Privacy Act of 1974, as Amended; System of Records, 77626-77668 [2011-31786]
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Federal Register / Vol. 76, No. 239 / Tuesday, December 13, 2011 / Notices
FEDERAL DEPOSIT INSURANCE
CORPORATION
Privacy Act of 1974, as Amended;
System of Records
Federal Deposit Insurance
Corporation.
ACTION: Notice of New and Altered
Systems of Records.
AGENCY:
Pursuant to the provisions of
the Privacy Act of 1974, as amended,
5 U.S.C. 552a(e)(4) and OMB Circular
A–130, the Federal Deposit Insurance
Corporation (‘‘FDIC’’) has conducted
required reviews of its systems of
records and is publishing this notice
regarding its proposal to introduce two
new systems of records, alter four
existing systems of records, and to
incorporate minor editorial and
administrative changes in other existing
systems of records that do not meet the
threshold criteria established by the
Office of Management and Budget for
either a new or altered system of
records. 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 January 12, 2012. 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.
• Email: Send to comments@fdic.gov.
Include ‘‘Notice of New and Altered
FDIC Systems of Records’’ in the subject
line.
• Mail: Send to Gary Jackson,
Counsel, Attention: Comments, FDIC
Systems of Records, 550 17th Street
NW., Washington, DC 20429.
All submissions should refer to
‘‘Notice of New and Altered FDIC
Systems of Records.’’ By prior
appointment, comments may also be
inspected and photocopied in the FDIC
Public Information Center, 3501 North
Fairfax Drive, Room E–1005, Arlington,
Virginia 22226, between 9 a.m. and
4 p.m. (EST), Monday to Friday.
FOR FURTHER INFORMATION CONTACT: Gary
Jackson, Counsel, FDIC, 550 17th Street
NW., Washington, DC 20429, (703) 562–
2677.
SUPPLEMENTARY INFORMATION: In
accordance with the Privacy Act of
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SUMMARY:
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1974, as amended, the FDIC has
conducted a review of its Privacy Act
systems of records and has determined
that it needs to add two new systems of
records and to alter four existing
systems of records. The FDIC’s system
notices were last published in the
Federal Register on October 26, 2009,
Volume 74, Number 205 (74 FR 55005);
this last publication may be viewed at
https://www.fdic.gov/about/privacy/on
the FDIC’s Privacy web page. With the
present notice, the FDIC is also
publishing the complete text of all of its
system notices to incorporate other
minor editorial and administrative
changes and to provide a current, easily
accessible compilation. Information
about the reasons for these proposed
changes is noted below.
The first new system of records will
be designated as FDIC 30–64–0033 and
entitled, ‘‘Emergency Notification
Records.’’ This system will contain
individual contact information to
provide for rapid communication to
registered FDIC personnel during and
after emergency and security events to
disseminate time sensitive information,
provide personnel accountability and
status, and provide for the receipt of
real-time message acknowledgements
and related management reports.
The second new system of records
will be designated as FDIC 30–64–0034
and entitled, ‘‘Office of Inspector
General Inquiry Records.’’ This system
will contain correspondence and other
communications addressed or directed
to FDIC OIG and used to manage
receipt, assignment, tracking, and final
matter disposition.
As described in the last published
notice, the Employee Training
Information Records (FDIC 30–64–0007)
is used to maintain information required
to manage personnel training programs.
Substantive changes to the notice have
been made to the following sections: (1)
System Name, reflecting the new title:
Employee Learning and Development
Records; (2) Categories of Records,
adding new record types involving
career development, certifications, and
special skills and competencies; and (3)
Purpose, adding to record and manage
career development, certifications, and
special skills and competencies.
As described in the last published
notice, the Investigative Files of the
Office of Inspector General (FDIC 30–
64–0010) is used to maintain
information related to the investigation
of criminal, civil, or administrative
matters. A substantive change to the
notice has been made to the Routine
Uses section by adopting the following
eight new general routine uses that are
consistent with the purpose for which
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the information in question is collected:
(1) To contractors, grantees, volunteers,
and others performing or working on a
contract, service, grant, cooperative
agreement, or project for the Federal
Government; (2) 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; (3) 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; (4) 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; (5)
To a financial institution affected by
enforcement activities or reported
criminal activities; (6) To the Internal
Revenue Service and appropriate State
and local taxing authorities; (7) To other
Federal, State or foreign financial
institutions’ supervisory or regulatory
authorities; and (8) To appropriate
Federal agencies and other public
authorities for use in records
management inspections.
As described in the last published
notice, the Insured Financial Institution
Liquidation Records (FDIC 30–64–0013)
is used to maintain information required
to manage the receivership and
conservatorship functions of the FDIC.
A substantive change to the notice has
been made to the System Location
section by adding third-party service
providers as the site of certain records.
As described in the last published
notice, the Freedom of Information Act
and Privacy Act Request Records (FDIC
30–64–0022) is used to maintain
information required to manage FOIA
and Privacy Act requests and related
matters. A substantive change to the
notice has been made to the Categories
of Records section by adding new record
types for online identity verification
including username and password.
A Report of New and Altered Systems
of Records has been submitted to the
Committee on Oversight and
Government Reform of the House of
Representatives, the Committee on
Homeland Security and Governmental
Affairs of the Senate, and the Office of
Management and Budget pursuant to
Appendix I to OMB Circular A–130,
‘‘Federal Agency Responsibilities for
Maintaining Records About
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Individuals,’’ dated November 30, 2000,
and the Privacy Act, 5 U.S.C. 552a(r).
More detailed information on the
proposed new and revised systems of
records may be viewed in the complete
text below.
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Attorney and Legal Intern Applicant
Records.
SECURITY CLASSIFICATION:
SYSTEM LOCATION:
FDIC 30–64–0001 Attorney and Legal Intern
Applicant Records
FDIC 30–64–0002 Financial Institution
Investigative and Enforcement Records
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 Learning and
Development Records
FDIC 30–64–0008 Chain Banking
Organization 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 Applicant
Recruiting, Evaluating, and Electronic
Referral Records
FDIC 30–64–0012 Financial Information
Management Records
FDIC 30–64–0013 Insured Financial
Institution Liquidation Records
FDIC 30–64–0014 Personnel Benefits and
Enrollment Records
FDIC 30–64–0015 Personnel 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 30–64–0026 Transit Subsidy Program
Records
FDIC 30–64–0027 Parking Program Records
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 30–64–0031 Online Ordering Request
Records
FDIC 30–64–0032 Nationwide Mortgage
Licensing System and Registry
FDIC 30–64–0033 Emergency Notification
Records
FDIC 30–64–0034 Office of Inspector General
Inquiry Records
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SYSTEM NAME:
Unclassified but sensitive.
Index of FDIC Privacy Act Systems of
Records in This Publication
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FDIC–30–64–0001
Legal Division, FDIC, 550 17th Street
NW., Washington, DC 20429; and
Atlanta Regional Office, FDIC, 10 Tenth
Street, Suite 800, Atlanta, Georgia
30309.
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
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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.
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POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
EXEMPTIONS CLAIMED FOR THE SYSTEM:
Storage: Records are stored in
electronic media and in paper format
within individual file folders.
