Privacy Act Systems of Records Notice, 77807-77820 [E6-22101]
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Federal Register / Vol. 71, No. 248 / Wednesday, December 27, 2006 / Notices
and respondent burden, invites the
general public and other Federal
agencies to take this opportunity to
comment on proposed and/or
continuing information collections, as
required by the Paperwork Reduction
Act of 1995 (Pub. L. 104–13, 44 U.S.C.
3506(c)(2)(A)).
DATES: All comments should be
submitted within 60 calendar days from
the date of this publication.
ADDRESSES: All comments should be
addressed to Mr. Walter Kit, National
Aeronautics and Space Administration,
Washington, DC 20546–0001.
FOR FURTHER INFORMATION CONTACT:
Requests for additional information or
copies of the information collection
instrument(s) and instructions should
be directed to Mr. Walter Kit, NASA
PRA Officer, NASA Headquarters, 300 E
Street, SW., JE000, Washington, DC
20546, (202) 358–1350, Walter.Kit1@nasa.gov.
SUPPLEMENTARY INFORMATION:
The GLOBE Partner survey is Webbased on-line instrument. The survey
gathers data on all activities related to
GLOBE implementation for the year
prior to administration of the survey.
III. Data
Title: GLOBE Program Evaluation.
OMB Number: 2700–0114.
Type of review: Extension of currently
approved collection.
Affected Public: State, Local, or Tribal
Government; Individuals or households;
and Not-for-profit institutions.
Number of Respondents: 258.
Responses Per Respondent: 1.
Annual Responses: 258.
Hours Per Request: 2.
Annual Burden Hours: 516.
IV. Request for Comments
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NATIONAL AERONAUTICS AND
SPACE ADMINISTRATION
[Notice 06–099]
NASA Advisory Council; Meeting
In accordance with the
Federal Advisory Committee Act, Public
Law 92–463, as amended, the National
Aeronautics and Space Administration
announces a meeting of the NASA
Advisory Council. The agenda for the
meeting includes updates from each of
the Council committees, including
discussion and deliberation of potential
recommendations. The Council
Committees address NASA interests in
the following areas: Aeronautics, Audit
and Finance, Space Exploration, Human
Capital, Science, and Space Operations.
DATES: Thursday, February 8, 2007, 8
a.m.–4 p.m.
ADDRESSES: Capital Ballroom, Holiday
Inn Capitol, 550 C Street SW.,
Washington, DC 20024.
FOR FURTHER INFORMATION CONTACT: Mr.
Christopher Blackerby, Designated
Federal Official, National Aeronautics
and Space Administration, Washington,
DC 20546, 202/358–4688.
SUPPLEMENTARY INFORMATION: The
meeting will be open to the public up
to the seating capacity of the room. It is
imperative that the meeting be held on
this date to accommodate the
scheduling priorities of the key
participants.
SUMMARY:
II. Method of Collection
Comments are invited on: (1) Whether
the proposed collection of information
is necessary for the proper performance
of the functions of NASA, including
whether the information collected has
practical utility; (2) the accuracy of
NASA’s estimate of the burden
(including hours and cost) of the
proposed collection of information; (3)
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BILLING CODE 7510–13–P
National Aeronautics and
Space Administration.
ACTION: Notice of meeting.
Information is needed to guide
implementation of GLOBE (Global
Learning and Observations to Benefit
the Environment) based on feedback
from participating teachers, students,
and partners in order to help meet the
Program’s goal of improving student
achievement in mathematics and
science.
20:43 Dec 26, 2006
Gary L. Cox,
Deputy Chief Information Officer (Acting).
[FR Doc. E6–22151 Filed 12–26–06; 8:45 am]
AGENCY:
I. Abstract
VerDate Aug<31>2005
ways to enhance the quality, utility, and
clarity of the information to be
collected; and (4) ways to minimize the
burden of the collection of information
on respondents, including automated
collection techniques or the use of other
forms of information technology.
Comments submitted in response to
this notice will be summarized and
included in the request for OMB
approval of this information collection.
They will also become a matter of
public record.
Dated: December 19, 2006.
Diane Rausch,
Advisory Committee Management Officer,
National Aeronautics and Space
Administration.
[FR Doc. E6–22070 Filed 12–26–06; 8:45 am]
BILLING CODE 7510–13–P
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77807
NATIONAL CREDIT UNION
ADMINISTRATION
Privacy Act Systems of Records Notice
National Credit Union
Administration.
ACTION: Notification of revisions of
systems of records.
AGENCY:
SUMMARY: The National Credit Union
Administration (NCUA) is revising its
Privacy Act Systems of Records (SOR)
Notice. As part of the periodic review of
agency regulations, staff determined the
need to update and revise its SOR
Notice. The review identified several
changes requiring revision to the SOR
Notice including changes in
recordkeeping practices, agency
organizational changes, and new
systems of records not previously
identified. In some systems, NCUA staff
identified minor changes to routine
uses. No new exemptions from
provisions of the Privacy Act of 1974
were required. The revisions reflect the
changes, clarify, and update the SOR
Notice.
Effective Date: The revised
system notices will be effective without
further notice on January 26, 2007
unless comments received before that
date cause a contrary decision. Based on
NCUA’s review of comments received, if
any, NCUA will publish a new final
notice if it determines to make changes
to the system notices.
FOR FURTHER INFORMATION CONTACT:
Sheila A. Albin, Associate General
Counsel for Operations & Senior Agency
Official for Privacy, or Linda Dent, Staff
Attorney, Division of Operations, Office
of General Counsel, at the National
Credit Union Administration, 1775
Duke Street, Alexandria, Virginia,
22314, or telephone: (703) 518–6540.
SUPPLEMENTARY INFORMATION: The
Privacy Act of 1974 requires, inter alia,
that all federal agencies publish a notice
of any system of records maintained
about individuals and, further, requires
that the notice provide certain
information. NCUA last published a
revised notice in 2000. 65 FR 3486
(January 21, 2000). The Privacy Act, as
well as guidance from the Office of
Management and Budget, provides for
periodic review and updating of an
agency’s SOR Notice, and NCUA’s
privacy regulation also requires review
and revision as necessary to its SOR
Notice. 12 CFR part 792, subpart E.
NCUA is adding four new systems to
its SOR Notice: Personal Identity
Verification (PIV) Files, Leave Transfer
Program Case Files, AMAC Contract
Employee Pay and Leave Records, and
DATES:
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Bank of America Electronic Access
Government Ledger System. While the
previous System 6 is described as
containing information used to create
employee identification cards, the new
PIV Files, identified as System 16 is
significantly different in that it
specifically describes a new system
being established to meet the
requirements of Homeland Security
Presidential Directive 12.
NCUA is also making several
relatively minor changes to existing
systems to correct and update
information. For example, regarding
storage, access, and retrieval, many of
the existing systems now provide for
electronic storage and retrieval in
addition to maintaining hard copies of
records and, as such, have additional
security measures restricting access. In
addition, the system managers or the
titles for the system managers have
changed in some instances due to
organization changes within the agency
or changes in duties for employee
positions. In addition, Appendix B is
revised to reflect that NCUA now has
five rather than six regional offices and
addresses of two of the regional offices
have changed, as well as the states for
which each regional office has
jurisdiction.
With these changes, NCUA’s revised
SOR Notice, along with the appendices,
are published in their entirety below.
National Credit Union Administration
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Systems of Records Notice
List of Systems
1. Employee Suitability and Security
Investigations Containing Adverse
Information
2. Grievance Records
3. Payroll Records System
4. Travel Advance and Voucher
Information System
5. Unofficial Personnel and Employee
Development/Correspondence Records
6. Emergency Information (Employee) File
7. Employee Injury File
8. Investigative Reports Involving Any
Crime, Suspected Crime or Suspicious
Activity Against a Credit Union
9. Freedom of Information Act and Privacy
Act Requests and Invoices
10. Liquidating Credit Union Records
11. Office of Inspector General (OIG)
Investigative Records
12. Consumer Complaints Against Federal
Credit Unions
13. Litigation Case Files
14. Bank of America Electronic Access
Government Ledger System (EAGLS)
15. Contract Employee Pay and Leave
Records
16. Leave Transfer Files
17. Personal Identity Verification Files
Appendix A–Standard Routine Uses
Applicable to NCUA Systems of Records
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20:43 Dec 26, 2006
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Appendix B–List of Regional Offices with
Addresses and States Covered by Each
Region
Security Officer and his/her designated
assistant.
RETENTION AND DISPOSAL:
NCUA–1
Employee Suitability and Security
Investigations Containing Adverse
Information
If the investigation is favorable to the
employee, the record is destroyed. If the
investigation uncovers adverse
information, the record is held for two
years.
SYSTEM LOCATION:
SYSTEM MANAGER(S) AND ADDRESS:
Office of Human Resources, National
Credit Union Administration, 1775
Duke Street, Alexandria, VA. 22314–
3428.
Security Officer, Office of Human
Resources, National Credit Union
Administration, 1775 Duke Street,
Alexandria, VA 22314–3428.
CATEGORIES OF INDIVIDUALS COVERED BY THIS
SYSTEM:
NOTIFICATION PROCEDURE:
SYSTEM NAME:
NCUA employees on whom a routine
Office of Personnel Management (OPM)
background investigation has been
conducted, the results of which contain
adverse information.
CATEGORIES OF RECORDS IN THE SYSTEM:
Arrest records and/or information on
moral character, integrity, or loyalty to
the United States.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Records maintained pursuant to OPM
requirements. A separate notice is
published because these records are
maintained separately to provide
extraordinary safeguards against
unwarranted access and disclosures.
PURPOSE:
The information in this system of
records is used to assist in the
determination of the suitability of the
effected individual for initial or
continued NCUA employment, or other
necessary action.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
(1) Records are reviewed by the
NCUA Security Officer (the Director of
Human Resources). If the records are
determined to be of a substantive
nature, they are referred to the
appropriate Associate Regional Director
or Office Director for whatever action, if
any, is deemed necessary. (2) Standard
routine uses as set forth in Appendix A.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained on paper hard
copy.
RETRIEVABILITY:
Records are indexed by name.
Records are maintained in a locked
file cabinet accessible only to the
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RECORD ACCESS PROCEDURE:
Upon request, the system manager
will set forth the procedures for gaining
access to available records.
CONTESTING RECORD PROCEDURES:
Requests to amend or correct a record
should be directed to the system
manager listed above. Requesters should
also reasonably identify the record,
specify the information they are
contesting, state the corrective action
sought and the reasons for the
correction, along with supporting
justification showing why the record is
not accurate, timely, or complete.
RECORD SOURCE CATEGORIES:
OPM Security Investigations Index,
FBI headquarters investigative files,
fingerprint index of arrest records,
Defense Central Index of Investigations,
employers within the last five years,
listed references, and personal
associates, school registrars and
responsive law enforcement agencies.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:
In addition to any exemption to
which this system is subject by Notices
published by or regulations
promulgated by the OPM, the system is
subject to a specific exemption pursuant
to 5 U.S.C. 552a(k)(5) to the extent that
disclosures would reveal a source who
furnished information under an express
promise of confidentiality, or prior to
September 27, 1975, under an express or
implied promise of confidentiality.
NCUA–2
SAFEGUARDS:
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An individual may inquire as to
whether the system contains a record
pertaining to the individual by
addressing a request in person or by
mail to the system manager listed above.
If there is no record on the individual,
the individual will be so advised.
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SYSTEM NAME:
Grievance Records
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SYSTEM LOCATION:
Office of Human Resources, National
Credit Union Administration, 1775
Duke Street, Alexandria, Virginia
22314–3428.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Current or former Federal employees
who have submitted grievances with
NCUA in accordance with part 771 of
the OPM’s regulations. These case files
contain all documents related to the
grievance, including statements of
witnesses, reports of interviews and
hearings, examiners’ findings and
recommendations, a copy of the original
and final decision with related
correspondence and exhibits.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 1302, 3301, and 3302, E.O.
10577, 3 CFR 1954–1958 Comp., p. 218;
E.O. 10987; 3 CFR 1959–1963 Comp., p.
519.
PURPOSE:
The information in this system is used
in the Agency’s formal grievance
process.
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ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
(1) Information is used by the
appropriate Federal, State, or local
agency responsible for investigating,
prosecuting, enforcing, or implementing
a statute, rule, regulation, or order
where the disclosing agency becomes
aware of an indication of a violation or
potential violation of civil or criminal
law or regulations. (2) Information is
used by any source from which
additional information is requested in
the course of processing a grievance to
the extent necessary to identify the
individual, inform the source of the
purpose(s) of the request, and identify
the type of information requested. (3)
Information is used by a Federal agency
in response to its request in connection
with the hiring or retention of an
employee, the issuance of a security
clearance, the conducting of a security
or suitability investigation of an
individual, the classifying of jobs, the
letting of a contract, or the issuance of
a license, grant, or other benefit by the
requesting agency, to the extent that the
information is relevant and necessary to
the requesting agency’s decision on the
matter. (4) Information is used by the
congressional office from the record of
an individual in response to an inquiry
from that congressional office made at
the request of that individual. (5)
Information is used by another Federal
agency or by a court when the
government is party to a judicial
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20:43 Dec 26, 2006
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proceeding before the court. (6)
Information is used by the National
Archives and Records Administration
(General Services Administration) in
records management inspections
conducted under authority of 44 U.S.C.
2904 and 2906. (7) Information is used
by NCUA in the production of summary
descriptive statistics and analytical
studies in support of the function for
which the records are collected and
maintained, or for related work force
studies. While published statistics and
studies do not contain individual
identifiers, in some instances, the
selection of elements of data included in
the study may be structured in such a
way as to make the data individually
identifiable by inference. (8)
Information is used by officials of the
Office of Personnel Management, the
Merit Systems Protection Board,
including the Office of the Special
Counsel, the Federal Labor Relations
Authority and its General Counsel, or
the Equal Employment Opportunity
Commission when requested in
performance of their authorized duties.
(9) Information (that is relevant to the
subject matter involved in a pending
judicial or administrative proceeding) is
used to respond to a request for
discovery or for appearance of a
witness. (10) Information is used by
officials of labor organizations
reorganized under the Civil Service
Reform Act when relevant and
necessary to their duties of exclusive
representation concerning personnel
policies, practices, and matters affecting
work conditions. (11) Standard routine
uses as set forth in appendix A.
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NOTIFICATION PROCEDURE:
An individual may inquire as to
whether the system contains a record
pertaining to the individual by
addressing a request in person or by
mail to the system manager listed above.
If there is no record on the individual,
the individual will be so advised.
RECORD ACCESS PROCEDURES:
Upon request, the system manager
will set forth the procedures for gaining
access to available records.
CONTESTING RECORD PROCEDURES:
Request to amend or correct a record
should be directed to the system
manager listed above.
RECORD SOURCE CATEGORIES:
Individual on whom the record is
maintained; testimony of witness;
agency officials; related correspondence
from organization or persons.
NCUA–3
SYSTEM NAME:
Payroll Records System.
