Privacy Act of 1974, as Amended; System of Records, 61131-61164 [E7-21167]

Agencies

• FEDERAL DEPOSIT INSURANCE CORPORATION

[Federal Register Volume 72, Number 208 (Monday, October 29, 2007)]
[Notices]
[Pages 61131-61164]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-21167]


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FEDERAL DEPOSIT INSURANCE CORPORATION


Privacy Act of 1974, as Amended; System of Records

AGENCY: Federal Deposit Insurance Corporation.

ACTION: Notice of new and revised systems of records.

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SUMMARY: The Federal Deposit Insurance Corporation (``FDIC'') proposes 
to add three new systems of records to its collection of systems of 
records notices published pursuant to the Privacy Act of 1974. These 
new systems of records are entitled: Office of the Chairman 
Correspondence Records; Congressional Correspondence Records; and, 
Legislative Information Tracking System Records. The FDIC also proposes 
to revise twenty-three existing systems of records to update various 
system elements and to add routine use language recommended by the 
President's Task Force on Identity Theft. We hereby publish this notice 
for comment on the proposed actions.

DATES: Comments on the proposed systems of records must be received on 
or before November 28, 2007. The proposed systems of records will 
become effective 45 days following publication in the Federal Register, 
unless a superseding notice to the contrary is published before that 
date.

ADDRESSES: You may submit written comments by any of the following 
methods:
     Agency Web site: Located at https://www.fdic.gov/
regulations/laws/federal/propose.html. Follow instructions for 
submitting comments on this Web site.
     E-mail: Send to comments@fdic.gov. Include ``Notice of New 
and Revised FDIC Systems of Records'' in the subject line.
     Mail: Send to Fredrick L. Fisch, Supervisory Counsel, 
Attention: Comments, FDIC System of Records, 550 17th Street, NW., 
Washington, DC 20429.
    All submissions should refer to ``Notice of New and Revised FDIC 
System of Records.'' Comments may also be inspected and photocopied in 
the FDIC Public Information Center, 3501 North Fairfax Drive, Room E-
1002, Arlington, Virginia 22226, between 9 a.m. and 5 p.m. (EST), 
Monday to Friday.

FOR FURTHER INFORMATION CONTACT: Fredrick L. Fisch, Supervisory 
Counsel, FOIA & Privacy Act Group, FDIC, 550 17th Street, NW., 
Washington, DC 20429, (202) 898-6901.

SUPPLEMENTARY INFORMATION: In accordance with the Privacy Act of 1974, 
as amended, the FDIC has conducted a review of its Privacy Act systems 
of records and has determined that it needs to introduce three new 
systems of records, and to revise twenty-three existing system of 
records notices. The FDIC previously published one or more of its 
existing system of records notices at various times. These publications 
may be viewed at the FDIC's Privacy Act Web page: https://www.fdic.gov/
about/privacy/.
    The FDIC proposes to revise twenty-three existing system of records 
notices. There are four types of revisions: (1) Generalized edits to 
make it easier to read and understand through consistent style, 
formatting, and manner of presentation; (2) minor, technical amendments 
necessitated by organizational changes within the FDIC; (3) minor 
revisions to clarify or more accurately describe various system 
elements and to insure the use of consistent language wherever 
possible; and (4) elaboration of the FDIC's routine uses for 
consistency with other FDIC notices, and to fulfill new requirements 
for routine uses including responding to, preventing, minimizing, or 
remedying, harm that may result from a data breach or compromise.
    The FDIC also proposes to add three new system of records notices 
to cover information maintained by new data technology systems that 
collect, process, or store personal information. The first new system 
of records is designated as FDIC-30-64-0028 (Office of the Chairman 
Correspondence Records). This system of records will be used to support 
the administration of correspondence addressed to the FDIC, Office of 
the Chairman. The second new system of records is designated as FDIC-
30-64-0029 (Congressional Correspondence Records). This system of 
records will be used to document and respond to constituent and other 
inquiries forwarded by Members of the U.S. Congress or Congressional 
staff. The third new system of records is designated as FDIC-30-64-0030 
(Legislative Information Tracking System Records). This system of 
records will be used to track Congressional inquiries and ensure that 
responses are made in a timely manner. More detailed information on the 
proposed new and revised systems of records may be viewed in the 
complete text below.
Index of FDIC Privacy Act Systems of Records in This Publication
    FDIC 30-64-0001 Attorney and Legal Intern Applicant Records
    FDIC 30-64-0002 Financial Institution Investigative and Enforcement 
Records

[[Page 61132]]

    FDIC 30-64-0003 Administrative and Personnel Action Records
    FDIC 30-64-0004 Changes in Financial Institution Control Ownership 
Records
    FDIC 30-64-0005 Consumer Complaint and Inquiry Records
    FDIC 30-64-0006 Employee Confidential Financial Disclosure Records
    FDIC 30-64-0007 Employee Training Information Records
    FDIC 30-64-0008 Chain Banking Organizations Identification Records
    FDIC 30-64-0009 Safety and Security Incident Records
    FDIC 30-64-0010 Investigative Files of the Office of Inspector 
General
    FDIC 30-64-0011 Corporate Recruiting, Evaluating, and Electronic 
Referral System
    FDIC 30-64-0012 Financial Information Management Records
    FDIC 30-64-0013 Insured Financial Institution Liquidation Records
    FDIC 30-64-0016 Professional Qualification Records for Municipal 
Securities Dealers, Municipal Securities Representatives and U.S. 
Government Securities Brokers/Dealers
    FDIC 30-64-0017 Employee Medical and Health Assessment Records
    FDIC 30-64-0018 Grievance Records
    FDIC 30-64-0019 Potential Bidders List
    FDIC 30-64-0020 Telephone Call Detail Records
    FDIC 30-64-0021 Fitness Center Records
    FDIC 30-64-0022 Freedom of Information Act and Privacy Act Request 
Records
    FDIC 30-64-0023 Affordable Housing Program Records
    FDIC 30-64-0024 Unclaimed Deposit Account Records
    FDIC 30-64-0025 Beneficial Ownership Filings (Securities Exchange 
Act)
    FDIC 30-64-0028 Office of the Chairman Correspondence Records
    FDIC 30-64-0029 Congressional Correspondence Records
    FDIC 30-64-0030 Legislative Information Tracking System Records
FDIC-30-64-0001

System Name:
    Attorney and Legal Intern Applicant Records.