Retrievability: Records are retrieved
by name. Records of unsuccessful
applicants are indexed first by job
position category and year and then by
name.
Safeguards: Electronic records are
password-protected and accessible only
by authorized personnel. Paper records
are maintained in lockable metal file
cabinets accessible only to authorized
personnel. Some paper records may be
maintained in a locked room accessible
only to authorized personnel during a
finite initial review period.
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 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.
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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.
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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
Financial Institution Investigative and
Enforcement Records.
SECURITY CLASSIFICATION:
Unclassified but sensitive.
SYSTEM LOCATION:
Division of Risk Management
Supervision, 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
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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:
SYSTEM NAME:
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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.
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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
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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 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
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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 Risk
Management Supervision, FDIC, 550
17th Street NW., Washington, DC 20429.
NOTIFICATION PROCEDURE:
Individuals wishing to determine if
they are named in this system of records
or who are seeking access or
amendment to records maintained in
this system of records must submit their
request in writing 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:
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.
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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:
See ‘‘Notification Procedure’’ above.
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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.
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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;
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(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, and 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 the Legal Division,
FOIA & Privacy Act Group, FDIC, 550
17th Street NW., Washington, DC 20429,
in accordance with FDIC regulations at
PO 00000
Frm 00006
Fmt 4701
Sfmt 4703
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 Risk Management
Supervision, 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 FDICinsured 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
liabilities of acquirer; statement of
income and sources of income for each
acquirer; statement of liabilities for each
acquirer; name and location of the
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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.
srobinson on DSK4SPTVN1PROD with NOTICES3
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)
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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.
PO 00000
Frm 00007
Fmt 4701
Sfmt 4703
77631
Disposal is by shredding or other
appropriate disposal systems.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Division of Risk
Management Supervision, FDIC, 550
17th Street NW., Washington, DC 20429.
NOTIFICATION PROCEDURE:
Individuals wishing to determine if
they are named in this system of records
or who are seeking access or
amendment to records maintained in
this system of records must submit their
request in writing 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.
SYSTEM LOCATION:
Division of Depositor and Consumer
Protection, FDIC, 550 17th Street NW.,
Washington, DC 20429, and FDIC
regional offices for complaints or
inquiries originating within or involving
an FDIC-insured depository institution
located in an FDIC region. (See
Appendix A for a list of the FDIC
regional offices and their addresses.)
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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 interagency 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, and concerns
expressed by individuals. The
information in this system supports the
FDIC regulatory and supervisory
functions.
srobinson on DSK4SPTVN1PROD with NOTICES3
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,
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Jkt 226001
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
PO 00000
Frm 00008
Fmt 4701
Sfmt 4703
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.
Retrievability: Electronic media is
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.
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
Depositor and Consumer Protection,
FDIC, 550 17th Street NW., Washington,
DC 20429, or the Regional Director,
Division of Supervision and Consumer
Protection for records maintained in
FDIC regional offices (See 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
amendment to records maintained in
this system of records must submit their
request in writing 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
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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.
srobinson on DSK4SPTVN1PROD with NOTICES3
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; relevant
personnel information and ethics
training records; 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 for
covered employees.
(2) Confidential Report of
Indebtedness—contains information on
extensions of credit to employees,
including loans and credit cards, by
FDIC-insured depository institutions or
their subsidiaries; may also contain
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Jkt 226001
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 FDICinsured depository institution or
affiliate, including a depository
institution holding company, and the
date and manner of acquisition or
divestiture; a brief description of an
employee’s direct or indirect continuing
financial interest through a pension or
retirement plan, trust or other
arrangement, including arrangements
resulting from any current or prior
employment or business association,
with any FDIC-insured depository
institution, affiliate, or depository
institution holding company; and a
certification acknowledging that the
employee has read and understands the
rules governing the ownership of
securities in FDIC-insured depository
institutions.
(4) Employee Certification and
Acknowledgment of Standards of
Conduct Regulation—contains
employee’s certification and
acknowledgment that he or she has
received a copy of the Standards of
Ethical Conduct for Employees of the
FDIC.
(5) Public Financial Disclosure
Form—contains a description of an
employee’s personal and family
investment holdings, including interests
in business enterprises or real property,
non-investment income, creditors,
former or future employer information,
outside positions, and other affiliations
for political appointees.
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.
PO 00000
Frm 00009
Fmt 4701
Sfmt 4703
77633
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
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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.
CONTESTING RECORD PROCEDURES:
PURPOSE:
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.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
The information is obtained from the
individual or a person or entity
designated by the individual; FDIC
employees designated as Ethics
Counselors or Deputy Ethics
Counselors; FDIC automated personnel
records system; and other employees or
individuals to whom the FDIC has
provided information in connection
with evaluating the records maintained.
The system is used to record and
manage comprehensive learning and
development information that is
available to learners, training
administrators, and management. The
system is also used to schedule training
events, enroll students, launch online
training, and run reports. The system is
used to track training, career
development, certifications, continuing
education and learner skills and
competencies.
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.
srobinson on DSK4SPTVN1PROD with NOTICES3
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 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.
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16:30 Dec 12, 2011
Jkt 226001
RECORD SOURCE CATEGORIES:
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
FDIC–30–64–0007
SYSTEM NAME:
Employee Learning and Development
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 the schedule of the
individual’s training classes and other
educational programs attended, dates of
attendance, continuing education
credits earned, tuition fees and
expenses. Also contains information on
career development, certifications, and
learner skills and competencies. The
system used by the Office of Inspector
General may also contain information
on educational degrees or professional
memberships and other similar
information.
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).
PO 00000
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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
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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:
srobinson on DSK4SPTVN1PROD with NOTICES3
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)).
16:30 Dec 12, 2011
Jkt 226001
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
SYSTEM MANAGER(S) AND ADDRESSES:
CATEGORIES OF RECORDS IN THE SYSTEM:
Associate 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 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, employee supervisors,
training administrators, and the training
facility or institution attended.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
FDIC–30–64–0008
SYSTEM NAME:
SECURITY CLASSIFICATION:
Storage: Records are stored in
electronic media and in paper format
within individual file folders.
Retrievability: Electronic media are
accessible by unique identifier or name.
VerDate Mar<15>2010
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.
Chain Banking Organizations
Identification Records.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
77635
Unclassified but sensitive.
SYSTEM LOCATION:
Division of Risk Management
Supervision, FDIC, 550 17th Stree, NW.,
PO 00000
Frm 00011
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Sfmt 4703
Washington, DC 20429, and FDIC
regional offices. (See Appendix A for a
list of the FDIC regional offices and their
addresses.)
Individuals who directly, indirectly,
or in concert with others, own or control
two or more insured depository
institutions.
Contains the names of and contact
information for individuals who, either
alone or in concert with others, own or
control two or more insured depository
institutions as well as the insured
depository institutions names, locations,
stock certificate numbers, total asset
size, and percentage of outstanding
stock owned by the controlling
individual or group of individuals;
charter types and, if applicable, name of
intermediate holding entity and
percentage of holding company held by
controlling individual or group.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Sections 7(j) and 9 of the Federal
Deposit Insurance Act (12 U.S.C.
1817(j), 1819).