SYSTEM LOCATION:
(1) Office of the Chief Financial
Officer, National Credit Union
Administration, 1775 Duke Street,
Alexandria, Virginia 22314–3428. (2)
General Services Administration,
Region VI, Kansas City, Missouri. (3)
Regional offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Employees of NCUA.
CATEGORIES OF RECORDS IN THE SYSTEM:
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
Salary and related payroll data,
including time and attendance
information.
STORAGE:
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Records are maintained in file folders.
5 U.S.C. 703; 44 U.S.C. 3301.
RETRIEVABILITY:
PURPOSE:
Records are retrievable by the names
of the individuals on whom they are
maintained.
This system documents time and
attendance and ensures that employees
receive proper compensation.
SAFEGUARDS:
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
Records are maintained in lockable
metal filing cabinets to which only
authorized personnel have access.
RETENTION AND DISPOSAL:
Records are disposed of three (3) years
after closing of the case. Disposal is by
shredding or burning.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Office of Human Resources,
National Credit Union Administration,
1775 Duke Street, Alexandria, Virginia
22314–3428.
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(1) Information is used to ensure
proper compensation to all NCUA
employees and to formulate financial
reports and plans used within the
agency or is sent to the General Services
Administration (GSA). (2) Also,
information is used to document time
worked and provide a record of
attendance to support payment of
salaries and use of annual, sick, and
nonpaid leave. (3) Users of the time and
attendance information include the
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employee’s supervisor, the office’s
timekeeper the payroll officer, and the
GSA National Payroll Center in Kansas
City, Missouri. (4) Further information
in this system is used to make reports
to state and local taxing authorities. (5)
The names, social security numbers,
home addresses, dates of birth, dates of
hire, quarterly earnings, employer
identifying information, and State of
hire of employees may be disclosed 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 or modify
orders of child support, identify sources
of income and for other child support
enforcement actions as required by the
Personal Responsibility and Work
Opportunity Reconciliation Act
(Welfare Reform Law, Pub. L. 104-193).
(6) Standard routine uses as set forth in
appendix A.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in file folders
and electronically on computer systems.
RETRIEVABILITY:
SAFEGUARDS:
Records are maintained in secured
offices, accessible by written
authorization only.
Records are retained and disposed of
in accordance with GSA policy.
SYSTEM MANAGER(S) AND ADDRESS:
PRIMARY:
Payroll Officer, Office of the Chief
Financial Officer, National Credit Union
Administration, 1775 Duke Street,
Alexandria, Virginia 22314–3428.
SECONDARY:
Office Timekeepers, National Credit
Union Administration, Central Office
(1775 Duke Street, Alexandria, Virginia
22314–3428) and Regional Offices (see
Appendix B for Regional Offices’
addresses).
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NOTIFICATION PROCEDURE:
An individual may inquire as to
whether the system contains a record
pertaining to the individual by
addressing a request in person or by
mail to the system manager listed above.
If there is no record on the individual,
the individual will be so advised.
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CONTESTING RECORD PROCEDURES:
Requests to amend or correct a record
should be directed to the system
manager listed above.
the-job and relocation travel expenses.
(2) Users of the information include first
and second line supervisors, NCUA
accounting staff, and budgeting staff. (3)
Standard routine uses as set forth in
appendix A.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
RECORD SOURCE CATEGORIES:
STORAGE:
Information is primarily obtained
from the individual whom the record
concerns, the Office of Personnel
Management, and the GSA. Also, time
and attendance information is prepared
and submitted by the timekeeper in a
given employee’s office.
Records are stored in paper hard copy
form and in a computer system.
NCUA–4
The paper hard copy records are
maintained in secured offices. The
computer disc is located in a secured
office and its access is limited to user
employees who know the logical
identification access number.
SYSTEM NAME:
Travel Advance and Voucher
Information System.
SYSTEM LOCATION:
Office of the Chief Financial Officer,
National Credit Union Administration,
1775 Duke Street, Alexandria, Virginia
22314–3428. Some relocation files are
maintained in the Office of
Administration, at the same address.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
CATEGORIES OF RECORDS IN THE SYSTEM:
RETENTION AND DISPOSAL:
20:43 Dec 26, 2006
Upon request, the system manager
will set forth the procedures for gaining
access to available records.
All NCUA employees who have
traveled or relocated in the course of
performing their duty and who have
been reimbursed for the expense of such
travel.
Records are retrieved by name or
social security number.
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RECORD ACCESS PROCEDURES:
This system contains information
from the following forms: Travel
Vouchers (NCUA 1012), Relocation
Travel Order (NCUA 1617) Application
for Travel Advance (NCUA 1371), and
Travel Voucher Cover Sheet (NCUA
1364), Agreement to Remain in Federal
Service (NCUA 1030), Statement of
Difference (NCUA 1310), Repayment of
Travel Advance (NCUA 1372).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 5701–5752; Executive Order
11609 (July 22, 1971); Executive Order
11012 (March 27, 1962); 5 U.S.C. 4101–
4118; Federal Travel Regulations, FPMR
101–7, Chapter 2, Section 6.3.
PURPOSE
RETRIEVABILITY:
Records are retrievable by social
security number.
SAFEGUARDS
RETENTION AND DISPOSAL
Records are maintained in the
Division of Accounting Services until
the annual GAO audit is completed.
After the audit, the paper hard copy
records are stored in a Federal Records
Center for a minimum of three years and
the computer disc is purged.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Accounting Services
Division, Office of the Chief Financial
Officer, National Credit Union
Administration, 1775 Duke Street,
Alexandria, Virginia 22314–3428.
NOTIFICATION PROCEDURE:
An individual may inquire as to
whether the system contains a record
pertaining to the individual by
addressing a request in person or by
mail to the system manager listed above.
If there is no record on the individual,
the individual will be so advised.
RECORD ACCESS PROCEDURES:
Upon request, the system manager
will set forth the procedures for gaining
access to available records.
CONTESTING RECORD PROCEDURES:
Requests to amend or correct a record
should be directed to the system
manager listed above.
The purpose of this system is to
provide documentary support for
reimbursements to employees.
RECORD SOURCE CATEGORIES:
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
NCUA–5
(1) Records are used to provide
documentary support for
reimbursements to employees for on-
Unofficial Personnel and Employee
Development and Correspondence
Records
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Records are prepared by the
individual whom the record concerns.
SYSTEM NAME:
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SYSTEM LOCATION:
For employees of a regional office, the
system is located at the regional office
where the employee is assigned,
National Credit Union Administration,
(See appendix B for addresses of
Regional Offices). For employees of the
central office, the system is located at
the assigned office, National Credit
Union Administration, 1775 Duke
Street, Alexandria, Virginia, 22314–
3428.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
and appellate functions within their
respective jurisdictions, or to obtain
information. (2) The information in this
system may be disclosed to federal,
state, local or professional licensing
boards or Boards of Medical Examiners,
when such records reflect on the
qualifications of a licensed individual or
an individual seeking to be licensed. (3)
This information is used to generate a
telephone directory for all NCUA
employees. (4) Standard routine uses as
set forth in appendix A.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
NCUA employees.
CATEGORIES OF RECORDS IN THE SYSTEM:
The system contains information on
NCUA employees assigned to the
particular regional or central office
related to some or all of the following
areas: name; address; telephone number;
birthdate; ethnicity and gender codes;
cu grade; employee identification
number; work performance appraisals;
district management; chartering efforts;
reactions from credit union officials;
individual development plans; supply
and equipment information; for new
examiners, bi-weekly training reports,
training progress reports and training
evaluations; work product samples;
suggestions; awards; data on time and
attendance, leave and pay; memos or
notations and evaluations by superiors
or others; benefit elections and
designations of beneficiaries; and copies
of personnel, travel and grievance
records.
STORAGE:
Records are maintained on paper hard
copy as well as electronically on
computer systems or other database
applications.
RETRIEVABILITY:
Records are indexed alphabetically by
name or Social Security number.
SAFEGUARDS:
Physical security consists of
maintaining records in locked metal file
cabinets within secured offices and
password protected computer systems.
RETENTION AND DISPOSAL:
Current and relevant information is
maintained generally for a period of two
years. Obsolete material is maintained
in the same file cabinets and is
periodically purged and destroyed after
two years or upon employees’
separation.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
SYSTEM MANAGER(S) AND ADDRESS:
5 U.S.C. 301; 44 U.S.C. 3301.
PURPOSE:
Information is used for recording
time, attendance and leave, controlling
equipment inventories, contacting
employees; evaluating and training staff,
evaluating work progress; and for
general administrative matters.
Information may also be used to
determine eligibility for retention or
promotion.
jlentini on PROD1PC65 with NOTICES
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
(1) The information in this system
may be disclosed to the United States
Office of Personnel Management, the
Merit Systems Protection Board, the
Office of Special Counsel, the Equal
Employment Opportunity Commission,
the Federal Labor Relations Authority,
the General Services Administration or
an arbitrator or agent, to the extent the
disclosure is needed to carry out the
government-wide personnel
management, investigatory, adjudicatory
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Jkt 211001
For employees assigned to a regional
office the system manager is the Director
of Management Services, Regional
Office, National Credit Union
Administration. (See appendix B for
addresses of Regional Offices). For
employees assigned to an office within
the central office, the system manager is
the Office Director, National Credit
Union Administration, 1775 Duke
Street, Alexandria, Virginia 22314.
NOTIFICATION PROCEDURE:
An individual may inquire as to
whether the system contains a record
pertaining to the individual by
addressing a request in person or by
mail to the Regional Director where the
system is located. If there is no record
on the individual, the individual will be
so advised.
77811
CONTESTING RECORD PROCEDURES:
Requests to amend or correct a record
should be directed to the Regional
Director or Office Director.
RECORD SOURCE CATEGORIES:
Sources may include the individual
whom the record concerns, supervisors
of the individual, fellow employees,
credit union officials, administrative
officer or office assistant, and other
persons whom the individual may
encounter in the course of work
performance. For payroll- and
personnel-related information, the
sources may include the General Service
Administration and Office of Human
Resources.
NCUA–6
SYSTEM NAME:
Emergency Information (Employee)
File.
SYSTEM LOCATION:
For employees of a regional office, the
system is located at the regional office
where the employee is assigned,
National Credit Union Administration,
(See appendix B for addresses of
Regional Offices). For employees of the
central office, the system is located at
the assigned office, National Credit
Union Administration, 1775 Duke
Street, Alexandria, Virginia, 22314–
3428.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
NCUA employees; individuals
designated by employees as emergency
contacts; family members of employees.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system contains personal
information about NCUA employees,
such as height, weight, hair color, eye
color, current address, and telephone
number, and in some locations may also
have a personal cell telephone number
and personal email address. Also, this
system identifies the individual to
contact in case of an emergency
involving the employee.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301.
PURPOSE:
The information in this system is used
to maintain employee identification
information in case of emergency.
RECORD ACCESS PROCEDURES:
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
Upon request, the Regional Director or
Office Director will set forth the
procedures for gaining access to
available records.
(1) The information on the individual
to contact in cases of emergency may be
disclosed in case of emergency to any
federal, state or local authority
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responding to the emergency. (2) In the
event of an emergency, the information
may be disclosed to the individual
listed as a contact in case of emergency,
or other person identified as a family
member of the employee. This list is
updated as necessary. The listed
information is used to contact the
employee if there is a national
emergency. (3) Standard routine uses as
set forth in appendix A.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
RECORD SOURCE CATEGORIES:
NOTIFICATION PROCEDURE:
Individual on whom the record is
maintained.
An individual may inquire as to
whether the system contains a record
pertaining to the individual by
addressing a request in person or by
mail to the system manager listed above.
If there is no record on the individual,
then individual will be so advised.
NCUA–7
SYSTEM NAME:
Employee Injury File.
SYSTEM LOCATION:
Office of Human Resources, National
Credit Union Administration, 1775
Duke Street, Alexandria, Virginia
22314–3428.
STORAGE:
Records are stored on paper hard copy
and may also be stored electronically.
Any employee who has sustained a
job-related injury or disease.
RETRIEVABILITY:
CATEGORIES OF RECORDS IN THE SYSTEM:
Records are indexed alphabetically by
name and, where stored electronically
as part of a computer system, are subject
to electronic safeguards.
Copies of reports submitted by an
individual who has sustained a jobrelated injury or disease. Copies of any
further claims made regarding the same
injury or disease or any other material
required for documenting and
adjudicating the claim.
SAFEGUARDS:
Records are maintained in locked file
drawers or stored electronically as part
of a computer database.
RETENTION AND DISPOSAL:
Records are disposed of after an
employee is separated from the agency.
SYSTEM MANAGER(S) AND ADDRESS:
(1) For employees of a regional office,
the system manager is the regional
director of the regional office where the
employee is assigned, National Credit
Union Administration, (See appendix B
for addresses of Regional Offices). For
employees of the central office, the
system manager is the Office Director of
the assigned office, National Credit
Union Administration, 1775 Duke
Street, Alexandria, Virginia, 22314–
3428. (2) Security Officer,
Administrative Office, at the same
address above.
NOTIFICATION PROCEDURE:
An individual may inquire as to
whether the system contains a record
pertaining to the individual by
addressing a request in person or by
mail to the appropriate system manager
listed above. If there is no record on the
individual, the individual will be so
advised.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Occupational Safety and Health Act of
1970, 29 CFR part 1960.
This information is maintained to
provide data to the Department of Labor,
when needed, for adjudication of a
claim, and to prepare reports as required
by the Department of Labor.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
(1) Information is disclosed to the
Department of Labor. (2) Standard
routine use as set forth in Appendix A.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
Records are stored on paper in file
cabinets.
RETRIEVABILITY:
Records are indexed by NCUA
Region, and date of injury.
SAFEGUARDS:
Records are maintained in locked file
drawer.
jlentini on PROD1PC65 with NOTICES
RETENTION AND DISPOSAL:
Records are disposed five years after
the year to which they relate.
CONTESTING RECORD PROCEDURES:
Director, Office of Human Resources,
National Credit Union Administration,
1775 Duke Street, Alexandria, Virginia
22314–3428.
Jkt 211001
RECORD SOURCE CATEGORIES:
Individual on whom the record is
maintained; superiors of individual;
individual’s physician; hospital
attending individual; Department of
Labor.
NCUA–8
SYSTEM NAME:
Investigative Reports Involving Any
Crime, Suspected Crime or Suspicious
Activity Against A Credit Union.
Office of General Counsel, National
Credit Union Administration, 1775
Duke Street, Alexandria, VA 22314–
3428. Computerized records of
Suspicious Activity Reports (SAR), with
status updates, are managed by the
Financial Crimes Enforcement Network
(FinCEN), Department of the Treasury,
pursuant to a contractual agreement,
and are stored in Detroit, Michigan.
Authorized personnel at NCUA’s
Central Office and regional offices have
on-line access to the computerized
database managed by FinCEN through
individual work stations linked to the
database central computer.
STORAGE:
Upon request, the system manager
will set forth the procedures for gaining
access to available records.
Requests to amend or correct a record
should be directed to the appropriate
system manager listed above.
Requests to amend or correct a record
should be directed to the system
manager listed above.
SYSTEM LOCATION:
PURPOSE:
RECORD ACCESS PROCEDURES:
20:43 Dec 26, 2006
Upon request, the system manager
will set forth the procedures for gaining
access to available records.