Security Classification:
    Unclassified but sensitive.

System Location:
    Legal Division, FDIC, 550 17th Street, NW., Washington, DC 20429.

Categories of Individuals Covered By the System:
    Applicants for the position of attorney or legal intern with the 
Legal Division of the FDIC.

Categories of Records In the System:
    Contains correspondence from the applicants and individuals whose 
names were provided by the applicants as references; applicants' 
resumes; application forms; and in some instances, comments of 
individuals who interviewed applicants; documents relating to an 
applicant's suitability or eligibility; writing samples; and copies of 
academic transcripts and class ranking.

Authority for Maintenance of the System:
    Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).

Purpose:
    The information in this system is used to evaluate the 
qualifications of individuals who apply for attorney or legal intern 
positions in the Legal Division.

Routine Uses of Records Maintained In the System, Including Categories 
of Users and the Purposes of Such Uses:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, all or a portion of the records or 
information contained in this system may be disclosed outside the FDIC 
as a routine use as follows:
    (1) To appropriate Federal, State, and local authorities 
responsible for investigating or prosecuting a violation of, or for 
enforcing or implementing a statute, rule, regulation, or order issued, 
when the information indicates a violation or potential violation of 
law, whether civil, criminal, or regulatory in nature, and whether 
arising by general statute or particular program statute, or by 
regulation, rule, or order issued pursuant thereto;
    (2) To a court, magistrate, or other administrative body in the 
course of presenting evidence, including disclosures to counsel or 
witnesses in the course of civil discovery, litigation, or settlement 
negotiations or in connection with criminal proceedings, when the FDIC 
is a party to the proceeding or has a significant interest in the 
proceeding, to the extent that the information is determined to be 
relevant and necessary;
    (3) To a congressional office in response to an inquiry made by the 
congressional office at the request of the individual who is the 
subject of the record;
    (4) To appropriate Federal, State, local authorities, and other 
entities when (a) it is suspected or confirmed that the security or 
confidentiality of information in the system has been compromised; (b) 
there is a risk of harm to economic or property interests, identity 
theft or fraud, or harm to the security or integrity of this system or 
other systems or programs that rely upon the compromised information; 
and (c) the disclosure is made to such agencies, entities, and persons 
who are reasonably necessary to assist in efforts to respond to the 
suspected or confirmed compromise and prevent, minimize, or remedy such 
harm;
    (5) To appropriate Federal, State, and local authorities in 
connection with hiring or retaining an individual, conducting a 
background security or suitability investigation, adjudication of 
liability, or eligibility for a license, contract, grant, or other 
benefit;
    (6) To appropriate Federal, State, and local authorities, agencies, 
arbitrators, and other parties responsible for processing any personnel 
actions or conducting administrative hearings or corrective actions or 
grievances or appeals, or if needed in the performance of other 
authorized duties;
    (7) To appropriate Federal agencies and other public authorities 
for use in records management inspections;
    (8) To contractors, grantees, volunteers, and others performing or 
working on a contract, service, grant, cooperative agreement, or 
project for the Federal Government;
    (9) To officials of a labor organization when relevant and 
necessary to their duties of exclusive representation concerning 
personnel policies, practices, and matters affecting working 
conditions; and
    (10) To individuals or concerns whose names were supplied by the 
applicant as references and/or past or present employers in requesting 
information about the applicant.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records In the System:
Storage:
    Records are stored in paper format within individual file folders 
in file cabinets.

    Note: In the future all or some portion of the records may be 
stored in electronic media. These records will be: Stored on a 
secured computer server; password protected; and accessible only by 
authorized personnel.

Retrievability:
    Individual file folders are indexed and retrieved by name. Records 
of

[[Page 61133]]

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

Safeguards:
    Records are maintained in lockable metal file cabinets accessible 
only by authorized personnel.

Retention and Disposal:
    Records of unsuccessful applicants are retained two years after 
their submission; records of successful applicants become a part of the 
Personnel Records system of records (FDIC 30-64-0015) and are retained 
two years after the applicant leaves the employ of the FDIC.

System Manager(s) and Address:
    Assistant General Counsel, Legal Division, FDIC, 550 17th Street, 
NW., Washington, DC 20429.

Notification Procedure:
    Individuals wishing to determine if they are named in this system 
of records or who are seeking access or amendment to records maintained 
in this system of records must submit their request in writing to 
Privacy@FDIC.Gov or to the Legal Division, FOIA & Privacy Act Group, 
FDIC, 550 17th Street, NW., Washington, DC 20429, in accordance with 
FDIC regulations at 12 CFR Part 310. Individuals requesting their 
records must provide their name, address and a notarized statement 
attesting to their identity.

Record Access Procedures:
    See ``Notification Procedure'' above.

Contesting Record Procedures:
    See ``Notification Procedure'' above. Individuals wishing to 
contest or amend information maintained in this system should specify 
the information being contested, the reasons for contesting it, and the 
proposed amendment to such information in accordance with FDIC 
regulations at 12 CFR Part 310.

Record Source Categories:
    The information is obtained from the applicants; references 
supplied by the applicants; current and/or former employers of the 
applicants; and FDIC employees who interviewed the applicants.

Exemptions Claimed for the System:
    Pursuant to 12 CFR Part 310.13(b), investigatory material compiled 
solely for the purpose of determining suitability, eligibility, or 
qualifications for FDIC employment may be withheld from disclosure to 
the extent that disclosure of such material would reveal the identity 
of a source who furnished information to the FDIC under an express 
promise of confidentiality.
FDIC-30-64-0002

System Name:
    Financial Institution Investigative and Enforcement Records.

Security Classification:
    Unclassified but sensitive.

System Location:
    Division of Supervision and Consumer Protection, FDIC, 550 17th 
Street, NW., Washington, DC 20429.

Categories Of Individuals Covered By The System:
    (1) Individuals who participate or have participated in the conduct 
of or who are or were connected with financial institutions, such as 
directors, officers, employees, and customers, and who have been named 
in suspicious activity reports or administrative enforcement orders or 
agreements. Financial institutions include banks, savings and loan 
associations, credit unions, other similar institutions, and their 
affiliates whether or not federally insured and whether or not 
established or proposed.
    (2) Individuals, such as directors, officers, employees, 
controlling shareholders, or persons who are the subject of background 
checks designed to uncover criminal activities bearing on the 
individual's fitness to be a director, officer, employee, or 
controlling shareholder.