PURPOSE:
This system identifies and maintains
information of possible linked FDICinsured depository institutions or
holding companies which, due to their
common ownership, present a
concentration of resources that could be
susceptible to common risks. The
information in this system is used to
support the FDIC’s regulatory and
supervisory functions.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
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
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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 for: (a) coordination of
examining resources when the chain
banking organization is composed of
insured depository institutions subject
to multiple supervisory jurisdictions; (b)
coordination of evaluations and analysis
of the condition of the consolidated
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16:30 Dec 12, 2011
Jkt 226001
chain organization; and (c) coordination
of supervisory, corrective or
enforcement actions.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:
Storage: Records are stored in
electronic media.
Retrievability: Indexed and retrieved
by name of controlling individual(s) or
assigned identification number.
Safeguards: Electronic files are
password protected and accessible only
by authorized personnel.
Retention and Disposal: Records are
maintained in electronic media. Certain
records are archived in off-line storage
and all records are periodically updated
to reflect changes. 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 Risk
Management Supervision, FDIC, 550
17th Street NW., Washington, DC 20429.
NOTIFICATION PROCEDURE:
Individuals wishing to determine if
they are named in this system of records
or who are seeking access or
amendment to records maintained in
this system of records must submit their
request in writing 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:
Examination reports and related
materials; regulatory filings; and Change
in Financial Institution Control Notices
filed pursuant to 12 U.S.C. 1817(j).
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
PO 00000
Frm 00012
Fmt 4701
Sfmt 4703
FDIC–30–64–0009
SYSTEM NAME:
Safety and Security Incident Records.
SECURITY CLASSIFICATION:
Unclassified but sensitive.
SYSTEM LOCATION:
FDIC, Division of Administration, 550
17th Street NW., Washington, DC 20429,
and the FDIC regional or area offices.
(See Appendix A for a list of the FDIC
regional offices and their addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
To the extent not covered by any
other system, this system covers current
and past FDIC employees, contractors,
volunteers, visitors, and others involved
in the investigation of accidents,
injuries, criminal conduct, and related
civil matters involving the FDIC.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system contains investigative
reports, correspondence and other
communications that may include,
without limitation, name, home and
office address and phone numbers,
physical characteristics, and vehicle
information.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819).
PURPOSE(S):
This system of records is used to
support the administration and
maintenance of a safety and security
incident investigation, tracking and
reporting system involving FDIC
facilities, property, personnel,
contractors, volunteers, or visitors.
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
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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; and
(9) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
Storage: Records are stored in
electronic media and paper format
within individual file folders.
VerDate Mar<15>2010
16:30 Dec 12, 2011
Jkt 226001
Retrievability: Records are indexed
and retrieved by name, date, or case
number.
Safeguards: Electronic records are
password-protected and accessible only
by authorized personnel. Paper records
are maintained in lockable metal file
cabinets accessible only to authorized
personnel.
Retention and Disposal: Paper records
and electronic media are retained for
five years after their creation in
accordance with the FDIC Records
Retention and Disposition Schedule.
Disposal is by shredding or other
appropriate disposal systems.
SYSTEM MANAGER(S) AND ADDRESS:
Associate Director, Division of
Administration, FDIC, 550 17th Street
NW., Washington, DC 20429.
NOTIFICATION PROCEDURE:
Individuals wishing to determine if
they are named in this system of records
or who are seeking access or
amendment to records maintained in
this system of records must submit their
request in writing 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
of records should specify the
information being contested, their
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 sources of records in this category
include current FDIC employees,
contractors, members of the public,
witnesses, law enforcement officials,
medical providers, and other parties
providing information to the FDIC to
facilitate an inquiry or resolve the
complaint.
77637
FDIC–30–64–0010
SYSTEM NAME:
Investigative Files of the Office of
Inspector General.
SECURITY CLASSIFICATION:
Unclassified but sensitive.
SYSTEM LOCATION:
FDIC Office of Inspector General
(OIG), 3501 North Fairfax Drive,
Arlington, VA 22226. In addition,
records are maintained in OIG field
offices. OIG field office locations can be
obtained by contacting the Assistant
Inspector General for Investigations at
said address.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Current and former FDIC employees
and individuals involved in or
associated with FDIC programs and
operations including contractors,
subcontractors, vendors and other
individuals associated with
investigative inquiries and investigative
cases, including, but not limited to,
witnesses, complainants, suspects and
those contacting the OIG Hotline.
CATEGORIES OF RECORDS IN THE SYSTEM:
Investigative files, including
memoranda, computer-generated
background information,
correspondence, electronic case
management and tracking files, reports
of investigations with related exhibits,
statements, affidavits, records or other
pertinent documents, reports from or to
other law enforcement bodies,
pertaining to violations or potential
violations of criminal laws, fraud,
waste, and abuse with respect to
administration of FDIC programs and
operations, and violations of employee
and contractor Standards of Conduct as
set forth in section 12(f) of the Federal
Deposit Insurance Act (12 U.S.C.
1822(f)), 12 CFR parts 336, 366, and 5
CFR parts 2634, 2635, and 3201.
Records in this system may contain
personally identifiable information such
as names, social security numbers, dates
of birth and addresses.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819); the
Inspector General Act of 1978, as
amended (5 U.S.C. app.).
EXEMPTIONS CLAIMED FOR THE SYSTEM:
PURPOSE:
Certain records contained within this
system of records may be exempted
from certain provisions of the Privacy
Act (5 U.S.C. 552a) pursuant to 5 U.S.C.
552a(c)(3), (d)(5), (e)(1), (e)(4)(G), (H),
and (I), (f) and (k).
Pursuant to the Inspector General Act,
the system is maintained for the
purposes of (1) conducting and
documenting investigations by the OIG
or other investigative agencies regarding
FDIC programs and operations in order
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Federal Register / Vol. 76, No. 239 / Tuesday, December 13, 2011 / Notices
to determine whether employees or
other individuals have been or are
engaging in waste, fraud and abuse with
respect to the FDIC’s programs or
operations and reporting the results of
investigations to other Federal agencies,
other public authorities or professional
organizations which have the authority
to bring criminal or civil or
administrative actions, or to impose
other disciplinary sanctions; (2)
documenting the outcome of OIG
investigations; (3) maintaining a record
of the activities which were the subject
of investigations; (4) reporting
investigative findings to other FDIC
components or divisions for their use in
operating and evaluating their programs
or operations, and in the imposition of
civil or administrative sanctions; and (5)
acting as a repository and source for
information necessary to fulfill the
reporting requirements of the Inspector
General Act or those of other federal
instrumentalities.