CONTESTING RECORD PROCEDURES:
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
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RECORD ACCESS PROCEDURES:
SYSTEM MANAGER(S) AND ADDRESS:
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Frm 00096
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CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Directors, officers, committee
members, employees, agents, and
persons participating in the conduct of
the affairs of federally insured credit
unions who are reported to be involved
in suspected criminal activity or
suspicious financial transactions and
are referred to law enforcement officials;
and other individuals who have been
involved in irregularities, violations of
law, or unsafe or unsound practices
referenced in documents received by the
NCUA in the course of exercising its
supervisory functions.
CATEGORIES OF RECORDS IN THE SYSTEM:
Inter- and intra-agency
correspondence, memoranda and
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reports. The SAR contains information
identifying the credit union involved,
the suspected person, the type of
suspicious activity involved, and any
witnesses.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
12 U.S.C. 1786 and 1789.
PURPOSE(S):
The overall system serves as a NCUA
repository for investigatory or
enforcement information related to its
responsibility to examine and supervise
federally insured credit unions. The
system maintained by FinCEN serves as
the database for the cooperative storage,
retrieval, analysis, and use of
information relating to Suspicious
Activity Reports made to or by the
NCUA Board, the Federal Reserve
Board, the Office of the Comptroller of
the Currency, the Federal Deposit
Insurance Corporation, the Office of
Thrift Supervision, (collectively, the
federal financial regulatory agencies),
and FinCEN to various law enforcement
agencies for possible criminal, civil, or
administrative proceedings based on
known or suspected violations affecting
or involving persons, financial
institutions, or other entities under the
supervision or jurisdiction of such
federal financial regulatory agencies.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS, AND
THE PURPOSES OF SUCH USES:
Information in these records may be
used to: (1) Determine if any further
agency action should be taken. (2)
Provide the federal financial regulatory
agencies and FinCEN with information
relevant to their operations; (3) Disclose
information to third parties during the
course of an investigation to the extent
necessary to obtain information
pertinent to the investigation; (4) With
regard to formal or informal
enforcement actions; release
information pursuant to 12 U.S.C.
1786(s), which requires the NCUA
Board to publish and make available to
the public final orders and written
agreements, and modifications thereto;
and (5) Standard routine uses as set
forth in Appendix A.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
including name of the credit union,
NCUA Region, and individuals’ names.
SAFEGUARDS:
Paper records and word processing
discs are stored at the NCUA in lockable
metal file cabinets. The database
maintained by FinCEN complies with
applicable security requirements of the
Department of the Treasury. On-line
access to the information in the database
is limited to authorized individuals who
have been designated by each federal
financial regulatory agency and FinCEN,
and each such individual has been
issued a nontransferable identifier or
password.
RETENTION AND DISPOSAL:
Records are maintained indefinitely.
SYSTEM MANAGER(S) AND ADDRESS:
General Counsel, NCUA, 1775 Duke
Street, Alexandria, VA 22314–3428.
NOTIFICATION PROCEDURE:
Inquiries should be sent to the System
Manager as noted above.
RECORD ACCESS PROCEDURES:
Same as ‘‘Notification procedure’’
above.
CONTESTING RECORDS PROCEDURES:
Same as ‘‘Notification procedure’’
above.
RECORD SOURCE CATEGORIES:
Information received by the NCUA
Board from various sources, including,
but not limited to law enforcement and
other agency personnel involved in
sending inquiries to the NCUA Board,
NCUA examiners, credit union officials,
employees, and members. The
information maintained by FinCEN is
compiled from SAR and related
historical and updating forms compiled
by financial institutions, the NCUA
Board, and the other federal financial
regulatory agencies for law enforcement
purposes.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:
This system is exempt from 5 U.S.C.
552a(c)(3), (d)(1), (d)(2), (d)(3), (d)(4),
(e)(1), (e)(4) (G), (H) and (I), and (f) of
the Privacy Act pursuant to 5 U.S.C.
552a(k)(2).
jlentini on PROD1PC65 with NOTICES
STORAGE:
SYSTEM NAME:
The records will be maintained in
electronic data processing systems and
paper files.
Freedom of Information and Privacy
Act Requests and Invoices
RETRIEVABILITY:
For requests processed by the central
office, the system is located at the Office
of General Counsel, National Credit
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20:43 Dec 26, 2006
Jkt 211001
SYSTEM LOCATION:
PO 00000
Frm 00097
Union Administration, 1775 Duke
Street, Alexandria, Virginia 22314–
3428. For requests processed by the
Office of Inspector General, the system
is located in the Office of the Inspector
General, National Credit Union
Administration, 1775 Duke Street,
Alexandria, Virginia 22314.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
This system of records includes
information pertaining to any Freedom
of Information Act (FOIA) or Privacy
Act requester.
CATEGORIES OF RECORDS IN THE SYSTEM:
The system may contain the
requester’s name, company name or
organization, address, date of request,
invoice number, amount due, phone
number, social security or tax
identification number, description of
information requested and documents
located or result of search for
documents.
Authority for maintenance of the
system: 12 U.S.C. 1789, 5 U.S.C. 552, 5
U.S.C. 552a.
PURPOSE:
Records in this system are used to
process requests received. These records
may be used by the NCUA for collection
of the amount due, as well as to identify
subsequent requests made by the same
individuals.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
(1) The information may be disclosed
to a consumer reporting agency. The
information disclosed to a consumer
reporting agency is limited to: (a)
Information necessary to establish the
identity of the individual, including
name, address, and social security or
taxpayer identification number; (b) the
amount, status, and history of the claim;
and (c) the agency or program under
which the claim arose.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained on paper hard
copy and computer disk.
RETRIEVABILITY:
NCUA–9
Computer output and file folders are
retrievable by indexes of data fields,
77813
Fmt 4703
Sfmt 4703
Records in this system are retrievable
by requester’s name, company name or
organization, date of request, category of
requester, request number, or invoice
number.
SAFEGUARDS:
Physical security consists of storing
records on a password protected
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computer database and a hard copy
secured in a metal file cabinet which is
accessible only to those individuals
responsible for processing requests and
collecting outstanding payments.
payment or employment history;
accounts payable records.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
12 U.S.C. 1787.
records that the system manager
determines are unnecessary unless
directed not to do so by a court of
competent jurisdiction or governmental
agency or prohibited by law.
RETENTION AND DISPOSAL:
PURPOSE:
SYSTEM MANAGER(S) AND ADDRESS:
Records are retained for various
periods depending on the determination
made on the request, but normally no
greater than six years following the year
in which the request was processed.
The information in this system is used
to determine insurance, collect loan
amounts due and for all purposes
necessary to close out the affairs of the
liquidated credit union.
President, AMAC, 4807 Spicewood
Springs Road, Suite 5100, Austin, Texas
78759.
SYSTEM MANAGER(S) AND ADDRESS:
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
For requests processed at the central
office, the system manager is the
Freedom of Information Act Officer,
Office of General Counsel, National
Credit Union Administration, 1775
Duke Street, Alexandria, Virginia 22314.
For requests processed by the Office of
Inspector General, the system manager
is the Inspector General, National Credit
Union Administration, 1775 Duke
Street, Alexandria, Virginia 22314.
NOTIFICATION PROCEDURE:
An individual may inquire as to
whether the system contains a record
pertaining to the individual by
addressing a request in person or by
mail to the system manager listed above.
If there is no record on the individual,
the individual will be so advised.
RECORD ACCESS PROCEDURES:
Upon request, the system manager
will set forth the procedures for gaining
access to available records.
CONTESTING RECORD PROCEDURES:
Requests to amend or correct a record
should be directed to the system
manager listed above.
(1) Information is used for payment of
insurance claims to shareholders in
liquidating federally-insured credit
unions. (2) Information is used in the
collection of outstanding loans, which
may include referral of information to
third party servicer providers or
potential purchasers of the loans. (3)
Information is used for all purposes
necessary to close out the affairs of the
liquidated credit union and carry out all
appropriate liquidation-related
functions of NCUA. (4) Information may
be disclosed to address locators or a
surety company in pursuit of a fidelity
bond claim. (5) Information on
unclaimed insured shares is included in
a database on the NCUA web site after
other efforts to locate account holders
have failed. (6) Information may be
disclosed to the appropriate federal,
state or local government agency, such
as the Internal Revenue Service, if
required by law or regulation or upon
appropriate request. (7) Standard
routine uses as set forth in Appendix A.
NOTIFICATION PROCEDURE:
An individual may inquire as to
whether the system contains
information pertaining to the individual
by addressing a request in person or by
mail to the system manager listed above.
If there is no information on the
individual, the individual will be so
advised. Written inquiries should
include name of inquirer, name of
closed insured credit union of which
inquirer was a member, and share and
loan account numbers, if known.
RECORD ACCESS PROCEDURES:
Upon request, the system manager
will set forth the procedures for gaining
access to available information.
CONTESTING RECORD PROCEDURES:
Requests to amend or correct a record
should be directed to the system
manager listed above. Record source
categories: information is obtained from
outside address locators; share and loan
account files of the liquidating credit
union of which the individual was a
member; third party service providers;
and credit bureaus.
NCUA–11
SYSTEM NAME:
RECORD SOURCE CATEGORIES:
The sources of records for this system
of records are the FOIA and Privacy Act
request files.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
SYSTEM LOCATION:
Office of Inspector General, NCUA,
1775 Duke Street, Alexandria, VA
22314–3428.
Liquidating Credit Union Records
System.
This information is maintained on
computer databases and hard copy.
Copies of share and loan documents,
incoming payments, and loan portfolios
may also be maintained on microfilm
copy.
SYSTEM LOCATION:
RETRIEVABILITY:
Information within this system of
records is located at the Asset and
Management Assistance Center (AMAC)
4807 Spicewood Springs Road, Suite
5100, Austin, Texas 78759.
Information is indexed by name of
individual and by name of closed
insured credit union.
NCUA–10
SYSTEM NAME:
jlentini on PROD1PC65 with NOTICES
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Members, employees and creditors of
liquidating federally-insured credit
unions.
CATEGORIES OF RECORDS IN THE SYSTEM:
Share and account records; personal
data regarding income and debts;
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20:43 Dec 26, 2006
Jkt 211001
SAFEGUARDS:
Information is maintained in secured
offices and in password protected
computer databases.
RETENTION AND DISPOSAL:
Information is maintained for six
years following the appointment of the
NCUA Board as liquidating agent of an
insured credit union after which the
system manager may destroy any
PO 00000
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Fmt 4703
Sfmt 4703
Office of Inspector General (OIG)
Investigative Records.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Subjects of investigation,
complainants, and witnesses referred to
in complaints or actual investigative
cases, reports, accompanying
documents, and correspondence
prepared by, compiled by, or referred to
the OIG.
CATEGORIES OF RECORDS IN THE SYSTEM:
The system is comprised of paper files
of all OIG and some predecessor Office
of Internal Auditor reports,
correspondence, cases, matters, crossindices, memoranda, materials, legal
papers, evidence, exhibits, data, and
workpapers pertaining to all closed and
pending investigations and inspections.
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AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Inspector General Act of 1978, as
amended, 5 U.S.C. App.3; 12 U.S.C.
1766.
PURPOSE:
Records in this system document the
investigative work of the Office of
Inspector General.
jlentini on PROD1PC65 with NOTICES
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
The National Credit Union
Administration Office of Inspector
General (OIG) may disclose information
contained in a record in this system of
records without the consent of the
individual if the disclosure is
compatible with the purpose for which
the record was collected, under the
following routine uses. (1) The OIG may
disclose information from this system of
records as a routine use to any public
or private source, including a federal,
state, or local agency maintaining civil,
criminal, or other relevant enforcement
information or other pertinent
information, but only to the extent
necessary for the OIG to obtain
information from those sources relevant
to an OIG investigation, audit,
inspection, or other inquiry. (2) The OIG
may disclose information from this
system of records as a routine use to the
Department of Justice to the extent
necessary to obtain its legal advice on
any matter relevant to an OIG
investigation, audit, inspection, or other
inquiry related to the responsibilities of
the OIG. (3) The OIG may disclose
information to other federal entities,
such as other Offices of Inspector
General, to the General Accounting
Office, or to a private party with which
the OIG or the NCUA has contracted or
with which it contemplates contracting,
for the purpose of auditing or reviewing
the performance or internal
management of the OIG’s investigative
program, or for performing any other
functions or analyses that facilitate or
are relevant to an OIG investigation,
audit, inspection or other inquiry. Such
contractor or private firm shall be
required to maintain Privacy Act
safeguards with respect to such
information. (4) The OIG may disclose
information from this system of records
to any Federal, State, local, or foreign
agency maintaining civil, criminal, or
other relevant enforcement or other
pertinent records, or to another public
authority or professional organization, if
necessary to obtain information relevant
to an OIG decision concerning the
retention of an employee or other
personnel action (other than hiring), the
retention of a security clearance, the
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20:43 Dec 26, 2006
Jkt 211001
letting of a contract, or the issuance or
retention of a grant or other benefit. (5)
The OIG may disclose information in
this system to federal, state, local or
professional licensing boards or Boards
of Medical Examiners, when such
records reflect on the qualifications of a
licensed individual or an individual
seeking to be licensed. (6) The OIG may
disclose information from this system of
records for the purposes set forth in
Appendix A.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Information contained in this system
is stored manually in files.
RETRIEVABILITY:
Information is retrieved in files by
case number, general subject matter, or
name of the subject of investigation.
SAFEGUARDS:
77815
in person at the Office of Inspector
General, National Credit Union
Administration, 1775 Duke Street,
Alexandria, VA 22314–3428.
Simultaneously with requesting
notification of inclusion in this system
of records, the individual may request
record access as described in this
section.
RECORD ACCESS PROCEDURES:
Same as ‘‘Notification procedure.’’
CONTESTING RECORD PROCEDURES:
Same as ‘‘Notification procedure.’’
RECORD SOURCE CATEGORIES:
The OIG collects information from
many sources, including the subject
individuals, employees of the NCUA,
other government employees, and
witnesses and informants, and nongovernmental sources.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:
Investigative Case Files 1. Case files
are normally destroyed when they are 5
years old. 2. Significant cases (those that
result in national media attention,
congressional investigation, or
substantive changes in agency policy or
procedures)—To be determined by the
National Archives and Records
Administration on a case-by-case basis.
Pursuant to 5 U.S.C. 552a(j)(2), this
system of records is exempt from
subsections (c)(3) and (4), (d), (e)(1),
(e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I),
(e)(5), (e)(8), (f) and (g) of the Act. This
exemption applies to information in the
system that relates to criminal law
enforcement and meets the criteria of
the (j)(2) exemption. Pursuant to 5
U.S.C. 552(k)(2), to the extent that the
system contains investigative material
compiled for law enforcement purposes,
other than material within the scope of
subsection (j)(2), this system of records
is exempt from 5 U.S.C. 552a(c)(3), (d),
(e)(1), (G), (H), and (I), and (f). The
exemption rule is contained in 12 CFR
792.66 of the NCUA regulations.