Categories Of Records In The System:
    Contains interagency or intra-agency correspondence or memoranda; 
criminal referral reports; suspicious activity reports; newspaper 
clippings; Federal, State, or local criminal law enforcement agency 
investigatory reports, indictments and/or arrest and conviction 
information; and administrative enforcement orders or agreements. Note: 
Certain records contained in this system (principally criminal 
investigation reports prepared by the Federal Bureau of Investigation, 
Secret Service, and other federal law enforcement agencies) are the 
property of federal law enforcement agencies. Upon receipt of a request 
for such records, the FDIC will notify the proprietary agency of the 
request and seek guidance with respect to disposition. The FDIC may 
forward the request to that agency for processing in accordance with 
that agency's regulations.

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

PURPOSE:
    The information is maintained to support the FDIC's regulatory and 
supervisory functions by providing a centralized system of information 
(1) for conducting and documenting investigations by the FDIC or other 
financial supervisory or law enforcement agencies regarding conduct 
within financial institutions by directors, officers, employees, and 
customers, which may result in the filing of suspicious activity 
reports or criminal referrals, referrals to the FDIC Office of the 
Inspector General, or the initiation of administrative enforcement 
actions; and (2) to identify whether an individual is fit to serve as a 
financial institution director, officer, employee or controlling 
shareholder.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, all or a portion of the records or 
information contained in this system may be disclosed outside the FDIC 
as a routine use as follows:
    (1) To appropriate Federal, State, and local authorities 
responsible for investigating or prosecuting a violation of, or for 
enforcing or implementing a statute, rule, regulation, or order issued, 
when the information indicates a violation or potential violation of 
law, whether civil, criminal, or regulatory in nature, and whether 
arising by general statute or particular program statute, or by 
regulation, rule, or order issued pursuant thereto;
    (2) To a court, magistrate, or other administrative body in the 
course of presenting evidence, including disclosures to counsel or 
witnesses in the course of civil discovery, litigation, or settlement 
negotiations or in connection with criminal proceedings, when the FDIC 
is a party to the proceeding or has a significant interest in the 
proceeding, to the extent that the information is determined to be 
relevant and necessary;
    (3) To a congressional office in response to an inquiry made by the 
congressional office at the request of the individual who is the 
subject of the record;
    (4) To appropriate Federal, State, local authorities, and other 
entities when (a) it is suspected or confirmed that the security or 
confidentiality of information in the system has been compromised; (b) 
there is a risk of harm

[[Page 61134]]

to economic or property interests, identity theft or fraud, or harm to 
the security or integrity of this system or other systems or programs 
that rely upon the compromised information; and (c) the disclosure is 
made to such agencies, entities, and persons who are reasonably 
necessary to assist in efforts to respond to the suspected or confirmed 
compromise and prevent, minimize, or remedy such harm;
    (5) To appropriate Federal, State, and local authorities in 
connection with hiring or retaining an individual, conducting a 
background security or suitability investigation, adjudication of 
liability, or eligibility for a license, contract, grant, or other 
benefit;
    (6) To appropriate Federal, State, and local authorities, agencies, 
arbitrators, and other parties responsible for processing any personnel 
actions or conducting administrative hearings or corrective actions or 
grievances or appeals, or if needed in the performance of other 
authorized duties;
    (7) To appropriate Federal agencies and other public authorities 
for use in records management inspections;
    (8) To contractors, grantees, volunteers, and others performing or 
working on a contract, service, grant, cooperative agreement, or 
project for the Federal Government;
    (9) To officials of a labor organization when relevant and 
necessary to their duties of exclusive representation concerning 
personnel policies, practices, and matters affecting working 
conditions;
    (10) To a financial institution affected by enforcement activities 
or reported criminal activities;
    (11) To the Internal Revenue Service and appropriate State and 
local taxing authorities;
    (12) To other Federal, State or foreign financial institutions 
supervisory or regulatory authorities; and
    (13) To the Department of the Treasury, federal debt collection 
centers, other appropriate federal agencies, and private collection 
contractors or other third Parties authorized by law, for the purpose 
of collecting or assisting in the collection of delinquent debts owed 
to the FDIC. Disclosure of information contained in these records will 
be limited to the individual's name, Social Security number, and other 
information necessary to establish the identity of the individual, and 
the existence, validity, amount, status and history of the debt.

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

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records In the System:
Storage:
    Records are stored in electronic media and in paper format within 
individual file folders.

Retrievability:
    Records are indexed and retrieved by name of the individual.

Safeguards:
    Electronic files are password protected and accessible only by 
authorized persons. File folders are maintained in lockable metal file 
cabinets.

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

SYSTEM MANAGERS AND ADDRESS:
    Director, Division of Supervision and Consumer Protection, FDIC, 
550 17th Street, NW., Washington, DC 20429.

NOTIFICATION PROCEDURE:
    Individuals wishing to determine if they are named in this system 
of records or who are seeking access or amendment to records maintained 
in this system of records must submit their request in writing to 
Privacy@FDIC.Gov or to the Legal Division, FOIA & Privacy Act Group, 
FDIC, 550 17th Street, NW., Washington, DC 20429, in accordance with 
FDIC regulations at 12 CFR Part 310. Individuals requesting their 
records must provide their name, address and a notarized statement 
attesting to their identity.

RECORD ACCESS PROCEDURES:
    See ``Notification Procedure'' above.

CONTESTING RECORD PROCEDURES:
    See ``Notification Procedure'' above. Individuals wishing to 
contest or amend information maintained in this system should specify 
the information being contested, the reasons for contesting it, and the 
proposed amendment to such information in accordance with FDIC 
regulations at 12 CFR Part 310.

RECORD SOURCE CATEGORIES:
    Financial institutions; financial institution supervisory or 
regulatory authorities; newspapers or other public records; witnesses; 
current or former FDIC employees; criminal law enforcement and 
prosecuting authorities.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    Portions of the records in this system of records were compiled for 
law enforcement purposes and are exempt from disclosure under 12 CFR 
Part 310.13 and 5 U.S.C. 552a(k)(2). Federal criminal law enforcement 
investigatory reports maintained as part of this system may be the 
subject of exemptions imposed by the originating agency pursuant to 5 
U.S.C. 552a(j)(2).
FDIC-30-64-0003

SYSTEM NAME:
    Administrative and Personnel Action Records.

