its mission; and for other purposes for which mailing or contact lists may be created.

Individuals covered by this system of records include individuals who request to receive information; subscribe to newsletters; seek materials from FDIC; register or participate in FDIC-sponsored or FDIC-funded events or contests; respond to surveys or feedback forms from FDIC or a third party contracted by FDIC; have business with the FDIC and provide their contact information; or otherwise provide contact information to facilitate future communication or collaboration with the FDIC.

This system contains information including:

•

Name;

•

Telephone number;

•

Mailing address;

•

E-mail address;

•

Organizational or institutional affiliation;

•

Industry type;

•

General descriptions of particular topics or subjects of interest as related to individuals or organizations who communicate with FDIC;

•

Special accommodation information for individuals attending events sponsored by FDIC (e.g., dietary restrictions, seating, access accommodations);

•

Computer-generated identifier or case number when created in order to retrieve information; and

•

Other identifiers specific to the request, subscription, event, or communication.

Information contained in these systems is obtained from individuals and organizations interacting with FDIC; public source data; other government agencies; and information in other FDIC records systems.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(6) To contractors, grantees, volunteers, and others performing or working on a contract, service, grant, cooperative agreement, or project for the FDIC, the Office of Inspector General, or the Federal Government for use in carrying out their obligations under such contract, grant, agreement or project.

Records are stored in electronic media or on paper format in secure facilities.

Electronic media and paper format are indexed and retrieved by name, email address, computer assigned identification number, business affiliation, event name.

Records are maintained until no longer needed in accordance with approved records retention schedules.

Individuals wishing to contest or request an amendment to their records in this system of records must submit their request in writing to the FDIC FOIA & Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

None.

/041

Personal Information Allowing Network Operations, FDIC-041.

Unclassified.

Records are centrally maintained at FDIC, 550 17th Street NW, Washington, DC 20429. There are instances where records may be maintained at other secure locations, as well as on secure servers maintained by third-party service providers for the FDIC.

Deputy Director, Infrastructure and Operations Services Branch, Division of Information Technology, FDIC, 3501 Fairfax Drive, Arlington, VA 22226.

Section 9, Corporate Powers, of the Federal Deposit Insurance Act (12 U.S.C. 1819).

The information in the system is being collected to support and facilitate the approval, monitoring, and disabling of access for individuals that interact with FDIC information technology resources.

Categories of individuals covered by this system of records include all individuals that interact with FDIC information technology resources, including FDIC employees, FDIC contractors, FDIC volunteers, FDIC interns, Federal and State financial regulator employees, financial institution employees, and other members of the public.

Records in this system include: Records related to the authentication and verification of a user, which includes name, email address, government issued identification numbers, photographs of government-issued IDs, to include all personal information and images on the IDs, Social Security number (SSN), phone number, postal address, verification transaction ID, verification pass/fail indicator, date and time of verification transaction, user roles, justification for access, date of separation, trainings status and other prerequisites, and status codes associated with the verification transaction data, names, phone numbers of other contacts, and positions or business/organizational affiliations and titles of individuals who can verify that the individual seeking access has a need for access as well as other contact information provided to FDIC that is derived from other sources to facilitate access to FDIC information technology resources. Logs of activity when interacting with FDIC information technology resources, including, but not limited to, network user ID, password, date and time of access, Internet Protocol (IP) address of the device used for access, Media Access Control (MAC) address of the device used for access, hash files, and equipment used to access FDIC’s network.

Information in this system is obtained from individuals, entities, and/or information already in other FDIC records systems.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;

(4) To appropriate agencies, entities, and persons when (a) the FDIC suspects or has confirmed that there has been a breach of the system of records; (b) the FDIC has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, the FDIC (including its information systems, programs, and operations), the Federal Government, or national security; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the FDIC’s efforts to respond to the suspected or confirmed breach or to prevent, minimize, or remedy such harm;

(5) To another Federal agency or Federal entity, when the FDIC determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (a) responding to a suspected or confirmed breach, or (b) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach;

(6) To contractors, agents, or other authorized individuals performing work on a contract, service, cooperative agreement, job, or other activity on behalf of the FDIC or Federal Government and who have a need to access the information in the performance of their duties or activities;

(7) To third parties providing remote or in-person authentication and identity proofing services, as necessary to authenticate and/or identity proof an individual for access to an FDIC service or application.

(8) To sponsors, employers, contractors, facility operators, experts, and consultants in connection with establishing an access account for an individual or maintaining appropriate points of contact and when necessary to accomplish a FDIC need related to this system of records;

(9) To Federal agencies such as Office of Personnel Management, the Merit Systems Protection Board, the Office of Management and Budget, Federal Labor Relations Authority, Government Accountability Office, and the Equal Employment Opportunity Commission in the fulfillment of these agencies' official duties.

(10) To international, Federal, State and local, Tribal, or private entities for the purpose of the regular exchange of business contact information in order to facilitate collaboration for official business.

(11) To a Federal agency, organization, or individual for the purpose of performing audit or oversight operations as authorized by law.