SYSTEM MANAGER(S) AND ADDRESS:
NCUA–12
Case reports and workpapers are
maintained in approved security
containers and locked filing cabinets in
a locked room. Associated paper records
are stored in locked metal filing
cabinets, safes, or similar secure
facilities.
RETENTION AND DISPOSAL:
Inspector General, National Credit
Union Administration, 1775 Duke
Street, Alexandria, VA 22314–3428.
NOTIFICATION PROCEDURE:
This System of Records is generally
exempt from the notice, access, and
amendment requirements of the Privacy
Act. However, the NCUA will entertain
written requests to the systems manager
on a case by case basis for notification
regarding whether this system of records
contains information about an
individual. Requests should be marked
‘‘Privacy Act request,’’ and should state
the name and address of the requester,
and provide a notarized statement, or
other documentation, e.g., copy of a
driver’s license, attesting to the
individual’s identity. Requests
submitted on behalf of other persons
must include their written
authorizations. Such requests in the
form prescribed may also be presented
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SYSTEM NAME:
Consumer Complaints Against
Federal Credit Unions.
SYSTEM LOCATION:
Information is maintained in NCUA’s
regional offices (see Appendix B for
regional office locations).
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Persons who submit complaints
concerning operating federal credit
unions.
CATEGORIES OF RECORDS IN THE SYSTEM:
Complaint letters, investigation
reports, and related correspondence
concerning the complainants and the
federal credit union involved.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
12 U.S.C. 1766(i)(1) and 1789(a)(7); 5
U.S.C. 301; 15 U.S.C. 1601–1693.
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PURPOSE:
mail to the system manager listed above.
If there is no record on the individual,
the individual will be so advised.
This system documents the number
and type of consumer complaints
received and processed by NCUA.
RECORD ACCESS PROCEDURES:
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
Upon request, the system manager
will set forth the procedures for gaining
access to available records.
(1) Information may be disclosed to
officials of federal credit unions and
other persons mentioned in a complaint
or identified during an investigation. (2)
Disclosures may be made to the Federal
Reserve Board, other federal financial
regulatory agencies, the Federal
Financial Institutions Examination
Council, the White House Office of
Consumer Affairs, and the Congress, or
any of its authorized committees in
fulfilling reporting requirements or
assessing implementation of applicable
laws and regulations. (Such disclosures
will be made in a nonidentifiable
manner when feasible and appropriate.)
(3) Referrals may also be made to other
federal and nonfederal supervisory or
regulatory authorities when the subject
matter is a complaint or inquiry which
is more properly within such agency’s
jurisdiction. (4) Standard routine uses as
set forth in Appendix A.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
Records are stored on paper or
computer database.
RETRIEVABILITY:
Records are retrievable from files by
federal credit union name, by
complainant name, or assigned control
number.
SAFEGUARDS:
Records are maintained in secured
offices in either a file cabinet or on a
password protected computer system.
RETENTION AND DISPOSAL:
Records are retained for three years
and then destroyed. Consumer’s name,
federal credit union’s name, subject of
complaint, date received, and date
resolved are kept until no longer
needed.
SYSTEM MANAGER(S) AND ADDRESS:
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The System Manager is the Regional
Director in the regional office where the
complaint was processed. (See
Appendix B for Regional Office
addresses.)
NOTIFICATION PROCEDURE:
An individual may inquire as to
whether the system contains a record
pertaining to the individual by
addressing a request in person or by
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Complainant (and his or her
representative, which may include, e.g.,
a member of Congress or an attorney);
federal credit union officials; employees
and members of the credit union
involved; and NCUA examiners and
central files on federal credit unions.
(1) The staff of the Office of General
Counsel may use such records to render
legal advice concerning investigations
or courses of legal action; to represent
NCUA in all judicial and administrative
proceedings in which NCUA or any of
its employees who, within the scope of
employment and in an official capacity,
is a party; or to intervene as an amicus
curiae. (2) The information in this
system may be disclosed to federal,
state, local or professional licensing
boards or Boards of Medical Examiners,
when such records reflect on the
qualifications or fitness of a licensed
individual or an individual seeking to
be licensed. (3) Standard routine uses
set forth in Appendix A.
NCUA–13
SYSTEM MANAGER(S) AND ADDRESS:
CONTESTING RECORD PROCEDURES:
Request to amend or correct a record
should be directed to the system
manager listed above.
RECORD SOURCE CATEGORIES:
General Counsel, National Credit
Union Administration, 1775 Duke
Street, Alexandria, Virginia 22314–
3428.
SYSTEM NAME:
Litigation Case Files.
SYSTEM LOCATION:
Office of General Counsel, National
Credit Union Administration, 1775
Duke Street, Alexandria, Virginia
22314–3428.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
STORAGE:
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
Records are maintained in files by the
case name of individuals who are: the
subject of NCUA investigations made in
contemplation of legal action; involved
in civil litigation with NCUA or
involved in administrative proceedings;
involved in litigation of interest to
NCUA; or pursuing tort claims.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records in case files include:
Investigative reports relating to possible
felonies or violations of the Federal
Credit Union Act; transcripts of
testimony or affidavits; documents and
other evidentiary matters, pleadings and
other documents filed in court; orders
filed or issued in civil, administrative or
criminal proceedings; correspondence
relating to investigatory or litigation
matters; information provided by the
individual under investigation or from a
federal credit union; and other
memoranda gathered and prepared by
staff in performance of their duties.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
12 U.S.C. 1766, 1786, 1787, and 1789;
28 U.S.C. 2671–2680.
NOTIFICATION PROCEDURE:
An individual may inquire as to
whether the system contains a record
pertaining to the individual by
addressing a request in person or by
mail to the system manager listed above.
If there is no record on the individual,
the individual will be so advised.
RECORD ACCESS PROCEDURES:
Upon request, the system manager
will set forth the procedures for gaining
access to available records.
CONTESTING RECORD PROCEDURES:
Requests to amend or correct a record
should be directed to the system
manager listed above.
RECORD SOURCE CATEGORIES:
Record source categories vary
depending upon the legal issue but
generally are obtained from the
following: NCUA staff and internal
agency memoranda; federal employees
and private parties involved in torts;
contracts; federal credit union files or
officials; general law texts and sources;
law enforcement officers; witnesses and
others; administrative and court
pleadings, transcripts or judicial orders/
decisions; evidence gathered in
connection with the matter involved;
and from individuals to whom the
records relate.
PURPOSE:
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:
This system documents the
preparation and progress of legal
proceedings and investigations
conducted by the Office of General
Counsel.
This system is subject to the specific
exemption provided by 5 U.S.C.
552a(k)(2), as the system of records is
investigatory material compiled for law
enforcement purposes.
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NCUA–14
RETENTION AND DISPOSAL:
Bank of America Electronic Access
Government Ledger System (EAGLS).
SYSTEM LOCATION:
Bank of America Government Card
Services (Norfolk, Virginia).
PURPOSE:
All account activity (charges,
payments, credits, etc.) is retained in the
EAGLS system for 36 months. All
information on closed accounts (name,
address, activity) is retained for 36
months before it is permanently
removed from the EAGLS system.
SYSTEM NAME:
This system documents employee
information and ensures that employees
receive proper compensation.
SYSTEM MANAGER(S) AND ADDRESS:
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Deputy Financial Officer, Office of the
Chief Financial Officer, National Credit
Union Administration, 1775 Duke
Street, Alexandria, Virginia 22314–
3428.
Employees of NCUA with
individually billed government travel
cards and/or centrally billed
government travel cards.
NOTIFICATION PROCEDURE:
CATEGORIES OF RECORDS IN THE SYSTEM:
NCUA employee credit card data,
including name and address, and past
and present charges to account.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Federal Travel Regulations, Travel
and Transportation Reform Act of 1998
(Pub. L. 105–264).
PURPOSE:
The purpose of this system is for the
Office of the Chief Financial Officer
(OCFO) to monitor the usage of the
government travel card by NCUA
employees and to assure timely
payments of accounts.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
PURPOSES OF SUCH USES:
The system can be used by individual
cardholders to access their own account
information to monitor charges,
payments, change their address, etc. It is
also used by OCFO to provide oversight
of the travel card program by monitoring
card usage in order to reduce card
misuse, abuse, and delinquencies.
An individual may inquire about his/
her personal account information by
accessing the EAGLS system with a
username and password provided to
them by Bank of America or by written
request to OCFO.
Upon approval of the cardholder
application and issuance of the
government travel card by BOA, a
username and password is also
submitted to the cardholder for access to
their account information in EAGLS.
CONTESTING RECORD PROCEDURES:
Requests to amend or correct a record
should be submitted online through the
EAGLS system or submitted in writing
to OCFO.
RECORD SOURCE CATEGORIES:
Records are prepared by the
individual whom the record concerns
by submission of an application to Bank
of America and by the subsequent
activity to the individual’s account.
NCUA–15
Contract Employee Pay and Leave
Records.
STORAGE:
SYSTEM LOCATION:
Records are maintained in a database
that is accessible by Internet over a 128bit encryption secure connection.
Information within this system of
records is located at the Asset
Management and Assistance Center
(AMAC) 4807 Spicewood Springs Road,
Suite 5100, Austin TX 78759, and the
payroll processor, Paychex of San
Antonio, Texas.
RETRIEVABILITY:
Records are retrieved by name or
account number.
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SAFEGUARDS:
Records are maintained in a secure
database that can only be accessed with
a username and password provided by
Bank of America after receipt of an
application submitted by the OCFO.
Only authorized staff in OCFO can
access multiple employee records, all
other employees can only access their
own account information within the
EAGLS system.
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CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Contract employees hired by the
Agent for the Liquidating Agent for
work on liquidation cases.
CATEGORIES OF RECORDS IN THE SYSTEM:
Wages and related payroll data,
including leave records.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Fair Labor Standards Act.
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ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
PURPOSES OF SUCH USES:
Information is used to document time
worked and provide a record of
attendance to support payment of wages
and use of leave. Users of the system
include the payroll officer (financial
analyst), the employee’s supervisor, and
Paychex.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in file folders.
RETRIEVABILITY:
Records are retrieved by name.
RECORD ACCESS PROCEDURES:
SYSTEM NAME:
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
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SAFEGUARDS:
Records are maintained in a secured
file cabinet, accessible only to the
payroll officer and division manager.
RETENTION AND DISPOSAL:
Records are retained and disposed of
in accordance with the Fair Labor
Standards Act.
SYSTEM MANAGER(S) AND ADDRESS:
Primary: Financial Analyst, Asset
Management and Assistance Center
(4807 Spicewood Springs Road, Suite
5100, Austin TX 78759).
Secondary: Division of Accounting
Service Director, Asset Management and
Assistance Center (4807 Spicewood
Springs Road, Suite 5100, Austin TX
78759).
NOTIFICATION PROCEDURE:
An individual may inquire as to
whether the system contains a record
pertaining to the individual by
addressing a request in person or by
mail to the system manager listed above.
If there is no record on the individual,
the individual will be so advised.
NCUA–16
SYSTEM NAME:
Leave Transfer Program Case Files.
SYSTEM LOCATION:
Office of Human Resources, 1775
Duke Street, Alexandria, VA 22314.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
NCUA employees who submitted
applications to become leave recipients
under the provisions of the Leave
Transfer program.
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CATEGORIES OF RECORDS IN THE SYSTEM:
Leave transfer program applications,
leave requests, and medical
documentation.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 CFR 630.913.
PURPOSE:
To administer the NCUA leave
transfer program.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
PURPOSES OF SUCH USES:
These records are used to administer
the NCUA leave transfer program.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
These records are maintained in file
folders and filed in metal file cabinets.
RETRIEVABILITY:
The records are retrieved by the
names of the employee.
SAFEGUARDS:
These files are kept in a locked room
and are available only to authorized
personnel whose duties require access.
RETENTION AND DISPOSAL:
These records are maintained in
accordance with NARA General Records
Schedules 1 (Civilian Personnel
Records). Disposal of manual records is
by shredding.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Office of Human Resources,
National Credit Union Administration,
1775 Duke Street, Alexandria, VA
22314.
NOTIFICATION PROCEDURE:
An individual or an individual’s
authorized representative may inquire
as to whether the system contains a
record pertaining to the individual by
addressing a request in person or by
mail to the system manager listed above.
If there is no record on the individual,
the individual will be so advised.
NCUA–17
SYSTEM NAME:
Personal Identity Verification Files.
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SYSTEM LOCATION:
Office of Human Resources, National
Credit Union Administration, 1775
Duke Street, Alexandria, VA 22314.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Individuals who require regular,
ongoing access to federal facilities,
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information technology systems, or
information classified in the interest of
national security, including applicants
for employment or contracts, federal
employees, contractors, students,
interns, volunteers, affiliates,
individuals authorized to perform or use
services provided in NCUA facilities
and individuals formerly in any of these
positions. The system also includes
individuals accused of security
violations or found in violation.
CATEGORIES OF RECORDS IN THE SYSTEM:
Name, former names, birth date, birth
place, Social Security number, home
address, phone numbers, employment
history, residential history, education
and degrees earned, names of associates
and references and their contact
information, citizenship, names of
relatives, birthdates and places of
relatives, citizenship of relatives, names
of relatives who work for the federal
government, criminal history, mental
health history, drug use, financial
information, fingerprints, summary
report of investigation, results of
suitability decisions, level of security
clearance, date of issuance of security
clearance, requests for appeal, witness
statements, investigator’s notes, tax
return information, credit reports,
security violations, circumstances of
violation, and agency action taken.
Copies of background investigation
forms such as the SF–85, SF–85P, SF–
86, or SF–87 may also be included in
this file.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Executive orders 10450, 10865, 12333,
and 12356; sections 3301 and 9101 of
title 5, U.S. Code; sections 2165 and
2201 of title 42, U.S. Code; sections 781
to 887 of title 50, U.S. Code; parts 5,
732, and 736 of title 5, Code of Federal
Regulations; and Homeland Security
Presidential Directive (HSPD) 12, Policy
for a Common Identification Standard
for Federal Employees and Contractors,
August 27, 2004.
PURPOSE(S):
The records in this system of records
are used to document and support
decisions regarding clearance for access
to classified information, the suitability,
eligibility, and fitness for service of
applicants for federal employment and
contract positions, including students,
interns, or volunteers to the extent their
duties require access to federal facilities,
information, systems, or applications.
The records may be used to document
security violations, employee access and
attendance, and supervisory actions
taken.
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ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
(1) The information maintained in
this system is collected from PIV
Applicants, the individuals to whom a
PIV card is issued. The PIV Applicant
may be a current or prospective Federal
hire, a Federal employee or a contractor.
The information is used in each step of
the PIV Process for example, conducting
a background investigation, completing
the identity proofing and registration
process, creating an employee record in
the Comprehensive Human Resources
Integrated System (CHRIS), issuing a
PIV card and the determination of
physical and logical access.