srobinson on DSK4SPTVN1PROD with NOTICES3
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
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 the appropriate Federal, State,
local, foreign or international agency or
authority responsible for investigating
or prosecuting a violation of or for
enforcing or implementing a statute,
rule, regulation, or order, when the
record, either by itself or in combination
with other information, indicates a
violation or potential violation of law,
or contract, whether civil, criminal, or
regulatory in nature, and whether
arising by general statute or particular
program statute, or by regulation, rule,
or order issued pursuant thereto;
(2) To a court, magistrate, alternative
dispute resolution mediator or
administrative tribunal in the course of
presenting evidence, including
disclosures to counsel or witnesses in
the course of civil discovery, litigation,
or settlement negotiations or in
connection with criminal proceedings
when the FDIC or OIG is a party to the
proceeding or has a significant interest
in the proceeding and the information is
determined to be relevant and
necessary;
(3) To the FDIC’s or another Federal
agency’s legal representative, including
the U.S. Department of Justice or other
retained counsel, when the FDIC, OIG or
any employee thereof is a party to
litigation or administrative proceeding
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16:30 Dec 12, 2011
Jkt 226001
or has a significant interest in the
litigation or proceeding;
(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 a grand jury agent pursuant
either to a Federal or State grand jury
subpoena or to a prosecution request
that such record be released for the
purpose of its introduction to a grand
jury;
(6) To the subjects of an investigation
and their representatives during the
course of an investigation and to any
other person or entity that has or may
have information relevant or pertinent
to the investigation to the extent
necessary to assist in the conduct of the
investigation;
(7) To third-party sources during the
course of an investigation only such
information as determined to be
necessary and pertinent to the
investigation in order to obtain
information or assistance relating to an
audit, trial, hearing, or any other
authorized activity of the OIG;
(8) To a congressional office in
response to a written inquiry made by
the congressional office at the request of
the individual to whom the records
pertain;
(9) To a Federal, State, or local agency
maintaining civil, criminal, or other
relevant enforcement information or
other pertinent information, such as
current licenses, if necessary for the
FDIC to obtain information concerning
the hiring or retention of an employee,
the issuance of a security clearance, the
letting of a contract, or the issuance of
a license, grant, or other benefit;
(10) To a Federal agency responsible
for considering suspension or
debarment action where such record is
determined to be necessary and
relevant;
(11) To a consultant, person or entity
who contracts or subcontracts with the
FDIC or OIG, to the extent necessary for
the performance of the contract or
subcontract. The recipient of the records
shall be required to comply with the
requirements of the Privacy Act of 1974,
as amended (5 U.S.C. 552a);
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Sfmt 4703
(12) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
Federal Government;
(13) To the U.S. Office of Personnel
Management, Government
Accountability Office, Office of
Government Ethics, Merit Systems
Protection Board, Office of Special
Counsel, Equal Employment
Opportunity Commission, Department
of Justice, Office of Management and
Budget or the Federal Labor Relations
Authority of records or portions thereof
determined to be relevant and necessary
to carrying out their authorized
functions, including but not limited to
a request made in connection with
hiring or retaining an employee,
rendering advice requested by OIG,
issuing a security clearance, reporting
an investigation of an employee,
reporting an investigation of prohibited
personnel practices, letting a contract or
issuing a grant, license, or other benefit
by the requesting agency, but only to the
extent that the information disclosed is
necessary and relevant to the requesting
agency’s decision on the matter;
(14) 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;
(15) 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;
(16) 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;
(17) To a financial institution affected
by enforcement activities or reported
criminal activities;
(18) To the Internal Revenue Service
and appropriate State and local taxing
authorities;
(19) To other Federal, State or foreign
financial institutions’ supervisory or
regulatory authorities;
(20) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(21) To a governmental, public or
professional or self-regulatory licensing
organization when such record
indicates, either by itself or in
combination with other information, a
violation or potential violation of
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professional standards, or reflects on the
moral, educational, or professional
qualifications of an individual who is
licensed or who is seeking to become
licensed;
(22) To the Department of the
Treasury, federal debt collection
centers, other appropriate federal
agencies, and private collection
contractors or other third parties
authorized by law, for the purpose of
collecting or assisting in the collection
of delinquent debts owed to the FDIC or
to obtain information in the course of an
investigation (to the extent permitted by
law). Disclosure of information
contained in these records will be
limited to the individual’s name, Social
Security number, and other information
necessary to establish the identity of the
individual, and the existence, validity,
amount, status and history of the debt;
and
(23) To other Federal Offices of
Inspector General or other entities for
the purpose of conducting quality
assessments or peer reviews of the OIG,
or its investigative components, or for
statistical purposes.
Note: In addition to the foregoing, a
record which is contained in this system
and derived from another FDIC system
of records may be disclosed as a routine
use as specified in the published notice
of the system of records from which the
record is derived.
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)).
srobinson on DSK4SPTVN1PROD with NOTICES3
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:
16:30 Dec 12, 2011
Jkt 226001
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Inspector General for
Investigations, FDIC Office of Inspector
General, 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 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. Note: This
system contains records that are exempt
under 5 U.S.C. 552a(j)(2), (k)(2) and
(k)(5). See ‘‘Exemptions Claimed for the
System’’ below.
and informants. Records in this system
may have originated in other FDIC
systems of records and were
subsequently transferred to this system.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system of records, to the extent
that it consists of information compiled
for the purpose of criminal
investigations, has been exempted from
the requirements of subsections (c)(3)
and (4); (d); (e)(1), (2) and (3); (e)(4)(G)
and (H); (e)(5); (e)(8); (e)(12); (f); (g); and
(h) of the Privacy Act pursuant to 5
U.S.C. 552a(j)(2). In addition, this
system of records, to the extent that it
consists of investigatory material
compiled: (A) for other law enforcement
purposes (except where an individual
has been denied any right, privilege, or
benefit for which he or she would
otherwise be entitled to or eligible for
under Federal law, so long as the
disclosure of such information would
not reveal the identity of a source who
furnished information to the FDIC under
an express promise that his or her
identity would be kept confidential); or
(B) solely for purposes of determining
suitability, eligibility, or qualifications
for Federal civilian employment or
Federal contracts, the release of which
would reveal the identity of a source
who furnished information to the FDIC
on a confidential basis, has been
exempted from the requirements of
subsections (c)(3); (d); (e)(1); (e)(4)(G)
and (H); and (f) of the Privacy Act
pursuant to 5 U.S.C. 552a(k)(2) and
(k)(5), respectively.
FDIC–30–64–0011
SYSTEM NAME:
Corporate Applicant Recruiting,
Evaluating and Electronic Referral
Records.
SECURITY CLASSIFICATION:
RECORD ACCESS PROCEDURES:
See ‘‘Notification Procedure’’ above.
Storage: Records are stored in
electronic media and in paper format
within individual file folders.
Retrievability: Records are indexed
and retrieved by name of individual,
unique investigation number assigned,
referral number, social security number,
or investigative subject matter.
Safeguards: The electronic system
files are accessible only by authorized
personnel and are safeguarded with user
passwords and authentication, network/
database permission, and software
controls. File folders are maintained in
lockable metal file cabinets and lockable
offices accessible only by authorized
personnel.
Retention and Disposal: Records
maintained in file folders are retained:
VerDate Mar<15>2010
for five years if the records are of an
investigative nature but are not related
to a specific investigation; for ten years
if the records are related to a specific
investigation; and permanently if the
investigation to which the records relate
results in national media attention,
congressional investigation or
substantive changes in agency policy
and procedures. Nonpermanent records
are then destroyed by shredding. The
retention period for electronic system
data is ten years. However, the manner
of disposing of electronic system
records has not been determined. This
determination will depend on expected
future guidance from legislation or from
the National Archives and Records
Administration. Until that
determination is made, electronic
system records may be retained
indefinitely.