Records are stored in electronic media and in paper format in secure facilities.

Records are indexed and may be retrieved by a variety of fields, including, but not limited to, name, username, email address, business affiliation, or other data fields previously identified in this SORN.

Records may be maintained for as long as six years following the termination of an individual’s FDIC user account in accordance with approved records retention schedules.

Records are protected from unauthorized access and improper use through administrative, technical, and physical security measures. Administrative safeguards include written guidelines on handling personal information, including agency-wide procedures for safeguarding personally identifiable information. In addition, all FDIC staff are required to take annual privacy and security training. Technical security measures within FDIC include restrictions on computer access to authorized individuals who have a legitimate need to know the information; required use of strong passwords that are frequently changedpp; multi-factor authentication for remote access and access to many FDIC network components; use of encryption for certain data types and transfers; firewalls and intrusion detection applications; and regular review of security procedures and best practices to enhance security. Physical safeguards include restrictions on building access to authorized individuals, security guard service, and maintenance of records in lockable offices and filing cabinets.

Individuals wishing to request access to records about them in this system of records should submit their request online through https://www.securerelease.us/. Individuals will be required to provide proof of identity, a detailed description of the records they seek, including the time period when the records were created and other supporting information where possible. Alternatively, individuals may provide a request in writing to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to contest or request an amendment to their records in this system of records should submit their request online through https://www.securerelease.us/. Individuals will be required to provide proof of identity, a detailed description of the records they seek, including the time period when the records were created and other supporting information where possible, and the reason for amendment or correction. Alternatively, individuals can provide a request in writing to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must specify the information being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310.

Individuals wishing to know whether this system contains information about them should submit their request online through https://www.securerelease.us/. Individuals will be required to provide proof of identity, a detailed description of the records they seek, including the time period when the records were created and other supporting information where possible. Alternatively, individuals can provide a request in writing to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email efoia@fdic.gov. Requests must include full name, address, and verification of identity in accordance with FDIC regulations at 12 CFR part 310.

None.

/042

Insider Risk Program Records, FDIC-042.

Unclassified and classified.

The Federal Deposit Insurance Corporation (FDIC) located at 550 17th Street, NW, Washington, DC 20429, and other FDIC office locations. Information may be stored within an appropriately authorized cloud environment or in other secure locations.

Program Manager, Insider Risk (InR) Program, Division of Administration, FDIC, 550 17th Street NW, Washington, DC 20429.

Executive Order (E.O.) 13587, Structural Reforms to Improve the Security of Classified Networks and the Responsible Sharing and Safeguarding of Classified Information, dated October 7, 2011, and National Insider Threat Policy and the Minimum Standards, dated November 21, 2012.

The purpose of this system is to support the operation of the FDIC InR Program in deterring, detecting, and mitigating risk to FDIC personnel, facilities, assets, resources and information by insiders. By identifying and managing insider risks, the InR Program and this system of records help the FDIC execute its mission to insure deposits; examine and supervise financial institutions for safety, soundness, and consumer protection; make large and complex financial institutions resolvable; and manage receiverships.

The FDIC will use the system of records to manage InR matters; identify and track potential and verified risks to FDIC; manage referrals of potential risks to and from internal and external partners; provide authorized assistance to lawful administrative, civil, and criminal investigations; generate statistical reports; and meet InR reporting requirements. Information in the system of records may also be used to support the development and operation of current and future information technology to support the objectives of the InR Program.

The subjects of InR reporting and individuals who exhibit or demonstrate insider risk or threat behaviors or activities, which may include FDIC employees, contractors, detailees, assignees, interns, and authorized FDIC visitors or guests.

In addition, information about other individuals who are not covered by this system of records may be collected, such as individuals who report concerns about insider risk or threat behaviors or activities, witnesses, and relatives.

The particular information collected for any InR matter may vary widely depending on the facts and nature of the potential risk or threat being assessed and/or mitigated. The system of records may maintain information about covered individuals that is relevant to the assessment and mitigation of the InR matter, including but not limited to the following:

Biographic, descriptive, and contact information, such as name, aliases, physical description / photograph, physical addresses, email addresses and phone numbers (personal and work), date and place of birth, Social Security Number, immigration identifier numbers, citizenship and immigration status, driver’s license and vehicle registration information.

Personnel and employment-related information, such as employer name and location, office location, telework location, current and past titles, government-held travel records, nature of affiliation with the FDIC (e.g., works for FDIC contractor, visitor to FDIC facilities), FDIC contract information, work and education history, FDIC or other Government access card / credential information, facility and data access privileges, personnel history (e.g., disciplinary or performance records), reports of investigations or inquiries regarding security violations or misconduct.

Security-related information, such as data and forms gathered and compiled for personnel security, security incidents, visitor security screening, or security clearance purposes, including background investigative reports and supporting documentation; current and former security clearance status(es); raw reporting and finished intelligence products pertaining to adversarial risks or threats; other information related to an individual’s eligibility for access to classified information; non-disclosure agreements; document control registries; courier authorization requests; records reflecting personal and official foreign travel; facility access records; visitor access records; records of contacts with foreign persons; and briefing/debriefing statements for special programs, sensitive positions, and other related information and documents required in connection with personnel security clearance determinations.