Additionally, the information such as
card expiration date, PIV Registrar
Approval, etc. is maintained in this file
and is used to assist in the production
of the PIV card. (2) The information in
this system may be disclosed to the
United States Office of Personnel
Management, the Merit Systems
Protection Board, the Office of Special
Counsel, the Equal Employment
Opportunity Commission, the Federal
Labor Relations Authority, the General
Services Administration or an arbitrator
or agent to the extent the disclosure is
needed to carry out the governmentwide personnel management,
investigatory, adjudicatory and
appellate functions within their
respective jurisdictions, or to obtain
information. (3) The information in this
system may be disclosed to federal,
state, local or professional licensing
boards or boards of Medical Examiners,
when such records reflect on the
qualifications of a licensed individual or
individual seeking to be licensed. (4)
Standard routine uses as set forth in
Appendix A.
POLICIES AND PRACTICE FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are stored on paper and
electronically in a secure location.
RETRIEVABILITY:
Files are retrieved by name or Social
Security number (SSN), employee name,
and employee identification number.
SAFEGUARDS:
For paper records: Comprehensive
paper records are kept in a secure room
at NCUA Central Office, Office of
Human Resources. Limited paper
records may be kept at NCUA regional
offices in locked file cabinets in locked
rooms. Access to the records is limited
to those employees who have a need for
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them in the performance of their official
duties.
For electronic records:
Comprehensive electronic records are
kept at the NCUA Central Office, Office
of Human Resources. Access to the
records is restricted to those with a
specific role in the PIV process that
requires access to information to
perform their duties, and who have been
given a password to access that part of
the system. Controls are in place to
identify unauthorized access. Persons
given roles in the PIV process must
complete training specific to their roles
to ensure they are knowledgeable about
how to protect individually identifiable
information. Electronic records of
security badge and parking pass usage
for access to the Central Office and
access to parking are accessible by
selected staff in the Division of
Procurement and Facilities
Management.
RETENTION AND DISPOSAL:
Records are destroyed upon
notification of death or not later than
five years after separation or transfer of
employee to another agency, whichever
is applicable.
SYSTEM MANAGER(S) AND ADDRESS:
Security Officer, Office of Human
Resources, National Credit Union
Administration, 1775 Duke Street,
Alexandria, VA 22314.
NOTIFICATION PROCEDURE:
An individual can determine if this
system contains a record pertaining to
the individual by addressing a request
in writing to the system manager listed
above. If there is no record on the
individual, the individual will be so
advised.
When requesting notification of or
access to records covered by this
system, an individual should provide at
a minimum his/her full name, date of
birth, office and duty location in order
to establish identity.
RECORDS ACCESS PROCEDURES:
Upon request, the system manager
will set forth the procedures for gaining
access to available records.
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CONTESTING RECORD PROCEDURES:
Requests to amend or correct a record
should be directed to the system
manager listed above. Requesters should
also reasonably identify the record,
specify the information they are
contesting, state the corrective action
sought and the reasons for the
correction along with supporting
justification showing why the record is
not accurate, timely, relevant, or
complete.
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RECORD SOURCE CATEGORIES:
Information is obtained from a variety
of sources including the employee,
contractor, or applicant via use of the
SF–85, SF–85P, or SF–86 and personal
interviews; employers’ and former
employers’ records; FBI criminal history
records and other databases; financial
institutions and credit reports; medical
records and health care providers;
educational institutions; interviews of
witnesses such as neighbors, friends, coworkers, business associates, teachers,
landlords, or family members; tax
records; and other public records.
Security violation information is
obtained from a variety of sources, such
as witnesses or supervisor’s reports.
Electronic records are created based on
use of security badges and parking
passes at readers at entrances and exits
to parking at the Central Office, building
entrances, and building elevators.
Appendix A—Standard Routine Uses
Applicable to NCUA Systems of
Records
1. If a record in a system of records
indicates a violation or potential violation of
civil or criminal law or a regulation, and
whether arising by general statute or
particular program statute, or by regulation,
rule, or order, the relevant records in the
system or records may be disclosed as a
routine use to the appropriate agency,
whether federal, state, local, or foreign,
charged with the responsibility of
investigating or prosecuting such violation or
charged with enforcing or implementing the
statute, rule, regulation, or order issued
pursuant thereto.
2. A record from a system of records may
be disclosed as a routine use to a federal,
state, or local agency which maintains civil,
criminal, or other relevant enforcement
information or other pertinent information,
such as current licenses, if necessary, to
obtain information relevant to an agency
decision concerning the hiring or retention of
an employee, the issuance of a security
clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.
3. A record from a system of records may
be disclosed as a routine use to a federal
agency, in response to its request, for a matter
concerning 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 the
issuance of a license, grant, or other benefit
by the requesting agency, to the extent that
the information is relevant and necessary to
the requesting agency’s decision in the
matter.
4. A record from a system of records may
be disclosed as a routine use to an authorized
appeal grievance examiner, formal
complaints examiner, equal employment
opportunity investigator, arbitrator or other
duly authorized official engaged in
investigation or settlement of a grievance,
complaint, or appeal filed by an employee.
Further, a record from any system of records
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77819
may be disclosed as a routine use to the
Office of Personnel Management in
accordance with the agency’s responsibility
for evaluation and oversight of federal
personnel management.
5. A record from a system of records may
be disclosed as a routine use to officers and
employees of a federal agency for purposes
of audit.
6. A record from a system of records may
be disclosed as a routine use to a member of
Congress or to a congressional staff member
in response to an inquiry from the
congressional office made at the request of
the individual about whom the record is
maintained.
7. A record from a system of records may
be disclosed as a routine use to the officers
and employees of the General Services
Administration (GSA) in connection with
administrative services provided to this
Agency under agreement with GSA.
8. Records in a system of records may be
disclosed as a routine use to the Department
of Justice, when: (a) NCUA, or any of its
components or employees acting in their
official capacities, is a party to litigation; or
(b) Any employee of NCUA in his or her
individual capacity is a party to litigation
and where the Department of Justice has
agreed to represent the employee; or (c) The
United States is a party in litigation, where
NCUA determines that litigation is likely to
affect the agency or any of its components,
is a party to litigation or has an interest in
such litigation, and NCUA determines that
use of such records is relevant and necessary
to the litigation, provided, however, that in
each case, NCUA determines that disclosure
of the records to the Department of Justice is
a use of the information contained in the
records that is compatible with the purpose
for which the records were collected.
9. Records in a system of records may be
disclosed as a routine use in a proceeding
before a court or adjudicative body before
which NCUA is authorized to appear (a)
when NCUA or any of its components or
employees are acting in their official
capacities; (b) where NCUA or any employee
of NCUA in his or her individual capacity
has agreed to represent the employee; or (c)
where NCUA determines that litigation is
likely to affect the agency or any of its
components, is a party to litigation or has an
interest in such litigation, and NCUA
determines that use of such records is
relevant and necessary to the litigation,
provided, however, NCUA determines that
disclosure of the records to the Department
of Justice is a use of the information
contained in the records that is compatible
with the purpose for which the records were
collected.
Appendix B—List of Regional Offices
with Addresses and States Covered by
Each Region
NCUA Region I Regional Office: 9
Washington Square, Washington Square
Extension, Albany, NY, 12205, Phone (518)
472–4554. States covered: Connecticut,
Maine, Massachusetts, Michigan, New
Hampshire, New York, Rhode Island, and
Vermont.
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NCUA Region II Regional Office: 1775
Duke Street, Suite 4206, Alexandria, VA
22314, Phone: (703) 519–4600. States
covered: Delaware, District Of Columbia,
Maryland, New Jersey, Pennsylvania,
Virginia, and West Virginia.
NCUA Region III Regional Office: 7000
Central Parkway, Suite 1600, Atlanta, GA
30328, Phone: (678) 443–3000. States
covered: Alabama, Florida, Georgia, Indiana,
Kentucky, Mississippi, North Carolina,
Puerto Rico, Ohio, South Carolina,
Tennessee, and Virgin Islands.
NCUA Region IV Regional Office: 4807
Spicewood Springs Road, Suite 5200, Austin,
TX 78759, Phone: (512) 342–5600. States
covered: Arkansas, Illinois Iowa, Kansas,
Louisiana, Minnesota, Missouri, Nebraska,
North Dakota, Oklahoma, South Dakota,
Texas, and Wisconsin.
NCUA Region V Regional Office: 1230
West Washington Street, Suite 301, Tempe,
AZ 85281, Phone: (602) 302–6000. States
covered: Alaska, Arizona, California,
Colorado, Guam, Hawaii, Idaho, Montana,
Nevada, Oregon, Utah, Washington, and
Wyoming.
By the National Credit Union
Administration Board on December 20, 2006.
Mary F. Rupp,
Secretary of the Board.
[FR Doc. E6–22101 Filed 12–26–06; 8:45 am]
BILLING CODE 7535–01–P
THE NATIONAL FOUNDATION ON THE
ARTS AND THE HUMANITIES
Meetings of Humanities Panel
The National Endowment for
the Humanities.
ACTION: Notice of meetings.
AGENCY:
Pursuant to the provisions of
the Federal Advisory Committee Act
(Pub. L. 92–463, as amended), notice is
hereby given that the following
meetings of Humanities Panels will be
held at the Old Post Office, 1100
Pennsylvania Avenue, NW.,
Washington, DC 20506.
FOR FURTHER INFORMATION CONTACT:
Heather Gottry, Acting Advisory
Committee Management Officer,
National Endowment for the
Humanities, Washington, DC 20506;
telephone (202) 606–8322. Hearingimpaired individuals are advised that
information on this matter may be
obtained by contacting the
Endowment’s TDD terminal on (202)
606–8282.
SUPPLEMENTARY INFORMATION:
The proposed meetings are for the
purpose of panel review, discussion,
evaluation and recommendation on
applications for financial assistance
under the National Foundation on the
Arts and the Humanities Act of 1965, as
amended, including discussion of
jlentini on PROD1PC65 with NOTICES
SUMMARY:
VerDate Aug<31>2005
20:43 Dec 26, 2006
Jkt 211001
information given in confidence to the
agency by the grant applicants. Because
the proposed meetings will consider
information that is likely to disclose
trade secrets and commercial or
financial information obtained from a
person and privileged or confidential
and/or information of a personal nature
the disclosure of which would
constitute a clearly unwarranted
invasion of personal privacy, pursuant
to authority granted me by the
Chairman’s Delegation of Authority to
Close Advisory Committee meetings,
dated July 19, 1993, I have determined
that these meetings will be closed to the
public pursuant to subsections (c)(4),
and (6) of section 552b of Title 5, United
States Code.
1. Date: January 8, 2007.
Time: 8:30 a.m. to 5:30 p.m.
Room: 415.
Program: This meeting will review
applications for Humanities Projects in
Media, submitted to the Division of
Public Programs at the November 1,
2006 deadline.
2. Date: January 9, 2007.
Time: 9 a.m. to 5 p.m.
Room: 315.
Program: This meeting will review
applications for Digital Humanities
Start-Up Grants, submitted to the
Miscellaneous Humanities Projects at
the November 15, 2006 deadline.
3. Date: January 10, 2007.
Time: 8:30 a.m. to 5:30 p.m.
Room: 415.
Program: This meeting will review
applications for Humanities Projects in
Media, submitted to the Division of
Public Programs at the November 1,
2006 deadline.
4. Date: January 16, 2007.
Time: 8:30 a.m. to 5:30 p.m.
Room: 415.
Program: This meeting will review
applications for Humanities Projects in
Media, submitted to the Division of
Public Programs at the November 1,
2006 deadline.
5. Date: January 22, 2007.
Time: 8:30 a.m. to 5:30 p.m.
Room: 415.
Program: This meeting will review
applications for Humanities Projects in
Media, submitted to the Division of
Public Programs at the November 1,
2006 deadline.
6. Date: January 23, 2007.
Time: 8:30 a.m. to 5 p.m.
Room: 315.
Program: This meeting will review
applications for Collaborative Research
in European Studies, submitted to the
Division of Research Programs at the
November 1, 2006 deadline.
7. Date: January 29, 2007.
Time: 8:30 a.m. to 5 p.m.
PO 00000
Frm 00104
Fmt 4703
Sfmt 4703
Room: 315.
Program: This meeting will review
applications for Collaborative Research
in Archaeology, Old World, submitted
to the Division of Research Programs at
the November 1, 2006 deadline.
8. Date: January 30, 2007
Time: 8:30 a.m. to 5 p.m.
Room: 315.
Program: This meeting will review
applications for Collaborative Research
in Africa and Asia, submitted to the
Division of Research Programs at the
November 1, 2006 deadline.
9. Date: January 31, 2007.
Time: 8:30 a.m. to 5 p.m.
Room: 315.
Program: This meeting will review
applications for Scholarly Editions in
British and American Editions,
submitted to the Division of Research
Programs at the November 1, 2006
deadline.
Heather Gottry,
Acting Advisory Committee Management
Officer.
[FR Doc. E6–22172 Filed 12–26–06; 8:45 am]
BILLING CODE 7536–01–P
OFFICE OF THE UNITED STATES
TRADE REPRESENTATIVE
Determination Regarding Waiver of
Discriminatory Purchasing
Requirements With Respect to Goods
and Services of New Member States of
the European Communities (Romania
and the Republic of Bulgaria)
Office of the United States
Trade Representative.
ACTION: Determination Regarding
Waiver of Discriminatory Purchasing
Requirements under the Trade
Agreements Act of 1979.
AGENCY:
Effective Date: January 1, 2007.
Jean
Heilman Grier, Senior Procurement
Negotiator, Office of the United States
Trade Representative, (202) 395–9476.
SUPPLEMENTARY INFORMATION: The
European Communities (‘‘EC’’) is a party
to the World Trade Organization
(‘‘WTO’’) Agreement on Government
Procurement (‘‘GPA’’) and has assumed
rights and obligations under the GPA on
behalf of its Member States. On January
1, 2007, Romania and the Republic of
Bulgaria (collectively, the ‘‘new Member
States’’) will accede to the EC. In light
of that accession, the EC has committed
to assume rights and obligations on
behalf of these new Member States
under the GPA. On December 8, 2006,
the WTO Committee on Government
Procurement approved the application
DATES:
FOR FURTHER INFORMATION CONTACT:
E:\FR\FM\27DEN1.SGM
27DEN1
Agencies
[Federal Register Volume 71, Number 248 (Wednesday, December 27, 2006)]
[Notices]
[Pages 77807-77820]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E6-22101]
=======================================================================
-----------------------------------------------------------------------
NATIONAL CREDIT UNION ADMINISTRATION
Privacy Act Systems of Records Notice
AGENCY: National Credit Union Administration.
ACTION: Notification of revisions of systems of records.
-----------------------------------------------------------------------
SUMMARY: The National Credit Union Administration (NCUA) is revising
its Privacy Act Systems of Records (SOR) Notice. As part of the
periodic review of agency regulations, staff determined the need to
update and revise its SOR Notice. The review identified several changes
requiring revision to the SOR Notice including changes in recordkeeping
practices, agency organizational changes, and new systems of records
not previously identified. In some systems, NCUA staff identified minor
changes to routine uses. No new exemptions from provisions of the
Privacy Act of 1974 were required. The revisions reflect the changes,
clarify, and update the SOR Notice.