77639
Unclassified but sensitive.
CONTESTING RECORD PROCEDURES:
SYSTEM LOCATION:
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. Note:
This system contains records that are
exempt under 5 U.S.C. 552a(j)(2), (k)(2)
and (k)(5). See ‘‘Exemptions Claimed for
the System’’ below.
Human Resources Branch, Division of
Administration, FDIC, 3501 North
Fairfax Drive, Arlington, VA 22226.
RECORD SOURCE CATEGORIES:
Current and former employees of the
FDIC, other government employees,
private individuals, vendors,
contractors, subcontractors, witnesses
PO 00000
Frm 00015
Fmt 4701
Sfmt 4703
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Individuals filing applications for
employment with the FDIC in response
to advertised position vacancy
announcements.
CATEGORIES OF RECORDS IN THE SYSTEM:
Position vacancy announcement
information such as position title, series
and grade level(s), office and duty
location, opening and closing date of the
announcement, and dates of referral and
return of lists of qualified candidates;
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Federal Register / Vol. 76, No. 239 / Tuesday, December 13, 2011 / Notices
applicant personal data such as name,
address, other contact information,
social security number, sex, veterans’
preference and federal competitive
status; and applicant qualification and
processing information such as
qualifications, grade level eligibility,
reason for ineligibility, referral status,
and dates of notification.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819); 5 U.S.C.
1104.
PURPOSE:
The records are collected and
maintained to monitor and track
individuals filing employment
applications with the FDIC and to assess
recruiting goals and objectives.
srobinson on DSK4SPTVN1PROD with NOTICES3
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
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
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16:30 Dec 12, 2011
Jkt 226001
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; and
(9) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
Storage: Records are stored in
electronic media.
Retrievability: Indexed and retrieved
by name and truncated social security
number of individual applicant.
Safeguards: Electronic files are
password protected and accessible only
by authorized personnel. Network
servers are located in a locked room
with physical access limited to
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:
Assistant Director, Information
Systems and Services Section, Human
Resources Branch, Division of
Administration, FDIC, 3501 North
Fairfax Drive, Arlington, VA 22226.
PO 00000
Frm 00016
Fmt 4701
Sfmt 4703
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 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:
Information originates from position
vacancy announcements, applications
for employment submitted by
individuals, and the applicant
qualification and processing system.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
FDIC–30–64–0012
SYSTEM NAME:
Financial Information Management
Records.
SECURITY CLASSIFICATION:
Unclassified but sensitive.
SYSTEM LOCATION:
Division of Finance, FDIC, 3501 North
Fairfax Drive, Arlington, VA 22226.
Records concerning garnishments,
attachments, wage assignments and
related records concerning FDIC
employees are located with the General
Counsel, Legal Division, FDIC, 550 17th
Street NW., Washington, DC 20429.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Current and former employees,
current and former vendors and
contractors providing goods and/or
services to the FDIC, current and former
advisory committee members and others
who travel or perform services for the
FDIC, current and former FDIC
customers, and individuals who were
depositors or claimants of failed
financial institutions for which the FDIC
was appointed receiver. Note: Only
records reflecting personal information
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are subject to the Privacy Act. This
system also contains records concerning
failed financial institution
receiverships, corporations, other
business entities, and organizations
whose records are not subject to the
Privacy Act.
srobinson on DSK4SPTVN1PROD with NOTICES3
CATEGORIES OF RECORDS IN THE SYSTEM:
This system contains (1) employee
payroll, benefit, and disbursementrelated records; (2) contractor and
vendor invoices and other accounts
payable records; (3) customer records
related to accounts receivables; (4)
payment records for individuals who
were depositors or claimants of failed
financial institutions for which the FDIC
was appointed receiver; and (5)
accounting and financial management
records. The payroll and/or
disbursement records include
employees’ mailing addresses and home
addresses; financial institution account
information; social security number and
unique employee identification number;
rate and amount of pay; tax exemptions;
tax deductions for employee payments;
and corporate payments information for
tax reporting. Records relating to
employee, advisory committee and
other claims for reimbursement of
official travel expenses include travel
authorizations, vouchers showing
amounts claimed, exceptions taken as a
result of audit, and amounts paid. Other
records maintained on employees
include reimbursement claims for
relocation expenses consisting of
authorizations, advances, vouchers of
amounts claimed and amounts paid;
reimbursement for educational expenses
or professional membership dues and
licensing fees and similar
reimbursements; awards, bonuses, and
buyout payments; advances or other
funds owed to the FDIC; and
garnishments, attachments, wage
assignments or related records. Copies
of receipts/invoices provided to the
FDIC for reimbursement may contain
credit card or other identifying account
information. Contractor, vendor, and
other accounts payable records consist
of all documents relating to the
purchase of goods and/or services from
those individuals including contractual
documents, vendor addresses and
financial institution account
information, vendor invoice statements;
amounts paid, and vendor tax
identification number. Copies of
documentation supporting vendor
invoice statements may contain
identifying data, such as account
number. Customer information is also
captured as necessary for the collection
of accounts receivable. Payment records
for individuals who were depositors or
VerDate Mar<15>2010
16:30 Dec 12, 2011
Jkt 226001
claimants of failed financial institutions
for which the FDIC was appointed
receiver include name, address, and
payment amount; tax id numbers or
social security numbers are also
included for depositors or claimants
when an informational tax return must
be filed. The records also include
general ledger and detailed trial
balances and supporting data.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Sections 9 and 10(a) of the Federal
Deposit Insurance Act (12 U.S.C. 1819
and 1820(a)).
PURPOSE:
The records are maintained for the
FDIC and the failed financial institution
receiverships managed by the FDIC. The
records are used to manage and account
for financial transactions and financial
activities of the FDIC. The records and
associated databases and subsystems
provide a data source for the production
of reports and documentation for
internal and external management
reporting associated with the financial
operations of the FDIC.
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;
PO 00000
Frm 00017
Fmt 4701
Sfmt 4703
77641
(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 auditors employed by the U.S.
Government Accountability Office;
(11) To the Internal Revenue Service
and appropriate State and local taxing
authorities;
(12) To vendors, carriers, or other
appropriate third parties by the FDIC
Office of Inspector General for the
purpose of verification, confirmation, or
substantiation during the performance
of audits or investigations; and
(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
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Federal Register / Vol. 76, No. 239 / Tuesday, December 13, 2011 / Notices
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 paper format in
file folders.
Retrievability: Electronic media are
indexed and retrievable by social
security number or specialized
identifying number; paper format
records are generally indexed and
retrieved by name
Safeguards: Electronic files are
password protected and accessible only
by authorized personnel. Paper format
records are maintained in secure areas.