SECURITY CLASSIFICATION:
    Unclassified but sensitive.

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

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who have been the subject of administrative actions or 
personnel actions by the FDIC Board of Directors or by standing 
committees of the FDIC and individuals who have been the subject of 
administrative actions by FDIC officials under delegated authority.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Minutes of the meetings of the FDIC Board of Directors or standing 
committees and orders of the Board of Directors, standing committees, 
or other officials as well as annotations of entries into the minutes 
and orders.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Sections 8, 9, and 19 of the Federal Deposit Insurance Act (12 
U.S.C. 1818, 1819, 1829).

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

Routine Uses of Records Maintained In the System, Including Categories 
of Users and the Purposes of Such Uses:
    In addition to those disclosures generally permitted under 5 U.S.C.

[[Page 61135]]

552a(b) of the Privacy Act, all or a portion of the records or 
information contained in this system may be disclosed outside the FDIC 
as a routine use as follows:
    (1) To appropriate Federal, State, and local authorities 
responsible for investigating or prosecuting a violation of, or for 
enforcing or implementing a statute, rule, regulation, or order issued, 
when the information indicates a violation or potential violation of 
law, whether civil, criminal, or regulatory in nature, and whether 
arising by general statute or particular program statute, or by 
regulation, rule, or order issued pursuant thereto;
    (2) To a court, magistrate, or other administrative body in the 
course of presenting evidence, including disclosures to counsel or 
witnesses in the course of civil discovery, litigation, or settlement 
negotiations or in connection with criminal proceedings, when the FDIC 
is a party to the proceeding or has a significant interest in the 
proceeding, to the extent that the information is determined to be 
relevant and necessary;
    (3) To a congressional office in response to an inquiry made by the 
congressional office at the request of the individual who is the 
subject of the record;
    (4) To appropriate Federal, State, local authorities, and other 
entities when (a) it is suspected or confirmed that the security or 
confidentiality of information in the system has been compromised; (b) 
there is a risk of harm to economic or property interests, identity 
theft or fraud, or harm to the security or integrity of this system or 
other systems or programs that rely upon the compromised information; 
and (c) the disclosure is made to such agencies, entities, and persons 
who are reasonably necessary to assist in efforts to respond to the 
suspected or confirmed compromise and prevent, minimize, or remedy such 
harm;
    (5) To appropriate Federal, State, and local authorities in 
connection with hiring or retaining an individual, conducting a 
background security or suitability investigation, adjudication of 
liability, or eligibility for a license, contract, grant, or other 
benefit;
    (6) To appropriate Federal, State, and local authorities, agencies, 
arbitrators, and other parties responsible for processing any personnel 
actions or conducting administrative hearings or corrective actions or 
grievances or appeals, or if needed in the performance of other 
authorized duties;
    (7) To appropriate Federal agencies and other public authorities 
for use in records management inspections;
    (8) To contractors, grantees, volunteers, and others performing or 
working on a contract, service, grant, cooperative agreement, or 
project for the Federal Government;
    (9) To officials of a labor organization when relevant and 
necessary to their duties of exclusive representation concerning 
personnel policies, practices, and matters affecting working 
conditions; and
    (10) To the U.S. Office of Personnel Management, General Accounting 
Office, the Office of Government Ethics, the Merit Systems Protection 
Board, the Office of Special Counsel, the Equal Employment Opportunity 
Commission, or the Federal Labor Relations Authority or its General 
Counsel of records or portions thereof determined to be relevant and 
necessary to carrying out their authorized functions, including but not 
limited to a request made in connection with the hiring or retention of 
an employee, the issuance of a security clearance, the reporting of an 
investigation of an employee, the letting of a contract or issuance of 
a grant, license, or other benefit by the requesting agency, but only 
to the extent that the information disclosed is necessary and relevant 
to the requesting agency's decision on the matter.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
Storage:
    Records are stored in electronic media, microfilm, paper format 
within individual file folders, minute book ledgers and index cards.

Retrievability:
    Records are indexed and retrieved by name.

Safeguards:
    Electronic files are password protected and accessible only by 
authorized personnel. Paper format, index cards, and minute book 
ledgers are stored in lockable metal file cabinets or vault accessible 
only by authorized personnel. A security copy of certain microfilmed 
portions of the records is retained at another location.

Retention and Disposal:
    Permanent.

SYSTEM MANAGER(S) AND ADDRESS:
    Legal Division, Executive Secretary Section, FDIC, 550 17th Street, 
NW., Washington, DC 20429.

NOTIFICATION PROCEDURE:
    Individuals wishing to determine if they are named in this system 
of records or who are seeking access or amendment to records maintained 
in this system of records must submit their request in writing to 
Privacy@FDIC.Gov or to the Legal Division, FOIA & Privacy Act Group, 
FDIC, 550 17th Street, NW., Washington, DC 20429, in accordance with 
FDIC regulations at 12 CFR Part 310. Individuals requesting their 
records must provide their name, address and a notarized statement 
attesting to their identity.

RECORD ACCESS PROCEDURES:
    See ``Notification Procedure'' above.

CONTESTING RECORD PROCEDURES:
    See ``Notification Procedure'' above. Individuals wishing to 
contest or amend information maintained in this system should specify 
the information being contested, the reasons for contesting it, and the 
proposed amendment to such information in accordance with FDIC 
regulations at 12 CFR Part 310.

RECORD SOURCE CATEGORIES:
    Intra-agency records.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
FDIC-30-64-0004

SYSTEM NAME:
    Changes in Financial Institution Control Ownership Records.

SECURITY CLASSIFICATION:
    Unclassified but sensitive.

SYSTEM LOCATION:
    Division of Supervision and Consumer Protection, FDIC, 550 17th 
Street, NW., Washington, DC 20429.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    (1) Individuals who acquired or disposed of voting stock in an 
FDIC-insured financial institution resulting in a change of financial 
institution control or ownership; and
    (2) Individuals who filed or are included as a member of a group 
listed in a ``Notice of Acquisition of Control'' of an FDIC-insured 
financial institution.