DATES: Effective Date: The revised system notices will be effective
without further notice on January 26, 2007 unless comments received
before that date cause a contrary decision. Based on NCUA's review of
comments received, if any, NCUA will publish a new final notice if it
determines to make changes to the system notices.
FOR FURTHER INFORMATION CONTACT: Sheila A. Albin, Associate General
Counsel for Operations & Senior Agency Official for Privacy, or Linda
Dent, Staff Attorney, Division of Operations, Office of General
Counsel, at the National Credit Union Administration, 1775 Duke Street,
Alexandria, Virginia, 22314, or telephone: (703) 518-6540.
SUPPLEMENTARY INFORMATION: The Privacy Act of 1974 requires, inter
alia, that all federal agencies publish a notice of any system of
records maintained about individuals and, further, requires that the
notice provide certain information. NCUA last published a revised
notice in 2000. 65 FR 3486 (January 21, 2000). The Privacy Act, as well
as guidance from the Office of Management and Budget, provides for
periodic review and updating of an agency's SOR Notice, and NCUA's
privacy regulation also requires review and revision as necessary to
its SOR Notice. 12 CFR part 792, subpart E.
NCUA is adding four new systems to its SOR Notice: Personal
Identity Verification (PIV) Files, Leave Transfer Program Case Files,
AMAC Contract Employee Pay and Leave Records, and
[[Page 77808]]
Bank of America Electronic Access Government Ledger System. While the
previous System 6 is described as containing information used to create
employee identification cards, the new PIV Files, identified as System
16 is significantly different in that it specifically describes a new
system being established to meet the requirements of Homeland Security
Presidential Directive 12.
NCUA is also making several relatively minor changes to existing
systems to correct and update information. For example, regarding
storage, access, and retrieval, many of the existing systems now
provide for electronic storage and retrieval in addition to maintaining
hard copies of records and, as such, have additional security measures
restricting access. In addition, the system managers or the titles for
the system managers have changed in some instances due to organization
changes within the agency or changes in duties for employee positions.
In addition, Appendix B is revised to reflect that NCUA now has five
rather than six regional offices and addresses of two of the regional
offices have changed, as well as the states for which each regional
office has jurisdiction.
With these changes, NCUA's revised SOR Notice, along with the
appendices, are published in their entirety below.
National Credit Union Administration
Systems of Records Notice
List of Systems
1. Employee Suitability and Security Investigations Containing
Adverse Information
2. Grievance Records
3. Payroll Records System
4. Travel Advance and Voucher Information System
5. Unofficial Personnel and Employee Development/Correspondence
Records
6. Emergency Information (Employee) File
7. Employee Injury File
8. Investigative Reports Involving Any Crime, Suspected Crime or
Suspicious Activity Against a Credit Union
9. Freedom of Information Act and Privacy Act Requests and
Invoices
10. Liquidating Credit Union Records
11. Office of Inspector General (OIG) Investigative Records
12. Consumer Complaints Against Federal Credit Unions
13. Litigation Case Files
14. Bank of America Electronic Access Government Ledger System
(EAGLS)
15. Contract Employee Pay and Leave Records
16. Leave Transfer Files
17. Personal Identity Verification Files
Appendix A-Standard Routine Uses Applicable to NCUA Systems of
Records
Appendix B-List of Regional Offices with Addresses and States
Covered by Each Region
NCUA-1
System Name:
Employee Suitability and Security Investigations Containing Adverse
Information
System location:
Office of Human Resources, National Credit Union Administration,
1775 Duke Street, Alexandria, VA. 22314-3428.
Categories of individuals covered by this system:
NCUA employees on whom a routine Office of Personnel Management
(OPM) background investigation has been conducted, the results of which
contain adverse information.
Categories of records in the system:
Arrest records and/or information on moral character, integrity, or
loyalty to the United States.
Authority for maintenance of the system:
Records maintained pursuant to OPM requirements. A separate notice
is published because these records are maintained separately to provide
extraordinary safeguards against unwarranted access and disclosures.
Purpose:
The information in this system of records is used to assist in the
determination of the suitability of the effected individual for initial
or continued NCUA employment, or other necessary action.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) Records are reviewed by the NCUA Security Officer (the Director
of Human Resources). If the records are determined to be of a
substantive nature, they are referred to the appropriate Associate
Regional Director or Office Director for whatever action, if any, is
deemed necessary. (2) Standard routine uses as set forth in Appendix A.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained on paper hard copy.
Retrievability:
Records are indexed by name.
Safeguards:
Records are maintained in a locked file cabinet accessible only to
the Security Officer and his/her designated assistant.
Retention and disposal:
If the investigation is favorable to the employee, the record is
destroyed. If the investigation uncovers adverse information, the
record is held for two years.
System manager(s) and address:
Security Officer, Office of Human Resources, National Credit Union
Administration, 1775 Duke Street, Alexandria, VA 22314-3428.
Notification procedure:
An individual may inquire as to whether the system contains a
record pertaining to the individual by addressing a request in person
or by mail to the system manager listed above. If there is no record on
the individual, the individual will be so advised.
Record access procedure:
Upon request, the system manager will set forth the procedures for
gaining access to available records.
Contesting record procedures:
Requests to amend or correct a record should be directed to the
system manager listed above. Requesters should also reasonably identify
the record, specify the information they are contesting, state the
corrective action sought and the reasons for the correction, along with
supporting justification showing why the record is not accurate,
timely, or complete.
Record source categories:
OPM Security Investigations Index, FBI headquarters investigative
files, fingerprint index of arrest records, Defense Central Index of
Investigations, employers within the last five years, listed
references, and personal associates, school registrars and responsive
law enforcement agencies.
Systems exempted from certain provisions of the Act:
In addition to any exemption to which this system is subject by
Notices published by or regulations promulgated by the OPM, the system
is subject to a specific exemption pursuant to 5 U.S.C. 552a(k)(5) to
the extent that disclosures would reveal a source who furnished
information under an express promise of confidentiality, or prior to
September 27, 1975, under an express or implied promise of
confidentiality.
NCUA-2
System name:
Grievance Records
[[Page 77809]]
System location:
Office of Human Resources, National Credit Union Administration,
1775 Duke Street, Alexandria, Virginia 22314-3428.
Categories of individuals covered by the system:
Current or former Federal employees who have submitted grievances
with NCUA in accordance with part 771 of the OPM's regulations. These
case files contain all documents related to the grievance, including
statements of witnesses, reports of interviews and hearings, examiners'
findings and recommendations, a copy of the original and final decision
with related correspondence and exhibits.
Authority for maintenance of the system:
5 U.S.C. 1302, 3301, and 3302, E.O. 10577, 3 CFR 1954-1958 Comp.,
p. 218; E.O. 10987; 3 CFR 1959-1963 Comp., p. 519.
Purpose:
The information in this system is used in the Agency's formal
grievance process.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) Information is used by the appropriate Federal, State, or local
agency responsible for investigating, prosecuting, enforcing, or
implementing a statute, rule, regulation, or order where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulations. (2) Information is
used by any source from which additional information is requested in
the course of processing a grievance to the extent necessary to
identify the individual, inform the source of the purpose(s) of the
request, and identify the type of information requested. (3)
Information is used by a Federal agency in response to its request in
connection with the hiring or retention of an employee, the issuance of
a security clearance, the conducting of a security or suitability
investigation of an individual, the classifying of jobs, the letting of
a contract, or the issuance of a license, grant, or other benefit by
the requesting agency, to the extent that the information is relevant
and necessary to the requesting agency's decision on the matter. (4)
Information is used by the congressional office from the record of an
individual in response to an inquiry from that congressional office
made at the request of that individual. (5) Information is used by
another Federal agency or by a court when the government is party to a
judicial proceeding before the court. (6) Information is used by the
National Archives and Records Administration (General Services
Administration) in records management inspections conducted under
authority of 44 U.S.C. 2904 and 2906. (7) Information is used by NCUA
in the production of summary descriptive statistics and analytical
studies in support of the function for which the records are collected
and maintained, or for related work force studies. While published
statistics and studies do not contain individual identifiers, in some
instances, the selection of elements of data included in the study may
be structured in such a way as to make the data individually
identifiable by inference. (8) Information is used by officials of the
Office of Personnel Management, the Merit Systems Protection Board,
including the Office of the Special Counsel, the Federal Labor
Relations Authority and its General Counsel, or the Equal Employment
Opportunity Commission when requested in performance of their
authorized duties. (9) Information (that is relevant to the subject
matter involved in a pending judicial or administrative proceeding) is
used to respond to a request for discovery or for appearance of a
witness. (10) Information is used by officials of labor organizations
reorganized under the Civil Service Reform Act when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting work conditions.
(11) Standard routine uses as set forth in appendix A.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders.
Retrievability:
Records are retrievable by the names of the individuals on whom
they are maintained.
Safeguards:
Records are maintained in lockable metal filing cabinets to which
only authorized personnel have access.
Retention and disposal:
Records are disposed of three (3) years after closing of the case.
Disposal is by shredding or burning.
System manager(s) and address:
Director, Office of Human Resources, National Credit Union
Administration, 1775 Duke Street, Alexandria, Virginia 22314-3428.
Notification procedure:
An individual may inquire as to whether the system contains a
record pertaining to the individual by addressing a request in person
or by mail to the system manager listed above. If there is no record on
the individual, the individual will be so advised.
Record access procedures:
Upon request, the system manager will set forth the procedures for
gaining access to available records.
Contesting record procedures:
Request to amend or correct a record should be directed to the
system manager listed above.
Record source categories:
Individual on whom the record is maintained; testimony of witness;
agency officials; related correspondence from organization or persons.
NCUA-3
System name:
Payroll Records System.
System location:
(1) Office of the Chief Financial Officer, National Credit Union
Administration, 1775 Duke Street, Alexandria, Virginia 22314-3428. (2)
General Services Administration, Region VI, Kansas City, Missouri. (3)
Regional offices.
Categories of individuals covered by the system:
Employees of NCUA.
Categories of records in the system:
Salary and related payroll data, including time and attendance
information.
Authority for maintenance of the system:
5 U.S.C. 703; 44 U.S.C. 3301.
Purpose:
This system documents time and attendance and ensures that
employees receive proper compensation.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) Information is used to ensure proper compensation to all NCUA
employees and to formulate financial reports and plans used within the
agency or is sent to the General Services Administration (GSA). (2)
Also, information is used to document time worked and provide a record
of attendance to support payment of salaries and use of annual, sick,
and nonpaid leave. (3) Users of the time and attendance information
include the
[[Page 77810]]
employee's supervisor, the office's timekeeper the payroll officer, and
the GSA National Payroll Center in Kansas City, Missouri. (4) Further
information in this system is used to make reports to state and local
taxing authorities. (5) The names, social security numbers, home
addresses, dates of birth, dates of hire, quarterly earnings, employer
identifying information, and State of hire of employees may be
disclosed 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
or modify orders of child support, identify sources of income and for
other child support enforcement actions as required by the Personal
Responsibility and Work Opportunity Reconciliation Act (Welfare Reform
Law, Pub. L. 104-193). (6) Standard routine uses as set forth in
appendix A.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders and electronically on
computer systems.
Retrievability:
Records are retrieved by name or social security number.
Safeguards:
Records are maintained in secured offices, accessible by written
authorization only.
Retention and disposal:
Records are retained and disposed of in accordance with GSA policy.
System manager(s) and address:
Primary:
Payroll Officer, Office of the Chief Financial Officer, National
Credit Union Administration, 1775 Duke Street, Alexandria, Virginia
22314-3428.
Secondary:
Office Timekeepers, National Credit Union Administration, Central
Office (1775 Duke Street, Alexandria, Virginia 22314-3428) and Regional
Offices (see Appendix B for Regional Offices' addresses).
Notification procedure:
An individual may inquire as to whether the system contains a
record pertaining to the individual by addressing a request in person
or by mail to the system manager listed above. If there is no record on
the individual, the individual will be so advised.
Record access procedures:
Upon request, the system manager will set forth the procedures for
gaining access to available records.
Contesting record procedures:
Requests to amend or correct a record should be directed to the
system manager listed above.
Record source categories:
Information is primarily obtained from the individual whom the
record concerns, the Office of Personnel Management, and the GSA. Also,
time and attendance information is prepared and submitted by the
timekeeper in a given employee's office.
NCUA-4
System name:
Travel Advance and Voucher Information System.
System location:
Office of the Chief Financial Officer, National Credit Union
Administration, 1775 Duke Street, Alexandria, Virginia 22314-3428. Some
relocation files are maintained in the Office of Administration, at the
same address.
Categories of individuals covered by the system:
All NCUA employees who have traveled or relocated in the course of
performing their duty and who have been reimbursed for the expense of
such travel.
Categories of records in the system:
This system contains information from the following forms: Travel
Vouchers (NCUA 1012), Relocation Travel Order (NCUA 1617) Application
for Travel Advance (NCUA 1371), and Travel Voucher Cover Sheet (NCUA
1364), Agreement to Remain in Federal Service (NCUA 1030), Statement of
Difference (NCUA 1310), Repayment of Travel Advance (NCUA 1372).
Authority for maintenance of the system:
5 U.S.C. 5701-5752; Executive Order 11609 (July 22, 1971);
Executive Order 11012 (March 27, 1962); 5 U.S.C. 4101-4118; Federal
Travel Regulations, FPMR 101-7, Chapter 2, Section 6.3.
Purpose
The purpose of this system is to provide documentary support for
reimbursements to employees.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) Records are used to provide documentary support for
reimbursements to employees for on-the-job and relocation travel
expenses. (2) Users of the information include first and second line
supervisors, NCUA accounting staff, and budgeting staff. (3) Standard
routine uses as set forth in appendix A.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in paper hard copy form and in a computer
system.
Retrievability:
Records are retrievable by social security number.
Safeguards
The paper hard copy records are maintained in secured offices. The
computer disc is located in a secured office and its access is limited
to user employees who know the logical identification access number.
Retention and disposal
Records are maintained in the Division of Accounting Services until
the annual GAO audit is completed. After the audit, the paper hard copy
records are stored in a Federal Records Center for a minimum of three
years and the computer disc is purged.
System manager(s) and address:
Director, Accounting Services Division, Office of the Chief
Financial Officer, National Credit Union Administration, 1775 Duke
Street, Alexandria, Virginia 22314-3428.
Notification procedure:
An individual may inquire as to whether the system contains a
record pertaining to the individual by addressing a request in person
or by mail to the system manager listed above. If there is no record on
the individual, the individual will be so advised.
Record access procedures:
Upon request, the system manager will set forth the procedures for
gaining access to available records.
Contesting record procedures:
Requests to amend or correct a record should be directed to the
system manager listed above.
Record source categories:
Records are prepared by the individual whom the record concerns.
NCUA-5
System name:
Unofficial Personnel and Employee Development and Correspondence
Records
[[Page 77811]]
System location:
For employees of a regional office, the system is located at the
regional office where the employee is assigned, National Credit Union
Administration, (See appendix B for addresses of Regional Offices). For
employees of the central office, the system is located at the assigned
office, National Credit Union Administration, 1775 Duke Street,
Alexandria, Virginia, 22314-3428.
Categories of individuals covered by the system:
NCUA employees.