Retention and Disposal: Financial
records are retained by the FDIC for ten
years in electronic format and then
transferred to the Federal Records
Center or destroyed. Disposal is by
shredding or other appropriate disposal
systems.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Division of Finance, FDIC,
3501 North Fairfax Drive, Arlington, VA
22226. For records about FDIC
employees concerning garnishments,
attachments, wage assignments and
related records, the system manager is
the General Counsel, Legal Division,
FDIC, 550 17th Street NW., Washington,
DC 20429.
srobinson on DSK4SPTVN1PROD with NOTICES3
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 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
VerDate Mar<15>2010
16:30 Dec 12, 2011
Jkt 226001
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 upon whom the record is
maintained; other government agencies;
contractors; or from another FDIC office
maintaining the records in the
performance of their duties. Where an
employee is subject to a tax lien, a
bankruptcy, an attachment, or a wage
garnishment, information also is
obtained from the appropriate taxing or
judicial authority.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
FDIC–30–64–0013
SYSTEM NAME:
Insured Financial Institution
Liquidation Records.
SECURITY CLASSIFICATION:
Unclassified but sensitive.
SYSTEM LOCATION:
Division of Resolutions and
Receiverships, FDIC, 550 17th Street
NW., Washington, DC 20429; Field
Operations Branch, Division of
Resolutions and Receiverships, FDIC,
1601 Bryan Street, Dallas, Texas 75201;
and at secure sites and on secure servers
maintained by third-party service
providers for the FDIC.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Individuals who were obligors,
obligees, or subject to claims of FDICinsured financial institutions for which
the FDIC was appointed receiver or
conservator of FDIC-insured financial
institutions that were provided
assistance by the FDIC and the FDIC is
acting as receiver or conservator of
certain of the financial institution’s
assets. Note: Only records reflecting
personal information are subject to the
Privacy Act. This system also contains
records concerning failed financial
institution receiverships, corporations,
other business entities, and
organizations whose records are not
subject to the Privacy Act.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system contains the individual’s
files held by the closed or assisted
financial institution, including loan or
contractual agreements, related
documents, and correspondence. The
system also contains FDIC asset files,
including judgments obtained,
PO 00000
Frm 00018
Fmt 4701
Sfmt 4703
restitution orders, and loan deficiencies
arising from the liquidation of the
obligor’s loan asset(s) and associated
collateral, if any; information relating to
the obligor’s financial condition such as
financial statements and income tax
returns; asset or collateral verifications
or searches; appraisals; and potential
sources of repayment. FDIC asset files
also include intra- or inter-agency
memoranda, as well as notes,
correspondence, and other documents
relating to the liquidation of the loan
obligation or asset. FDIC’s receivership
claims files may include all information
related to claims filed with the
receivership estate by a failed financial
institution’s landlords, creditors, service
providers or other obligees or claimants.
Note: Records held by the FDIC as
receiver are a part of this system only
to the extent that the state law governing
the receivership is not inconsistent or
does not otherwise establish specific
requirements.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Sections 9, 11, and 13 of the Federal
Deposit Insurance Act (12 U.S.C. 1819,
1821, and 1823) and applicable State
laws governing the liquidation of assets
and wind-up of the affairs of failed
financial institutions.
PURPOSE:
The records are maintained to: (a)
Identify and manage loan obligations
and assets acquired from failed FDICinsured financial institutions for which
the FDIC was appointed receiver or
conservator, or from FDIC-insured
financial institutions that were provided
assistance by the FDIC; (b) identify,
manage and discharge the obligations to
creditors, obligees and other claimants
of FDIC-insured financial institutions
for which the FDIC was appointed
receiver or conservator, or of FDICinsured financial institutions that were
provided assistance by the FDIC; and (c)
assist with financial and management
reporting. The records support the
receivership and conservatorship
functions of the FDIC required by
applicable Federal and State statutes.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USE:
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
E:\FR\FM\13DEN3.SGM
13DEN3
srobinson on DSK4SPTVN1PROD with NOTICES3
Federal Register / Vol. 76, No. 239 / Tuesday, December 13, 2011 / Notices
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 or entities
performing services for the FDIC in
connection with the liquidation of an
individual’s obligation(s), including
judgments and loan deficiencies or in
connection with the fulfillment of a
claim filed with the FDIC as receiver or
liquidator. Third party contractors
VerDate Mar<15>2010
16:30 Dec 12, 2011
Jkt 226001
include, but are not limited to, asset
marketing contractors; loan servicers;
appraisers; environmental contractors;
attorneys retained by the FDIC;
collection agencies; auditing or
accounting firms retained to assist in an
audit or investigation of FDIC’s
liquidation activities; grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC;
(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 prospective purchaser(s) of
the individual’s obligation(s), including
judgments and loan deficiencies, for the
purpose of informing the prospective
purchaser(s) about the nature and
quality of the loan obligation(s) to be
purchased;
(11) To Federal or State agencies, such
as the Internal Revenue Service or State
taxation authorities, in the performance
of their governmental duties, such as
obtaining information regarding income,
including the reporting of income
resulting from a compromise or write-off
of a loan obligation;
(12) To participants in the loan
obligation in order to fulfill any
contractual or incidental responsibilities
in connection with the loan
participation agreement;
(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.
(14) To Federal or State agencies or to
financial institutions where information
is relevant to an application or request
by the individual for a loan, grant,
financial benefit, or other entitlement;
(15) To Federal or State examiners for
the purposes of examining borrowing
relationships in operating financial
institutions that may be related to an
obligation of an individual covered by
this system; and
(16) To the individual, the
individual’s counsel or other
representatives, insurance carrier(s) or
underwriters of bankers’ blanket bonds
or other financial institution bonds for
PO 00000
Frm 00019
Fmt 4701
Sfmt 4703
77643
failed or assisted FDIC-insured financial
institutions in conjunction with claims
made by the FDIC or litigation instituted
by the FDIC or others on behalf of the
FDIC against former officers, directors,
accountants, lawyers, consultants,
appraisers, or underwriters of bankers’
blanket bonds or other financial
institution bonds of a failed or assisted
FDIC-insured financial institution.
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 by
financial institution number, name of
failed or assisted insured institution,
and by name of individual.
Safeguards: Electronic files are
password protected and accessible only
by authorized personnel. Paper format
records maintained in individual file
folders are stored in lockable file
cabinets and/or in secured vaults or
warehouses and are accessible only by
authorized personnel.
Retention and Disposal: Credit/loan
files or files concerning the obligors,
obligees, or individuals subject to
claims of the failed or assisted financial
institution are maintained until the
receivership claim, loan obligation,
judgment, loan deficiency or other asset
or liability is sold or otherwise disposed
of, or for the period of time provided
under applicable Federal or State laws
pursuant to which the FDIC liquidates
the assets, discharges the liabilities or
processes the claims. FDIC asset files
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:
Division of Resolutions and
Receiverships, FDIC, 550 17th Street
NW., Washington, DC 20429; and
Deputy Director, Field Operations
Branch, FDIC, 1601 Bryan Street, Dallas,
Texas 75201.
E:\FR\FM\13DEN3.SGM
13DEN3
77644
Federal Register / Vol. 76, No. 239 / Tuesday, December 13, 2011 / Notices
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 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:
Information is obtained from the
individual on whom the record is
maintained; appraisers retained by the
originating financial institution or the
FDIC; investigative and/or research
companies; credit bureaus and/or
services; loan servicers; court records;
references named by the individual;
attorneys or accountants retained by the
originating financial institution or the
FDIC; participants in the obligation(s) of
the individual; officers and employees
of the failed or assisted financial
institution; congressional offices that
may initiate an inquiry; and other
parties providing services to the FDIC in
its capacity as liquidator or receiver.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
FDIC–30–64–0014
SYSTEM NAME:
Personnel Benefits and Enrollment
Records.