    Note: The information is maintained only for the period 1989 to 
1995. Commencing in 1996 the records were no longer collected nor 
maintained on an individual name or personal identifier basis and 
are not retrievable by individual name or personal identifier. 
Beginning in 1996, information concerning changes in financial 
institution control is collected and maintained based upon the name 
of the FDIC-insured financial institution or specialized number 
assigned to the FDIC-insured financial institution.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records include the name of proposed acquirer; statement of assets 
and

[[Page 61136]]

liabilities of acquirer; statement of income and sources of income for 
each acquirer; statement of liabilities for each acquirer; name and 
location of the financial institution; number of shares to be acquired 
and outstanding; date ``Change in Control Notice'' or ``Notice of 
Acquisition of Control'' was filed; name and location of the newspaper 
in which the notice was published and date of publication. For 
consummated transactions, names of sellers/transferors; names of 
purchasers/transferees and number of shares owned after transaction; 
date of transaction on institution's books, number of shares acquired 
and outstanding. If stock of a holding company is involved, the name 
and location of the holding company and the institution(s) it controls.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Section 7(j) of the Federal Deposit Insurance Act (12 U.S.C. 
1817(j)).

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

Routine Uses of Records Maintained In the System, Including Categories 
of Users and the Purposes of Such Uses:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, all or a portion of the records or 
information contained in this system may be disclosed outside the FDIC 
as a routine use as follows:
    (1) To appropriate Federal, State, and local authorities 
responsible for investigating or prosecuting a violation of, or for 
enforcing or implementing a statute, rule, regulation, or order issued, 
when the information indicates a violation or potential violation of 
law, whether civil, criminal, or regulatory in nature, and whether 
arising by general statute or particular program statute, or by 
regulation, rule, or order issued pursuant thereto;
    (2) To a court, magistrate, or other administrative body in the 
course of presenting evidence, including disclosures to counsel or 
witnesses in the course of civil discovery, litigation, or settlement 
negotiations or in connection with criminal proceedings, when the FDIC 
is a party to the proceeding or has a significant interest in the 
proceeding, to the extent that the information is determined to be 
relevant and necessary;
    (3) To a congressional office in response to an inquiry made by the 
congressional office at the request of the individual who is the 
subject of the record;
    (4) To appropriate Federal, State, local authorities, and other 
entities when (a) it is suspected or confirmed that the security or 
confidentiality of information in the system has been compromised; (b) 
there is a risk of harm to economic or property interests, identity 
theft or fraud, or harm to the security or integrity of this system or 
other systems or programs that rely upon the compromised information; 
and (c) the disclosure is made to such agencies, entities, and persons 
who are reasonably necessary to assist in efforts to respond to the 
suspected or confirmed compromise and prevent, minimize, or remedy such 
harm;
    (5) To appropriate Federal, State, and local authorities in 
connection with hiring or retaining an individual, conducting a 
background security or suitability investigation, adjudication of 
liability, or eligibility for a license, contract, grant, or other 
benefit;
    (6) To appropriate Federal, State, and local authorities, agencies, 
arbitrators, and other parties responsible for processing any personnel 
actions or conducting administrative hearings or corrective actions or 
grievances or appeals, or if needed in the performance of other 
authorized duties;
    (7) To appropriate Federal agencies and other public authorities 
for use in records management inspections;
    (8) To contractors, grantees, volunteers, and others performing or 
working on a contract, service, grant, cooperative agreement, or 
project for the Federal Government;
    (9) To officials of a labor organization when relevant and 
necessary to their duties of exclusive representation concerning 
personnel policies, practices, and matters affecting working 
conditions; and
    (10) To other Federal or State financial institution supervisory 
authorities.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records In the System:
Storage:
    Records are stored in electronic media and in paper format within 
individual file folders.

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

Safeguards:
    Electronic files are password protected and accessible only by 
authorized persons. File folders are maintained in lockable metal file 
cabinets.

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

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Division of Supervision and Consumer Protection, FDIC, 
550 17th Street, NW., Washington, DC 20429.

NOTIFICATION PROCEDURE:
    Individuals wishing to determine if they are named in this system 
of records or who are seeking access or amendment to records maintained 
in this system of records must submit their request in writing to 
Privacy@FDIC.Gov or to the Legal Division, FOIA & Privacy Act Group, 
FDIC, 550 17th Street, NW., Washington, DC 20429, in accordance with 
FDIC regulations at 12 CFR Part 310. Individuals requesting their 
records must provide their name, address and a notarized statement 
attesting to their identity.

RECORD ACCESS PROCEDURES:
    See ``Notification Procedure'' above.

CONTESTING RECORD PROCEDURES:
    See ``Notification Procedure'' above. Individuals wishing to 
contest or amend information maintained in this system should specify 
the information being contested, the reasons for contesting it, and the 
proposed amendment to such information in accordance with FDIC 
regulations at 12 CFR Part 310.

RECORD SOURCE CATEGORIES:
    Persons who acquired control of an FDIC-insured financial 
institution; the insured financial institution or holding company in 
which control changed; filed ``Change in Control Notice'' form and 
``Notice of Acquisition of Control'' form during the period 1989 to 
1995; federal and state financial institution supervisory authorities.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
FDIC-30-64-0005

SYSTEM NAME:
    Consumer Complaint and Inquiry Records.

SECURITY CLASSIFICATION:
    Unclassified but sensitive.

[[Page 61137]]

SYSTEM LOCATION:
    Division of Supervision and Consumer Protection, FDIC, 550 17th 
Street, NW., Washington, DC 20429, and FDIC regional offices for 
complaints or inquiries originating within or involving an FDIC-insured 
depository institution located in an FDIC region. (See Appendix A for a 
list of the FDIC regional offices and their addresses.)

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who have submitted complaints or inquiries concerning 
activities or practices of FDIC-insured depository institutions.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Contains correspondence and records of other communications between 
the FDIC and the individual submitting a complaint or making an 
inquiry, including copies of supporting documents and contact 
information supplied by the individual. May contain correspondence 
between the FDIC and the FDIC-insured depository institution in 
question and/or intra-agency or inter-agency memoranda or 
correspondence concerning the complaint or inquiry.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819) and 
Section 202(f) of Title II of the Federal Trade Improvement Act (15 
U.S.C. 57a(f)).

PURPOSE:
    The system maintains correspondence from individuals regarding 
complaints or inquiries concerning activities or practices of FDIC-
insured depository institutions. The information is used to identify 
concerns of individuals, to manage correspondence received from 
individuals and to accurately respond to complaints, inquiries, views 
and concerns expressed by individuals. The information in this system 
supports the FDIC regulatory and supervisory functions.