Categories of records in the system:
The system contains information on NCUA employees assigned to the
particular regional or central office related to some or all of the
following areas: name; address; telephone number; birthdate; ethnicity
and gender codes; cu grade; employee identification number; work
performance appraisals; district management; chartering efforts;
reactions from credit union officials; individual development plans;
supply and equipment information; for new examiners, bi-weekly training
reports, training progress reports and training evaluations; work
product samples; suggestions; awards; data on time and attendance,
leave and pay; memos or notations and evaluations by superiors or
others; benefit elections and designations of beneficiaries; and copies
of personnel, travel and grievance records.
Authority for maintenance of the system:
5 U.S.C. 301; 44 U.S.C. 3301.
Purpose:
Information is used for recording time, attendance and leave,
controlling equipment inventories, contacting employees; evaluating and
training staff, evaluating work progress; and for general
administrative matters. Information may also be used to determine
eligibility for retention or promotion.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) The information in this system may be disclosed to the United
States Office of Personnel Management, the Merit Systems Protection
Board, the Office of Special Counsel, the Equal Employment Opportunity
Commission, the Federal Labor Relations Authority, the General Services
Administration or an arbitrator or agent, to the extent the disclosure
is needed to carry out the government-wide personnel management,
investigatory, adjudicatory and appellate functions within their
respective jurisdictions, or to obtain information. (2) The information
in this system may be disclosed to federal, state, local or
professional licensing boards or Boards of Medical Examiners, when such
records reflect on the qualifications of a licensed individual or an
individual seeking to be licensed. (3) This information is used to
generate a telephone directory for all NCUA employees. (4) Standard
routine uses as set forth in appendix A.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained on paper hard copy as well as electronically
on computer systems or other database applications.
Retrievability:
Records are indexed alphabetically by name or Social Security
number.
Safeguards:
Physical security consists of maintaining records in locked metal
file cabinets within secured offices and password protected computer
systems.
Retention and disposal:
Current and relevant information is maintained generally for a
period of two years. Obsolete material is maintained in the same file
cabinets and is periodically purged and destroyed after two years or
upon employees' separation.
System manager(s) and address:
For employees assigned to a regional office the system manager is
the Director of Management Services, Regional Office, National Credit
Union Administration. (See appendix B for addresses of Regional
Offices). For employees assigned to an office within the central
office, the system manager is the Office Director, National Credit
Union Administration, 1775 Duke Street, Alexandria, Virginia 22314.
Notification procedure:
An individual may inquire as to whether the system contains a
record pertaining to the individual by addressing a request in person
or by mail to the Regional Director where the system is located. If
there is no record on the individual, the individual will be so
advised.
Record access procedures:
Upon request, the Regional Director or Office Director will set
forth the procedures for gaining access to available records.
Contesting record procedures:
Requests to amend or correct a record should be directed to the
Regional Director or Office Director.
Record source categories:
Sources may include the individual whom the record concerns,
supervisors of the individual, fellow employees, credit union
officials, administrative officer or office assistant, and other
persons whom the individual may encounter in the course of work
performance. For payroll- and personnel-related information, the
sources may include the General Service Administration and Office of
Human Resources.
NCUA-6
System name:
Emergency Information (Employee) File.
System location:
For employees of a regional office, the system is located at the
regional office where the employee is assigned, National Credit Union
Administration, (See appendix B for addresses of Regional Offices). For
employees of the central office, the system is located at the assigned
office, National Credit Union Administration, 1775 Duke Street,
Alexandria, Virginia, 22314-3428.
Categories of individuals covered by the system:
NCUA employees; individuals designated by employees as emergency
contacts; family members of employees.
Categories of records in the system:
This system contains personal information about NCUA employees,
such as height, weight, hair color, eye color, current address, and
telephone number, and in some locations may also have a personal cell
telephone number and personal email address. Also, this system
identifies the individual to contact in case of an emergency involving
the employee.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose:
The information in this system is used to maintain employee
identification information in case of emergency.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) The information on the individual to contact in cases of
emergency may be disclosed in case of emergency to any federal, state
or local authority
[[Page 77812]]
responding to the emergency. (2) In the event of an emergency, the
information may be disclosed to the individual listed as a contact in
case of emergency, or other person identified as a family member of the
employee. This list is updated as necessary. The listed information is
used to contact the employee if there is a national emergency. (3)
Standard routine uses as set forth in appendix A.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored on paper hard copy and may also be stored
electronically.
Retrievability:
Records are indexed alphabetically by name and, where stored
electronically as part of a computer system, are subject to electronic
safeguards.
Safeguards:
Records are maintained in locked file drawers or stored
electronically as part of a computer database.
Retention and disposal:
Records are disposed of after an employee is separated from the
agency.
System manager(s) and address:
(1) For employees of a regional office, the system manager is the
regional director of the regional office where the employee is
assigned, National Credit Union Administration, (See appendix B for
addresses of Regional Offices). For employees of the central office,
the system manager is the Office Director of the assigned office,
National Credit Union Administration, 1775 Duke Street, Alexandria,
Virginia, 22314-3428. (2) Security Officer, Administrative Office, at
the same address above.
Notification procedure:
An individual may inquire as to whether the system contains a
record pertaining to the individual by addressing a request in person
or by mail to the appropriate system manager listed above. If there is
no record on the individual, the individual will be so advised.
Record access procedures:
Upon request, the system manager will set forth the procedures for
gaining access to available records.
Contesting record procedures:
Requests to amend or correct a record should be directed to the
appropriate system manager listed above.
Record source categories:
Individual on whom the record is maintained.
NCUA-7
System name:
Employee Injury File.
System location:
Office of Human Resources, National Credit Union Administration,
1775 Duke Street, Alexandria, Virginia 22314-3428.
Categories of individuals covered by the system:
Any employee who has sustained a job-related injury or disease.
Categories of records in the system:
Copies of reports submitted by an individual who has sustained a
job-related injury or disease. Copies of any further claims made
regarding the same injury or disease or any other material required for
documenting and adjudicating the claim.
Authority for maintenance of the system:
Occupational Safety and Health Act of 1970, 29 CFR part 1960.
Purpose:
This information is maintained to provide data to the Department of
Labor, when needed, for adjudication of a claim, and to prepare reports
as required by the Department of Labor.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) Information is disclosed to the Department of Labor. (2)
Standard routine use as set forth in Appendix A.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored on paper in file cabinets.
Retrievability:
Records are indexed by NCUA Region, and date of injury.
Safeguards:
Records are maintained in locked file drawer.
Retention and disposal:
Records are disposed five years after the year to which they
relate.
System manager(s) and address:
Director, Office of Human Resources, National Credit Union
Administration, 1775 Duke Street, Alexandria, Virginia 22314-3428.
Notification procedure:
An individual may inquire as to whether the system contains a
record pertaining to the individual by addressing a request in person
or by mail to the system manager listed above. If there is no record on
the individual, then individual will be so advised.
Record access procedures:
Upon request, the system manager will set forth the procedures for
gaining access to available records.
Contesting record procedures:
Requests to amend or correct a record should be directed to the
system manager listed above.
Record source categories:
Individual on whom the record is maintained; superiors of
individual; individual's physician; hospital attending individual;
Department of Labor.
NCUA-8
System name:
Investigative Reports Involving Any Crime, Suspected Crime or
Suspicious Activity Against A Credit Union.
System location:
Office of General Counsel, National Credit Union Administration,
1775 Duke Street, Alexandria, VA 22314-3428. Computerized records of
Suspicious Activity Reports (SAR), with status updates, are managed by
the Financial Crimes Enforcement Network (FinCEN), Department of the
Treasury, pursuant to a contractual agreement, and are stored in
Detroit, Michigan. Authorized personnel at NCUA's Central Office and
regional offices have on-line access to the computerized database
managed by FinCEN through individual work stations linked to the
database central computer.
Categories of individuals covered by the system:
Directors, officers, committee members, employees, agents, and
persons participating in the conduct of the affairs of federally
insured credit unions who are reported to be involved in suspected
criminal activity or suspicious financial transactions and are referred
to law enforcement officials; and other individuals who have been
involved in irregularities, violations of law, or unsafe or unsound
practices referenced in documents received by the NCUA in the course of
exercising its supervisory functions.
Categories of records in the system:
Inter- and intra-agency correspondence, memoranda and
[[Page 77813]]
reports. The SAR contains information identifying the credit union
involved, the suspected person, the type of suspicious activity
involved, and any witnesses.
Authority for maintenance of the system:
12 U.S.C. 1786 and 1789.
Purpose(s):
The overall system serves as a NCUA repository for investigatory or
enforcement information related to its responsibility to examine and
supervise federally insured credit unions. The system maintained by
FinCEN serves as the database for the cooperative storage, retrieval,
analysis, and use of information relating to Suspicious Activity
Reports made to or by the NCUA Board, the Federal Reserve Board, the
Office of the Comptroller of the Currency, the Federal Deposit
Insurance Corporation, the Office of Thrift Supervision, (collectively,
the federal financial regulatory agencies), and FinCEN to various law
enforcement agencies for possible criminal, civil, or administrative
proceedings based on known or suspected violations affecting or
involving persons, financial institutions, or other entities under the
supervision or jurisdiction of such federal financial regulatory
agencies.
Routine uses of records maintained in the system, including categories
of users, and the purposes of such uses:
Information in these records may be used to: (1) Determine if any
further agency action should be taken. (2) Provide the federal
financial regulatory agencies and FinCEN with information relevant to
their operations; (3) Disclose information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation; (4) With regard to formal
or informal enforcement actions; release information pursuant to 12
U.S.C. 1786(s), which requires the NCUA Board to publish and make
available to the public final orders and written agreements, and
modifications thereto; and (5) Standard routine uses as set forth in
Appendix A.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records will be maintained in electronic data processing
systems and paper files.
Retrievability:
Computer output and file folders are retrievable by indexes of data
fields, including name of the credit union, NCUA Region, and
individuals' names.
Safeguards:
Paper records and word processing discs are stored at the NCUA in
lockable metal file cabinets. The database maintained by FinCEN
complies with applicable security requirements of the Department of the
Treasury. On-line access to the information in the database is limited
to authorized individuals who have been designated by each federal
financial regulatory agency and FinCEN, and each such individual has
been issued a nontransferable identifier or password.
Retention and disposal:
Records are maintained indefinitely.
System manager(s) and address:
General Counsel, NCUA, 1775 Duke Street, Alexandria, VA 22314-3428.
Notification procedure:
Inquiries should be sent to the System Manager as noted above.
Record access procedures:
Same as ``Notification procedure'' above.
Contesting records procedures:
Same as ``Notification procedure'' above.
Record source categories:
Information received by the NCUA Board from various sources,
including, but not limited to law enforcement and other agency
personnel involved in sending inquiries to the NCUA Board, NCUA
examiners, credit union officials, employees, and members. The
information maintained by FinCEN is compiled from SAR and related
historical and updating forms compiled by financial institutions, the
NCUA Board, and the other federal financial regulatory agencies for law
enforcement purposes.
System exempted from certain provisions of the Act:
This system is exempt from 5 U.S.C. 552a(c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4) (G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a(k)(2).
NCUA-9
System name:
Freedom of Information and Privacy Act Requests and Invoices
System location:
For requests processed by the central office, the system is located
at the Office of General Counsel, National Credit Union Administration,
1775 Duke Street, Alexandria, Virginia 22314-3428. For requests
processed by the Office of Inspector General, the system is located in
the Office of the Inspector General, National Credit Union
Administration, 1775 Duke Street, Alexandria, Virginia 22314.
Categories of individuals covered by the system:
This system of records includes information pertaining to any
Freedom of Information Act (FOIA) or Privacy Act requester.
Categories of records in the system:
The system may contain the requester's name, company name or
organization, address, date of request, invoice number, amount due,
phone number, social security or tax identification number, description
of information requested and documents located or result of search for
documents.
Authority for maintenance of the system: 12 U.S.C. 1789, 5 U.S.C.
552, 5 U.S.C. 552a.
Purpose:
Records in this system are used to process requests received. These
records may be used by the NCUA for collection of the amount due, as
well as to identify subsequent requests made by the same individuals.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) The information may be disclosed to a consumer reporting
agency. The information disclosed to a consumer reporting agency is
limited to: (a) Information necessary to establish the identity of the
individual, including name, address, and social security or taxpayer
identification number; (b) the amount, status, and history of the
claim; and (c) the agency or program under which the claim arose.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained on paper hard copy and computer disk.
Retrievability:
Records in this system are retrievable by requester's name, company
name or organization, date of request, category of requester, request
number, or invoice number.
Safeguards:
Physical security consists of storing records on a password
protected
[[Page 77814]]
computer database and a hard copy secured in a metal file cabinet which
is accessible only to those individuals responsible for processing
requests and collecting outstanding payments.
Retention and disposal:
Records are retained for various periods depending on the
determination made on the request, but normally no greater than six
years following the year in which the request was processed.
System manager(s) and address:
For requests processed at the central office, the system manager is
the Freedom of Information Act Officer, Office of General Counsel,
National Credit Union Administration, 1775 Duke Street, Alexandria,
Virginia 22314. For requests processed by the Office of Inspector
General, the system manager is the Inspector General, National Credit
Union Administration, 1775 Duke Street, Alexandria, Virginia 22314.
Notification procedure:
An individual may inquire as to whether the system contains a
record pertaining to the individual by addressing a request in person
or by mail to the system manager listed above. If there is no record on
the individual, the individual will be so advised.
Record access procedures:
Upon request, the system manager will set forth the procedures for
gaining access to available records.
Contesting record procedures:
Requests to amend or correct a record should be directed to the
system manager listed above.
Record source categories:
The sources of records for this system of records are the FOIA and
Privacy Act request files.
NCUA-10
System name:
Liquidating Credit Union Records System.
System location:
Information within this system of records is located at the Asset
and Management Assistance Center (AMAC) 4807 Spicewood Springs Road,
Suite 5100, Austin, Texas 78759.
Categories of individuals covered by the system:
Members, employees and creditors of liquidating federally-insured
credit unions.
Categories of records in the system:
Share and account records; personal data regarding income and
debts; payment or employment history; accounts payable records.
Authority for maintenance of the system:
12 U.S.C. 1787.
Purpose:
The information in this system is used to determine insurance,
collect loan amounts due and for all purposes necessary to close out
the affairs of the liquidated credit union.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) Information is used for payment of insurance claims to
shareholders in liquidating federally-insured credit unions. (2)
Information is used in the collection of outstanding loans, which may
include referral of information to third party servicer providers or
potential purchasers of the loans. (3) Information is used for all
purposes necessary to close out the affairs of the liquidated credit
union and carry out all appropriate liquidation-related functions of
NCUA. (4) Information may be disclosed to address locators or a surety
company in pursuit of a fidelity bond claim. (5) Information on
unclaimed insured shares is included in a database on the NCUA web site
after other efforts to locate account holders have failed. (6)
Information may be disclosed to the appropriate federal, state or local
government agency, such as the Internal Revenue Service, if required by
law or regulation or upon appropriate request. (7) Standard routine
uses as set forth in Appendix A.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
This information is maintained on computer databases and hard copy.