SECURITY CLASSIFICATION:
Unclassified but sensitive.
srobinson on DSK4SPTVN1PROD with NOTICES3
SYSTEM LOCATION:
Division of Administration, FDIC, 550
17th Street NW., Washington, DC 20429.
For administrative purposes, duplicate
systems may exist within the FDIC at
the duty station of each employee. (See
Appendix A for a list of the FDIC
regional offices.) The FDIC also has an
interagency agreement with the U.S.
Department of Agriculture, National
Finance Center in New Orleans,
VerDate Mar<15>2010
16:30 Dec 12, 2011
Jkt 226001
Louisiana, to provide and maintain
payroll, personnel, and related services
and systems involving FDIC employees.
The FDIC also has agreements with T.
Rowe Price, Benefit Allocation Systems,
and other benefit plan contractors to
provide employee benefits and related
administrative services.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
To the extent not covered by any
other system, this system covers current
and former FDIC employees and their
dependents who are enrolled in the
FDIC-sponsored Savings Plan, health,
life, and other insurance or benefit
programs.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system contains general
personnel and enrollment information
for the FDIC-sponsored Savings Plan,
flexible spending account (FSA) plans
and insurance plans (life, dental, vision,
or long-term disability). The FDIC
maintains information on earnings,
number and name of dependents,
gender, birth date, home address, social
security number, employee locator
information (including email and office
addresses), claims for FSA
reimbursements, and related
correspondence.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 819) and
Executive Order 9397.
PURPOSE(S):
The records are collected, maintained
and used to support the administration
and management of the FDIC personnel
benefits programs.
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
PO 00000
Frm 00020
Fmt 4701
Sfmt 4703
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 officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions;
(9) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
Federal Government;
(10) To the Department of Agriculture,
National Finance Center to provide
personnel, payroll, and related services
and systems involving FDIC personnel;
(11) To the Internal Revenue Service
and appropriate State and local taxing
authorities;
E:\FR\FM\13DEN3.SGM
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Federal Register / Vol. 76, No. 239 / Tuesday, December 13, 2011 / Notices
(12) To appropriate Federal agencies
to effect salary or administrative offsets,
or for other purposes connected with
the collection of debts owed to the
United States;
(13) To the Office of Child Support
Enforcement, Administration for
Children and Families, Department of
Health and Human Services for the
purpose of locating individuals to
establish paternity, establish and modify
orders of child support enforcement
actions as required by the Personal
Responsibility and Work Opportunity
Reconciliation Act, the Federal Parent
Locator System and the Federal Tax
Offset System;
(14) To the Office of Child Support
Enforcement for release to the Social
Security Administration for verifying
social security numbers in connection
with the operation of the Federal Parent
Locator System by the Office of Child
Support Enforcement;
(15) To the Office of Child Support
Enforcement for release to the
Department of Treasury for purposes of
administering the Earned Income Tax
Credit Program and verifying a claim
with respect to employment in a tax
return;
(16) To Benefit Allocation Systems, T.
Rowe Price, and other benefit providers,
carriers, vendors, contractors, and
agents to process claims and provide
related administrative services
involving FDIC personnel.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:
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)).
srobinson on DSK4SPTVN1PROD with NOTICES3
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
16:30 Dec 12, 2011
Jkt 226001
Deputy Director, Human Resources
Branch, FDIC Division of
Administration, 550 17th Street NW.,
Washington, DC 20429.
NOTIFICATION PROCEDURE:
Individuals seeking to determine
whether this system of records contains
information pertaining to themselves or
who are seeking access to records
maintained in this system of records
must submit their request in writing to
the Legal Division, FOIA & Privacy Act
Group, FDIC, 550 17th Street NW.,
Washington, DC 20429, and comply
with the procedures contained in FDIC’s
Privacy Act regulations, 12 CFR part
310.
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
of records should specify the
information being contested, their
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 sources of records in this category
include the individuals to whom the
records pertain and information
retrieved from official FDIC records.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
Personnel Records.
SECURITY CLASSIFICATION:
Division of Administration, FDIC, 550
17th Street NW., Washington, DC 20429.
For administrative purposes, duplicate
systems may exist within the FDIC at
the duty station of each employee. (See
Appendix A for a list of the FDIC
regional offices.) The FDIC also has an
interagency agreement with the U.S.
Department of Agriculture, National
Finance Center in New Orleans,
Louisiana, to provide and maintain
payroll, personnel, and related services
and systems involving FDIC employees.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
To the extent not covered by any
other system, this system covers current
and former FDIC employees,
Fmt 4701
This system contains a variety of
records relating to personnel actions
and determinations made about
individuals while employed or seeking
employment. These records may contain
information about an individual relating
to name, birth date, Social Security
Number (SSN), personal telephone
numbers and addresses, employment
applications, background, identity
verification and credentials, duty station
telephone numbers and addresses,
compensation, performance, separation,
Internal Revenue Service (IRS) or courtordered levies, emergency contacts, and
related records and correspondence.
NOTE: Records maintained by the FDIC
in the official personnel file are
described in the government-wide
Privacy Act System Notice known as
OPM/GOVT–1 and other governmentwide system notices published by the
Office of Personnel Management, and
are not included within this system.
Also not included in this system are
records covered by FDIC–30–64–0009
(Safety and Security Incident Records),
FDIC–30–64–0014 (Personnel Benefits
and Enrollment Records), FDIC–30–64–
0026 (Transit Subsidy Program
Records), and FDIC–30–64–0027
(Parking Program Records).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819) and
Executive Order 9397.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
SYSTEM LOCATION:
Frm 00021
CATEGORIES OF RECORDS IN THE SYSTEM:
The records are collected, maintained
and used to support the administration
and management of the FDIC personnel
and benefits programs.
SYSTEM NAME:
PO 00000
contractors, and applicants for
employment.
PURPOSE(S):
FDIC–30–64–0015
Unclassified but sensitive.
Storage: Records are stored in
electronic media or in paper format
within individual file folders.
Retrievability: Records are indexed
and retrieved by the name or social
security number of the employee.
Safeguards: Electronic records are
password-protected and accessible only
by authorized personnel. Paper records
are maintained in lockable metal file
cabinets in a locked room accessible
only to authorized personnel.
Retention and Disposal: Paper records
and electronic media are retained in
accordance with National Archives and
Records Administration and FDIC
Records Retention and Disposition
Schedules. Disposal is by shredding or
other appropriate disposal systems.
VerDate Mar<15>2010
SYSTEM MANAGER(S) AND ADDRESS:
77645
Sfmt 4703
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;
E:\FR\FM\13DEN3.SGM
13DEN3
srobinson on DSK4SPTVN1PROD with NOTICES3
77646
Federal Register / Vol. 76, No. 239 / Tuesday, December 13, 2011 / Notices
(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 officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions;
(9) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
Federal Government.