Routine Uses of Records Maintained In The System, Including Categories 
Of Users And The Purposes Of Such Uses:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, all or a portion of the records or 
information contained in this system may be disclosed outside the FDIC 
as a routine use as follows:
    (1) To appropriate Federal, State, and local authorities 
responsible for investigating or prosecuting a violation of, or for 
enforcing or implementing a statute, rule, regulation, or order issued, 
when the information indicates a violation or potential violation of 
law, whether civil, criminal, or regulatory in nature, and whether 
arising by general statute or particular program statute, or by 
regulation, rule, or order issued pursuant thereto;
    (2) To a court, magistrate, or other administrative body in the 
course of presenting evidence, including disclosures to counsel or 
witnesses in the course of civil discovery, litigation, or settlement 
negotiations or in connection with criminal proceedings, when the FDIC 
is a party to the proceeding or has a significant interest in the 
proceeding, to the extent that the information is determined to be 
relevant and necessary;
    (3) To a congressional office in response to an inquiry made by the 
congressional office at the request of the individual who is the 
subject of the record;
    (4) To appropriate Federal, State, local authorities, and other 
entities when (a) it is suspected or confirmed that the security or 
confidentiality of information in the system has been compromised; (b) 
there is a risk of harm to economic or property interests, identity 
theft or fraud, or harm to the security or integrity of this system or 
other systems or programs that rely upon the compromised information; 
and (c) the disclosure is made to such agencies, entities, and persons 
who are reasonably necessary to assist in efforts to respond to the 
suspected or confirmed compromise and prevent, minimize, or remedy such 
harm;
    (5) To appropriate Federal, State, and local authorities in 
connection with hiring or retaining an individual, conducting a 
background security or suitability investigation, adjudication of 
liability, or eligibility for a license, contract, grant, or other 
benefit;
    (6) To appropriate Federal, State, and local authorities, agencies, 
arbitrators, and other parties responsible for processing any personnel 
actions or conducting administrative hearings or corrective actions or 
grievances or appeals, or if needed in the performance of other 
authorized duties;
    (7) To appropriate Federal agencies and other public authorities 
for use in records management inspections;
    (8) To contractors, grantees, volunteers, and others performing or 
working on a contract, service, grant, cooperative agreement, or 
project for the Federal Government;
    (9) To officials of a labor organization when relevant and 
necessary to their duties of exclusive representation concerning 
personnel policies, practices, and matters affecting working 
conditions;
    (10) To the insured depository institution which is the subject of 
the complaint or inquiry when necessary to investigate or resolve the 
complaint or inquiry;
    (11) To authorized third-party sources during the course of the 
investigation in order to resolve the complaint or inquiry. Information 
that may be disclosed under this routine use is limited to the name of 
the complainant or inquirer and the nature of the complaint or inquiry 
and such additional information necessary to investigate the complaint 
or inquiry; and
    (12) To the Federal or State supervisory/regulatory authority that 
has direct supervision over the insured depository institution that is 
the subject of the complaint or inquiry.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
Storage:
    Records are stored in electronic media and in paper format within 
individual file folders.

Retrievability:
    Electronic media and paper format are indexed and retrieved by 
unique identification number which may be cross referenced to the name 
of complainant or inquirer.

Safeguards:
    Electronic files are password protected and accessible only by 
authorized personnel. Paper format files are maintained in lockable 
metal file cabinets accessible only to authorized personnel.

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

SYSTEM MANAGER(S) AND ADDRESS:
    Associate Director, Division of Supervision and Consumer Protection 
, FDIC, 550 17th Street, NW., Washington, DC 20429, or the Regional 
Director, Division of Supervision and Consumer Protection for records 
maintained in FDIC regional offices (See Appendix A for the location of 
FDIC Regional Offices).

NOTIFICATION PROCEDURE:
    Individuals wishing to determine if they are named in this system 
of records or who are seeking access or

[[Page 61138]]

amendment to records maintained in this system of records must submit 
their request in writing to Privacy@FDIC.Gov or to the Legal Division, 
FOIA & Privacy Act Group, FDIC, 550 17th Street, NW., Washington, DC 
20429, in accordance with FDIC regulations at 12 CFR Part 310. 
Individuals requesting their records must provide their name, address 
and a notarized statement attesting to their identity.

RECORD ACCESS PROCEDURES:
    See ``Notification Procedure'' above.

CONTESTING RECORD PROCEDURES:
    See ``Notification Procedure'' above. Individuals wishing to 
contest or amend information maintained in this system should specify 
the information being contested, the reasons for contesting it, and the 
proposed amendment to such information in accordance with FDIC 
regulations at 12 CFR Part 310.

RECORD SOURCE CATEGORIES:
    The information is obtained from the individual on whom the record 
is maintained; FDIC-insured depository institutions that are the 
subject of the complaint; the appropriate agency, whether Federal or 
State, with supervisory authority over the institution; congressional 
offices that may initiate the inquiry; and other parties providing 
information to the FDIC in an attempt to resolve the complaint or 
inquiry.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
FDIC-30-64-0006

SYSTEM NAME:
    Employee Confidential Financial Disclosure Records.

SECURITY CLASSIFICATION:
    Unclassified but sensitive.

SYSTEM LOCATION:
    Records are located in component divisions, offices and regional 
offices to which individuals covered by the system are assigned. 
Duplicate copies of the records are located in the Legal Division, 
Executive Secretary Section, Ethics Unit, FDIC, 550 17th Street, NW., 
Washington, DC 20429. (See Appendix A for a list of the FDIC regional 
offices and their addresses).