Copies of share and loan documents, incoming payments, and loan
portfolios may also be maintained on microfilm copy.
Retrievability:
Information is indexed by name of individual and by name of closed
insured credit union.
Safeguards:
Information is maintained in secured offices and in password
protected computer databases.
Retention and disposal:
Information is maintained for six years following the appointment
of the NCUA Board as liquidating agent of an insured credit union after
which the system manager may destroy any records that the system
manager determines are unnecessary unless directed not to do so by a
court of competent jurisdiction or governmental agency or prohibited by
law.
System manager(s) and address:
President, AMAC, 4807 Spicewood Springs Road, Suite 5100, Austin,
Texas 78759.
Notification procedure:
An individual may inquire as to whether the system contains
information pertaining to the individual by addressing a request in
person or by mail to the system manager listed above. If there is no
information on the individual, the individual will be so advised.
Written inquiries should include name of inquirer, name of closed
insured credit union of which inquirer was a member, and share and loan
account numbers, if known.
Record access procedures:
Upon request, the system manager will set forth the procedures for
gaining access to available information.
Contesting record procedures:
Requests to amend or correct a record should be directed to the
system manager listed above. Record source categories: information is
obtained from outside address locators; share and loan account files of
the liquidating credit union of which the individual was a member;
third party service providers; and credit bureaus.
NCUA-11
System name:
Office of Inspector General (OIG) Investigative Records.
System location:
Office of Inspector General, NCUA, 1775 Duke Street, Alexandria, VA
22314-3428.
Categories of individuals covered by the system:
Subjects of investigation, complainants, and witnesses referred to
in complaints or actual investigative cases, reports, accompanying
documents, and correspondence prepared by, compiled by, or referred to
the OIG.
Categories of records in the system:
The system is comprised of paper files of all OIG and some
predecessor Office of Internal Auditor reports, correspondence, cases,
matters, cross-indices, memoranda, materials, legal papers, evidence,
exhibits, data, and workpapers pertaining to all closed and pending
investigations and inspections.
[[Page 77815]]
Authority for maintenance of the system:
The Inspector General Act of 1978, as amended, 5 U.S.C. App.3; 12
U.S.C. 1766.
Purpose:
Records in this system document the investigative work of the
Office of Inspector General.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The National Credit Union Administration Office of Inspector
General (OIG) may disclose information contained in a record in this
system of records without the consent of the individual if the
disclosure is compatible with the purpose for which the record was
collected, under the following routine uses. (1) The OIG may disclose
information from this system of records as a routine use to any public
or private source, including a federal, state, or local agency
maintaining civil, criminal, or other relevant enforcement information
or other pertinent information, but only to the extent necessary for
the OIG to obtain information from those sources relevant to an OIG
investigation, audit, inspection, or other inquiry. (2) The OIG may
disclose information from this system of records as a routine use to
the Department of Justice to the extent necessary to obtain its legal
advice on any matter relevant to an OIG investigation, audit,
inspection, or other inquiry related to the responsibilities of the
OIG. (3) The OIG may disclose information to other federal entities,
such as other Offices of Inspector General, to the General Accounting
Office, or to a private party with which the OIG or the NCUA has
contracted or with which it contemplates contracting, for the purpose
of auditing or reviewing the performance or internal management of the
OIG's investigative program, or for performing any other functions or
analyses that facilitate or are relevant to an OIG investigation,
audit, inspection or other inquiry. Such contractor or private firm
shall be required to maintain Privacy Act safeguards with respect to
such information. (4) The OIG may disclose information from this system
of records to any Federal, State, local, or foreign agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization,
if necessary to obtain information relevant to an OIG decision
concerning the retention of an employee or other personnel action
(other than hiring), the retention of a security clearance, the letting
of a contract, or the issuance or retention of a grant or other
benefit. (5) The OIG may disclose information in this system to
federal, state, local or professional licensing boards or Boards of
Medical Examiners, when such records reflect on the qualifications of a
licensed individual or an individual seeking to be licensed. (6) The
OIG may disclose information from this system of records for the
purposes set forth in Appendix A.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Information contained in this system is stored manually in files.
Retrievability:
Information is retrieved in files by case number, general subject
matter, or name of the subject of investigation.
Safeguards:
Case reports and workpapers are maintained in approved security
containers and locked filing cabinets in a locked room. Associated
paper records are stored in locked metal filing cabinets, safes, or
similar secure facilities.
Retention and disposal:
Investigative Case Files 1. Case files are normally destroyed when
they are 5 years old. 2. Significant cases (those that result in
national media attention, congressional investigation, or substantive
changes in agency policy or procedures)--To be determined by the
National Archives and Records Administration on a case-by-case basis.
System manager(s) and address:
Inspector General, National Credit Union Administration, 1775 Duke
Street, Alexandria, VA 22314-3428.
Notification procedure:
This System of Records is generally exempt from the notice, access,
and amendment requirements of the Privacy Act. However, the NCUA will
entertain written requests to the systems manager on a case by case
basis for notification regarding whether this system of records
contains information about an individual. Requests should be marked
``Privacy Act request,'' and should state the name and address of the
requester, and provide a notarized statement, or other documentation,
e.g., copy of a driver's license, attesting to the individual's
identity. Requests submitted on behalf of other persons must include
their written authorizations. Such requests in the form prescribed may
also be presented in person at the Office of Inspector General,
National Credit Union Administration, 1775 Duke Street, Alexandria, VA
22314-3428. Simultaneously with requesting notification of inclusion in
this system of records, the individual may request record access as
described in this section.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
The OIG collects information from many sources, including the
subject individuals, employees of the NCUA, other government employees,
and witnesses and informants, and non-governmental sources.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(j)(2), this system of records is exempt
from subsections (c)(3) and (4), (d), (e)(1), (e)(2), (e)(3),
(e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (f) and (g) of the
Act. This exemption applies to information in the system that relates
to criminal law enforcement and meets the criteria of the (j)(2)
exemption. Pursuant to 5 U.S.C. 552(k)(2), to the extent that the
system contains investigative material compiled for law enforcement
purposes, other than material within the scope of subsection (j)(2),
this system of records is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1),
(G), (H), and (I), and (f). The exemption rule is contained in 12 CFR
792.66 of the NCUA regulations.
NCUA-12
System name:
Consumer Complaints Against Federal Credit Unions.
System location:
Information is maintained in NCUA's regional offices (see Appendix
B for regional office locations).
Categories of individuals covered by the system:
Persons who submit complaints concerning operating federal credit
unions.
Categories of records in the system:
Complaint letters, investigation reports, and related
correspondence concerning the complainants and the federal credit union
involved.
Authority for maintenance of the system:
12 U.S.C. 1766(i)(1) and 1789(a)(7); 5 U.S.C. 301; 15 U.S.C. 1601-
1693.
[[Page 77816]]
Purpose:
This system documents the number and type of consumer complaints
received and processed by NCUA.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) Information may be disclosed to officials of federal credit
unions and other persons mentioned in a complaint or identified during
an investigation. (2) Disclosures may be made to the Federal Reserve
Board, other federal financial regulatory agencies, the Federal
Financial Institutions Examination Council, the White House Office of
Consumer Affairs, and the Congress, or any of its authorized committees
in fulfilling reporting requirements or assessing implementation of
applicable laws and regulations. (Such disclosures will be made in a
nonidentifiable manner when feasible and appropriate.) (3) Referrals
may also be made to other federal and nonfederal supervisory or
regulatory authorities when the subject matter is a complaint or
inquiry which is more properly within such agency's jurisdiction. (4)
Standard routine uses as set forth in Appendix A.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored on paper or computer database.
Retrievability:
Records are retrievable from files by federal credit union name, by
complainant name, or assigned control number.
Safeguards:
Records are maintained in secured offices in either a file cabinet
or on a password protected computer system.
Retention and disposal:
Records are retained for three years and then destroyed. Consumer's
name, federal credit union's name, subject of complaint, date received,
and date resolved are kept until no longer needed.
System manager(s) and address:
The System Manager is the Regional Director in the regional office
where the complaint was processed. (See Appendix B for Regional Office
addresses.)
Notification procedure:
An individual may inquire as to whether the system contains a
record pertaining to the individual by addressing a request in person
or by mail to the system manager listed above. If there is no record on
the individual, the individual will be so advised.
Record access procedures:
Upon request, the system manager will set forth the procedures for
gaining access to available records.
Contesting record procedures:
Request to amend or correct a record should be directed to the
system manager listed above.
Record source categories:
Complainant (and his or her representative, which may include,
e.g., a member of Congress or an attorney); federal credit union
officials; employees and members of the credit union involved; and NCUA
examiners and central files on federal credit unions.
NCUA-13
System name:
Litigation Case Files.
System location:
Office of General Counsel, National Credit Union Administration,
1775 Duke Street, Alexandria, Virginia 22314-3428.
Categories of individuals covered by the system:
Records are maintained in files by the case name of individuals who
are: the subject of NCUA investigations made in contemplation of legal
action; involved in civil litigation with NCUA or involved in
administrative proceedings; involved in litigation of interest to NCUA;
or pursuing tort claims.
Categories of records in the system:
Records in case files include: Investigative reports relating to
possible felonies or violations of the Federal Credit Union Act;
transcripts of testimony or affidavits; documents and other evidentiary
matters, pleadings and other documents filed in court; orders filed or
issued in civil, administrative or criminal proceedings; correspondence
relating to investigatory or litigation matters; information provided
by the individual under investigation or from a federal credit union;
and other memoranda gathered and prepared by staff in performance of
their duties.
Authority for maintenance of the system:
12 U.S.C. 1766, 1786, 1787, and 1789; 28 U.S.C. 2671-2680.
Purpose:
This system documents the preparation and progress of legal
proceedings and investigations conducted by the Office of General
Counsel.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) The staff of the Office of General Counsel may use such records
to render legal advice concerning investigations or courses of legal
action; to represent NCUA in all judicial and administrative
proceedings in which NCUA or any of its employees who, within the scope
of employment and in an official capacity, is a party; or to intervene
as an amicus curiae. (2) The information in this system may be
disclosed to federal, state, local or professional licensing boards or
Boards of Medical Examiners, when such records reflect on the
qualifications or fitness of a licensed individual or an individual
seeking to be licensed. (3) Standard routine uses set forth in Appendix
A.
System manager(s) and address:
General Counsel, National Credit Union Administration, 1775 Duke
Street, Alexandria, Virginia 22314-3428.
Notification procedure:
An individual may inquire as to whether the system contains a
record pertaining to the individual by addressing a request in person
or by mail to the system manager listed above. If there is no record on
the individual, the individual will be so advised.
Record access procedures:
Upon request, the system manager will set forth the procedures for
gaining access to available records.
Contesting record procedures:
Requests to amend or correct a record should be directed to the
system manager listed above.
Record source categories:
Record source categories vary depending upon the legal issue but
generally are obtained from the following: NCUA staff and internal
agency memoranda; federal employees and private parties involved in
torts; contracts; federal credit union files or officials; general law
texts and sources; law enforcement officers; witnesses and others;
administrative and court pleadings, transcripts or judicial orders/
decisions; evidence gathered in connection with the matter involved;
and from individuals to whom the records relate.
Systems exempted from certain provisions of the act:
This system is subject to the specific exemption provided by 5
U.S.C. 552a(k)(2), as the system of records is investigatory material
compiled for law enforcement purposes.
[[Page 77817]]
NCUA-14
System Name:
Bank of America Electronic Access Government Ledger System (EAGLS).
System Location:
Bank of America Government Card Services (Norfolk, Virginia).
Categories of individuals covered by the system:
Employees of NCUA with individually billed government travel cards
and/or centrally billed government travel cards.
Categories of records in the system:
NCUA employee credit card data, including name and address, and
past and present charges to account.
Authority for maintenance of the system:
Federal Travel Regulations, Travel and Transportation Reform Act of
1998 (Pub. L. 105-264).
Purpose:
The purpose of this system is for the Office of the Chief Financial
Officer (OCFO) to monitor the usage of the government travel card by
NCUA employees and to assure timely payments of accounts.
Routine uses of records maintained in the system, including categories
of users and purposes of such uses:
The system can be used by individual cardholders to access their
own account information to monitor charges, payments, change their
address, etc. It is also used by OCFO to provide oversight of the
travel card program by monitoring card usage in order to reduce card
misuse, abuse, and delinquencies.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in a database that is accessible by Internet
over a 128-bit encryption secure connection.
Retrievability:
Records are retrieved by name or account number.
Safeguards:
Records are maintained in a secure database that can only be
accessed with a username and password provided by Bank of America after
receipt of an application submitted by the OCFO. Only authorized staff
in OCFO can access multiple employee records, all other employees can
only access their own account information within the EAGLS system.
Retention and disposal:
All account activity (charges, payments, credits, etc.) is retained
in the EAGLS system for 36 months. All information on closed accounts
(name, address, activity) is retained for 36 months before it is
permanently removed from the EAGLS system.
System manager(s) and address:
Deputy Financial Officer, Office of the Chief Financial Officer,
National Credit Union Administration, 1775 Duke Street, Alexandria,
Virginia 22314-3428.
Notification procedure:
An individual may inquire about his/her personal account
information by accessing the EAGLS system with a username and password
provided to them by Bank of America or by written request to OCFO.
Record access procedures:
Upon approval of the cardholder application and issuance of the
government travel card by BOA, a username and password is also
submitted to the cardholder for access to their account information in
EAGLS.
Contesting record procedures:
Requests to amend or correct a record should be submitted online
through the EAGLS system or submitted in writing to OCFO.
Record source categories:
Records are prepared by the individual whom the record concerns by
submission of an application to Bank of America and by the subsequent
activity to the individual's account.
NCUA-15
System Name:
Contract Employee Pay and Leave Records.
System Location:
Information within this system of records is located at the Asset
Management and Assistance Center (AMAC) 4807 Spicewood Springs Road,
Suite 5100, Austin TX 78759, and the payroll processor, Paychex of San
Antonio, Texas.
Categories of individuals covered by the system:
Contract employees hired by the Agent for the Liquidating Agent for
work on liquidation cases.
Categories of records in the system:
Wages and related payroll data, including leave records.
Authority for maintenance of the system:
Fair Labor Standards Act.
Purpose:
This system documents employee information and ensures that
employees receive proper compensation.
Routine uses of records maintained in the system, including categories
of users and purposes of such uses:
Information is used to document time worked and provide a record of
attendance to support payment of wages and use of leave. Users of the
system include the payroll officer (financial analyst), the employee's
supervisor, and Paychex.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders.
Retrievability:
Records are retrieved by name.
Safeguards:
Records are maintained in a secured file cabinet, accessible only
to the payroll officer and division manager.
Retention and disposal:
Records are retained and disposed of in accordance with the Fair
Labor Standards Act.
System manager(s) and address:
Primary: Financial Analyst, Asset Management and Assistance Center
(4807 Spicewood Springs Road, Suite 5100, Austin TX 78759).
Secondary: Division of Accounting Service Director, Asset
Management and Assistance Center (4807 Spicewood Springs Road, Suite
5100, Austin TX 78759).
Notific