Activity information, such as logs of an individual’s access to and use of FDIC information systems and facilities, or those of other facilities and systems (e.g., other agency classified or unclassified facilities and systems to which the individual has access) if pertinent to the insider risk being assessed and/or mitigated.

Other information, such as medical information relevant to the insider risk (e.g., an individual’s hospitalization status); images, recordings, transcripts, or other media (e.g., CCTV footage, voicemails, news reports, social media postings) relevant to the insider risk being assessed or mitigated; police reports and other law enforcement records; publicly available information; information on family members, dependents, relatives and other personal associations, to the extent relevant to the particular harm or risk at issue; and other information provided to the InR Program by law enforcement, employers, witnesses, other Government agencies, or FDIC employees and contractors.

Information in the system is received from individuals, to include FDIC personnel and contractors; FDIC recordkeeping systems, information assurance databases, and other files; other U.S. Government agencies, to include User Activity Monitoring (UAM) repositories; law enforcement agencies; the Office of the Inspector General; and publicly available information.

(3) To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record.

(4) To appropriate agencies, entities, and persons when (a) the FDIC suspects or has confirmed that there has been a breach of the system of records; (b) the FDIC has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, the FDIC (including its information systems, programs, and operations), the Federal Government, or national security; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the FDIC’s efforts to respond to the suspected or confirmed breach or to prevent, minimize, or remedy such harm.

(8) To such recipients and under such circumstances and procedures as are mandated by Federal statute, treaty, or other international agreement.

(10) To appropriate Federal, State, local, territorial, and tribal authorities, agencies, arbitrators, and other parties responsible for hearing, deciding, or processing any personnel actions, controversies, corrective actions, grievances or appeals, or if needed in the performance of other authorized personnel-related duties, but only to the extent the disclosure directly relates to or results from the insider risk matter.

(11) To a Federal, State, local, territorial, or tribal agency in order to obtain information that may be relevant to the FDIC’s handling of an insider risk matter.

(12) To a public or professional licensing organization when such information 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.

Records are stored electronically or in paper format in secure facilities. Electronic records may be stored locally on digital media, in FDIC-owned cloud environments, or in vendor cloud service offerings that are appropriately authorized and/or certified.

Records are retrieved by name of the covered individual, email address, computer assigned identification number, business affiliation, and/or event name.

Records of FDIC InR Program matters initiated from referrals that meet approved insider risk reporting thresholds are maintained for 25 years.

Records are protected from unauthorized access and improper use through administrative, technical, and physical security measures. Access to these records within the FDIC is strictly limited to those with a need to know. External disclosure of information from this system of records may only occur with the approval of the InR Program Office. Administrative safeguards include written guidelines on handling personal information including agency-wide procedures for safeguarding personally identifiable information. In addition, all FDIC staff are required to take annual privacy, security, and InR training. Technical security measures within the FDIC include restrictions on computer access to authorized individuals who have a legitimate need to know the information, required use of strong passwords that are frequently changed, multi-factor authentication for remote access and access to many FDIC network components, use of encryption for certain data types and transfers, firewalls and intrusion detection applications, and regular review of security procedures and best practices to enhance security. Physical safeguards include restrictions on building access to authorized individuals, security guard service, and maintenance of records in lockable offices and filing cabinets.

Individuals requesting access to records about them in this system of records should submit their request online through the FDIC FOIA Service center at https://www.fdic.gov/foia. Alternatively, individuals can send a request in writing to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email efoia@fdic.gov. Individuals will be required to provide a detailed description of the records you seek including time period when the records were created and other supporting information where possible, and the reason for amendment or correction. Individuals will be required to provide proof of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals contesting the content of or requesting an amendment to their records in this system of records should submit their request online through the FDIC FOIA Service center at https://www.fdic.gov/foia. Alternatively, individuals can send a request in writing to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email efoia@fdic.gov. Individuals will be required to provide proof of identity and should include 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 FDIC to identify the particular record or portion thereof with respect to which amendment is sought. Requests must specify which information is being contested, the reasons for contesting it, and the proposed amendment to such information in accordance with FDIC regulations at 12 CFR part 310. Individuals will be required to provide proof of identity in accordance with FDIC regulations at 12 CFR part 310.

Individuals seeking to know whether this system contains information about them should submit their request online through the FDIC FOIA Service Center at https://www.fdic.gov/foia. Alternatively, individuals can send a request in writing to the FDIC FOIA & Privacy Act Group, 550 17th Street, NW, Washington, D.C. 20429, or email efoia@fdic.gov. Individuals will be required to provide proof of identity in accordance with FDIC regulations at 12 CFR part 310.

This system of records has been exempted from the requirements of subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(1) and (k)(2). Records maintained in this system that originated in another system of records shall be governed by both the exemptions claimed for this system as well as any additional exemptions claimed in the originating system of records.

None.