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Current and former officers and employees, and special government 
employees.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Contains statements of personal and family financial holdings and 
other interests in business enterprises and real property; listings of 
creditors and outside employment; opinions and determinations of ethics 
counselors; information related to conflict of interest determinations; 
and information contained on the following forms:
    (1) Confidential Financial Disclosure Report--contains listing of 
personal and family investment holdings, interests in business 
enterprises and real property, creditors, and outside employment.
    (2) Confidential Report of Indebtedness--contains information on 
extensions of credit to employees, including loans and credit cards, by 
FDIC-insured depository institutions or their subsidiaries; may also 
contain memoranda and correspondence relating to requests for approval 
of certain loans extended by insured financial institutions or 
subsidiaries thereof.
    (3) Confidential Report of Interest in FDIC-Insured Depository 
Institution Securities--contains a brief description of an employee's 
direct or indirect interest in the securities of an FDIC-insured 
depository institution or affiliate, including a depository institution 
holding company, and the date and manner of acquisition or divestiture; 
a brief description of an employee's direct or indirect continuing 
financial interest through a pension or retirement plan, trust or other 
arrangement, including arrangements resulting from any current or prior 
employment or business association, with any FDIC-insured depository 
institution, affiliate, or depository institution holding company; and 
a certification acknowledging that the employee has read and 
understands the rules governing the ownership of securities in FDIC-
insured depository institutions.
    (4) Employee Certification and Acknowledgment of Standards of 
Conduct Regulation--contains employee's certification and 
acknowledgment that he or she has received a copy of the Standards of 
Ethical Conduct for Employees of the FDIC.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Ethics in Government Act of 1978 (5 U.S.C. 7301 and App.); Section 
9 and 12(f) of the Federal Deposit Insurance Act (12 U.S.C. 1819(a), 
1822(f)); 26 U.S.C. 1043; Executive Order Nos. 12674 (as modified by 
12731), 12565, and 11222; 5 CFR Part 2634, 2635, and 3201.

PURPOSE:
    The records are maintained to assure compliance with the standards 
of conduct for Government employees contained in the Executive Orders, 
Federal Statutes and FDIC regulations and to determine if a conflict of 
interest exists between employment of individuals by the FDIC and their 
personal employment and financial interests.

Routine Uses of Records Maintained In the System, Including Categories 
of Users and the Purposes of Such Uses
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, all or a portion of the records or 
information contained in this system may be disclosed outside the FDIC 
as a routine use as follows:
    (1) To appropriate Federal, State, and local authorities 
responsible for investigating or prosecuting a violation of, or for 
enforcing or implementing a statute, rule, regulation, or order issued, 
when the information indicates a violation or potential violation of 
law, whether civil, criminal, or regulatory in nature, and whether 
arising by general statute or particular program statute, or by 
regulation, rule, or order issued pursuant thereto;
    (2) To a court, magistrate, or other administrative body in the 
course of presenting evidence, including disclosures to counsel or 
witnesses in the course of civil discovery, litigation, or settlement 
negotiations or in connection with criminal proceedings, when the FDIC 
is a party to the proceeding or has a significant interest in the 
proceeding, to the extent that the information is determined to be 
relevant and necessary;
    (3) To a congressional office in response to an inquiry made by the 
congressional office at the request of the individual who is the 
subject of the record;
    (4) To appropriate Federal, State, local authorities, and other 
entities when (a) it is suspected or confirmed that the security or 
confidentiality of information in the system has been compromised; (b) 
there is a risk of harm to economic or property interests, identity 
theft or fraud, or harm to the security or integrity of this system or 
other systems or programs that rely upon the compromised information; 
and (c) the disclosure is made to such agencies, entities, and persons 
who are reasonably necessary to assist in efforts to respond to the 
suspected or confirmed compromise and prevent, minimize, or remedy such 
harm;
    (5) To appropriate Federal, State, and local authorities in 
connection with hiring or retaining an individual, conducting a 
background security or

[[Page 61139]]

suitability investigation, adjudication of liability, or eligibility 
for a license, contract, grant, or other benefit;
    (6) To appropriate Federal, State, and local authorities, agencies, 
arbitrators, and other parties responsible for processing any personnel 
actions or conducting administrative hearings or corrective actions or 
grievances or appeals, or if needed in the performance of other 
authorized duties;
    (7) To appropriate Federal agencies and other public authorities 
for use in records management inspections; and
    (8) To contractors, grantees, volunteers, and others performing or 
working on a contract, service, grant, cooperative agreement, or 
project for the Federal Government.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records In the System:
Storage:
    Records are stored in electronic media and in paper format within 
individual file folders.

Retrievability:
    Records are indexed and retrieved by name of individual. Electronic 
media and paper format do not index the names of prospective employees 
who are not selected for employment.

Safeguards:
    Electronic files are password protected and accessible only by 
authorized personnel. Paper format copies are maintained in lockable 
file cabinets.

Retention and Disposal:
    Records concerning prospective employees who are not selected for 
employment are retained for one year and then destroyed, except that 
documents needed in an ongoing investigation will be retained until no 
longer needed in the investigation. All other records are retained for 
six years and then destroyed. Entries maintained in electronic media 
are deleted, except that paper format documents and electronic media 
entries needed in an ongoing investigation will be retained until no 
longer needed for the investigation. Disposal is by shredding or other 
appropriate disposal systems.

SYSTEM MANAGER(S) AND ADDRESS:
    Ethics Program Manager, Executive Secretary Section, Legal 
Division, FDIC, 550 17th Street, NW., Washington, DC 20429.

NOTIFICATION PROCEDURE:
    Individuals wishing to determine if they are named in this system 
of records or who are seeking access or amendment to records maintained 
in this system of records must submit their request in writing to 
Privacy@FDIC.Gov or to the Legal Division, FOIA & Privacy Act Group, 
FDIC, 550 17th Street, NW., Washington, DC 20429, in accordance with 
FDIC regulations at 12 CFR Part 310. Individuals requesting their 
records must provide their name, address and a notarized statement 
attesting to their identity.

RECORD ACCESS PROCEDURES:
    See ``Notification Procedure'' above.

CONTESTING RECORD PROCEDURES:
    See ``Notification Procedure'' above. Individuals wishing to 
contest or amend information maintained in this system should specify 
the information being contested, the reasons for contesting it, and the 
proposed amendment to such information in accordance with FDIC 
regulations at 12 CFR Part 310.

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

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
FDIC-30-64-0007

SYSTEM NAME:
    Employee Training Information Records.

SECURITY CLASSIFICATION:
    Unclassified but sensitive.

SYSTEM LOCATION:
    FDIC Corporate University, 3501 North Fairfax Drive, Arlington, VA 
22226, and FDIC Office of Inspector General, 3501 North Fairfax Drive, 
Arlington, VA 22226.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    All current and former employees and any non-FDIC employees that 
have attended training conducted or sponsored by the FDIC.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Contains the training history of an individual while employed by 
the FDIC. Records may include schedule of employee's training classes 
and other educational programs attended, dates of attendance, tuition 
fees and expenses. The system used by the Office of Inspector General 
may also contain employee certifications on training attended, employee 
certifications or other information on educational degrees or 
professional memberships and other similar information. The Corporate 
University system does not record or track educational degrees, 
professional memberships, or similar information, and it is not used by 
the FDIC to confirm continuing education requirements of employees.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819); 
Sections 4(b) and 6(e) of the Inspector General Act of 1978, at amended 
(5 U.S.C. app).

PURPOSE:
    The system is used to record and manage comprehensive training 
information that is available to employees, training administrators, 
and management. The system is also used to schedule training events, 
enroll students, and launch online training. The system is utilized for 
reporting purposes and to maintain records for applicable continuing 
education requirements.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, all or a portion of the records or 
information contained in this system may be disclosed outside the FDIC 
as a routine use as follows:
    (1) To appropriate Federal, State, and local authorities 
responsible for investigating or prosecuting a violation of, or for 
enforcing or implementing a statute, rule, regulation, or order issued, 
when the information indicates a violation or potential violation of 
law, whether civil, criminal, or regulatory in nature, and whether 
arising by general statute or particular program statute, or by 
regulation, rule, or order issued pursuant thereto;
    (2) To a court, magistrate, or other administrative body in the 
course of presenting evidence, including disclosures to counsel or 
witnesses in the course of civil discovery, litigation, or settlement 
negotiations or in connection with criminal proceedings, when the FDIC 
is a party to the proceeding or has a significant interest in the 
proceeding, to the extent that the information is determined to be 
relevant and necessary;
    (3) To a congressional office in response to an inquiry made by the 
congressional office at the request of the individual who is the 
subject of the record;

[[Page 61140]]

    (4) To appropriate Federal, State, local authorities, and other 
entities when (a) it is suspected or confirmed that the security or 
confidentiality of information in the system has been compromised; (b) 
there is a risk of harm to economic or property interests, identity 
theft or fraud, or harm to the security or integrity of this system or 
other systems or programs that rely upon the compromised information; 
and (c) the disclosure is made to such agencies, entities, and persons 
who are reasonably necessary to assist in efforts to respond to the 
suspected or confirmed compromise and prevent, minimize, or remedy such 
harm;
    (5) To appropriate Federal, State, and local authorities in 
connection with hiring or retaining an individual, conducting a 
background security or suitability investigation, adjudication of 
liability, or eligibility for a license, contract, grant, or other 
benefit;
    (6) To appropriate Federal, State, and local authorities, agencies, 
arbitrators, and other parties responsible for processing any personnel 
actions or conducting administrative hearings or corrective actions or 
grievances or appeals, or if needed in the performance of other 
authorized duties;
    (7) To appropriate Federal agencies and other public authorities 
for use in records management inspections;
    (8) To contractors, grantees, volunteers, and others performing or 
working on a contract, service, grant, cooperative agreement, or 
project for the Federal Government;
    (9) To officials of a labor organization when relevant and 
necessary to their duties of exclusive representation concerning 
personnel policies, practices, and matters affecting working 
conditions;
    (10) To educational institutions for purposes of enrollment and 
verification of employee attendance and performance;
    (11) To vendors, professional licensing boards or other appropriate 
third parties, for the purpose of verification, confirmation, and 
substantiation of training or licensing requirements;
    (12) To the U.S. Office of Personnel Management for purposes of 
tracking and analyzing training and related information of FDIC 
employees; and
    (13) To other Federal Offices of Inspector General or other 
entities for purposes of conducting quality assessments or peer reviews 
of the OIG or any of its components.

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

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records In the System:
Storage:
    Records are stored in electronic media and in paper format within 
individual file folders.

Retrievability:
    Electronic media are accessible by FDIC Employee ID number or name. 
A small number of archived historical records are accessible only by 
social security number, with no associated name recorded. File folders 
are indexed and retrieved by name of individual.

Safeguards:
    Electronic files are password protected and accessible only by 
authorized personnel. Paper records within individual file folders are 
maintained in lockable metal file cabinets accessible only by 
authorized personnel.

Retention and Disposal:
    Permanent retention.

SYSTEM MANAGER(S) AND ADDRESSES:
    Assistant Chief Learning Officer, Corporate University, FDIC, 3501 
North Fairfax Drive, Arlington, VA 22226; Deputy Assistant Inspector 
General for Management, Office of Inspector General, FDIC, 3501 North 
Fairfax Drive, Arlington, VA 22226.

NOTIFICATION PROCEDURE:
    Individuals wishing to determine if they are named in this system 
of records or who are seeking access or amendment to records maintained 
in this system of records must submit their request in writing to 
Privacy@FDIC.Gov or to the Legal Division, FOIA & Privacy Act Group, 
FDIC, 550 17th Street, NW., Washington, DC 20429, in accordance with 
FDIC regulations at 12 CFR Part 310. Individuals requesting their 
records must provide their name, address and a notarized statement 
attesting to their identity.

RECORD ACCESS PROCEDURES:
    See ``Notification Procedure'' above.

CONTESTING RECORD PROCEDURES:
    See ``Notification Procedure'' above. Individuals wishing to 
contest or amend information maintained in this system should specify 
the information being contested, the reasons for contesting it, and the 
proposed amendment to such information in accordance with FDIC 
regulations at 12 CFR Part 310.

RECORD SOURCE CATEGORIES:
    The information is obtained from the employee about whom the record 
is maintained; training administrators; and the training facility or 
institution attended.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
FDIC-30-64-0008

SYSTEM NAME:
    Chain Banking Organizations Identification Records.

SECURITY CLASSIFICATION:
    Unclassified but sensitive.

SYSTEM LOCATION:
    Division of Supervision and Consumer Protection, FDIC, 550 17th 
Street, NW., Washington, DC 20429, and FDIC regional offices. (See 
Appendix A for a list of the FDIC regional offices and their 
addresses.)

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who directly, indirectly, or in concert with others, 
own or control two or more insured depository institutions.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Contains the names of and contact information for individuals who, 
either alone or in concert with others, own or control two or more 
insured depository institutions as well as the insured depository 
institutions names, locations, stock certificate numbers, total asset 
size, and percentage of outstanding stock owned by the controlling 
individual or group of individuals; charter types and, if applicable, 
name of intermediate holding entity and percentage of holding company 
held by controlling individual or group.

A