(10) To the Department of Agriculture,
National Finance Center to provide
personnel, payroll, and related services
and systems involving FDIC personnel;
VerDate Mar<15>2010
16:30 Dec 12, 2011
Jkt 226001
(11) To the Internal Revenue Service
and appropriate State and local taxing
authorities;
(12) To appropriate Federal agencies
to effect salary or administrative offsets,
or for other purposes connected with
the collection of debts owed to the
United States;
(13) To the Office of Child Support
Enforcement, Administration for
Children and Families, Department of
Health and Human Services for the
purpose of locating individuals to
establish paternity, establish and modify
orders of child support enforcement
actions as required by the Personal
Responsibility and Work Opportunity
Reconciliation Act, the Federal Parent
Locator System and the Federal Tax
Offset System;
(14) To the Office of Child Support
Enforcement for release to the Social
Security Administration for verifying
social security numbers in connection
with the operation of the Federal Parent
Locator System by the Office of Child
Support Enforcement;
(15) To the Office of Child Support
Enforcement for release to the
Department of the Treasury for purposes
of administering the Earned Income Tax
Credit Program and verifying a claim
with respect to employment in a tax
return.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:
Disclosures may be made pursuant to
5 U.S.C. 552a(b)(12) and section 3 of the
Debt Collection Act of 1982. Debt
information concerning a government
claim against an individual is also
furnished, in accordance with 5 U.S.C.
552a(b)(12) and Section 3 of the Debt
Collection Act of 1982, to consumer
reporting agencies to encourage
repayment of an overdue debt.
Disclosures may be made to a consumer
reporting agency 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 or in paper format
within individual file folders.
Retrievability: Records are indexed
and retrieved by the name or social
security number of the employee.
Safeguards: Electronic records are
password-protected and accessible only
by authorized personnel. Paper records
are maintained in lockable metal file
cabinets in a locked room accessible
only to authorized personnel.
PO 00000
Frm 00022
Fmt 4701
Sfmt 4703
Retention and Disposal: Records are
retained 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:
Deputy Director, Human Resources
Branch, FDIC Division of
Administration, 550 17th Street NW.,
Washington, DC 20429.
NOTIFICATION PROCEDURE:
Individuals seeking to determine
whether this system of records contains
information pertaining to themselves or
who are seeking access to records
maintained in this system of records
must submit their request in writing to
the Legal Division, FOIA & Privacy Act
Group, FDIC, 550 17th Street NW.,
Washington, DC 20429, and comply
with the procedures contained in FDIC’s
Privacy Act regulations, 12 CFR part
310.
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
of records should specify the
information being contested, their
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 sources of records in this category
include the individuals to whom the
records pertain and information
retrieved from official FDIC records.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
FDIC–30–64–0016
SYSTEM NAME:
Professional Qualification Records for
Municipal Securities Dealers, Municipal
Securities Representatives, and U.S.
Government Securities Brokers/Dealers.
SECURITY CLASSIFICATION:
Unclassified but sensitive.
SYSTEM LOCATION:
Division of Risk Management
Supervision, Risk Management Policy
and Exam Oversight Branch, FDIC, 550
17th Street NW., Washington, DC 20429.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
(1) Persons who are or seek to be
associated with municipal securities
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Federal Register / Vol. 76, No. 239 / Tuesday, December 13, 2011 / Notices
brokers or municipal securities dealers
which are FDIC-insured, state-chartered
financial institutions (including insured
state-licensed branches of foreign
financial institutions), not members of
the Federal Reserve System, or are
subsidiaries, departments, or divisions
of such financial institutions;
(2) Persons who are or seek to be
persons associated with U.S.
Government securities dealers or
brokers which are FDIC-insured statechartered financial institutions, other
than members of the Federal Reserve
System.
CATEGORIES OF RECORDS IN THE SYSTEM:
The records contain identifying
information, detailed educational and
employment histories, examination
information, disciplinary information, if
any, and information concerning the
termination of employment of
individuals covered by the system.
Identifying information includes name,
address, date and place of birth, and
may include social security number.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Sections 15B(c), 15C, and 23 of the
Securities Exchange Act of 1934 (15
U.S.C. 78o–4, 78o–5, and 78q and 78w);
and Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819).
PURPOSE:
The records are maintained to comply
with the registration requirements of
municipal securities dealers, municipal
securities representatives, and U.S.
Government securities brokers or
dealers and associated persons
contained in the Securities Exchange
Act of 1934 and to support the FDIC’s
regulatory and supervisory functions.
srobinson on DSK4SPTVN1PROD with NOTICES3
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
PURPOSES OF SUCH USE:
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
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Jkt 226001
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 appropriate Federal, State,
local, or foreign agency or authority or
to the appropriate self-regulatory
organization, as defined in section
3(a)(26) of the Securities Exchange Act
of 1934 (15 U.S.C. 78c (a)(26)), to the
extent disclosure is determined to be
necessary and pertinent for investigating
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77647
or prosecuting a violation of or for
enforcing or implementing a statute,
rule, regulation, or order, when the
information by itself or together with
additional information indicates a
violation or potential violation of law,
whether civil, criminal, or regulatory in
nature, and whether arising by general
statute or particular program statute, or
regulation, rule or order issued pursuant
thereto;
(11) To assist in any proceeding in
which the Federal securities or banking
laws are in issue or a proceeding
involving the propriety of a disclosure
of information contained in this system,
in which the FDIC or one of its past or
present employees is a party, to the
extent that the information is relevant to
the proceeding;
(12) To a Federal, State, local, or
foreign governmental authority or a selfregulatory organization if necessary in
order to obtain information relevant to
an FDIC inquiry concerning a person
who is or seeks to be associated with a
municipal securities dealer as a
municipal securities principal or
representative or a U.S. Government
securities broker or a U.S. Government
securities dealer;
(13) To a Federal, State, local, or
foreign governmental authority or a selfregulatory organization in connection
with the issuance of a license or other
benefit to the extent that the information
is relevant and necessary; and
(14) To a registered dealer, registered
broker, registered municipal securities
dealer, U.S. Government securities
dealer, U.S. Government securities
broker, or an insured financial
institution that is a past or present
employer of an individual that is the
subject of a record, or to which such
individual has applied for employment,
for purposes of identity verification or
for purposes of investigating the
qualifications of the subject individual.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
Storage: Records are stored in
electronic media and in paper format
within individual file folders.
Retrievability: Indexed by name and
dealer registration number or FDIC
financial institution certificate number.
Safeguards: Electronic files are
password protected and accessible only
by authorized personnel. Paper format
records are stored in file folders in
lockable metal file cabinets accessible
only by authorized personnel.
Retention and Disposal: These records
will be maintained until they become
inactive, at which time they will be
retired or destroyed in accordance with
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Fairfax Drive, Arlington, VA 22226;
1310 Courthouse Road, Arlington VA
22226; and Health Units located in FDIC
regional offices. (See Appendix A for a
list of the FDIC regional offices and their
addresses.)
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:
Examination Specialist, Risk
Management Policy and Exam Oversight
Branch, Division of Risk Management
Supervision, FDIC, 550 17th Street NW.,
Washington, DC 20429.
NOTIFICATION PROCEDURE:
Individuals wishing to determine if
they are named in this system of records
or who are seeking access or
amendment to records maintained in
this system of records must submit their
request in writing 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:
Individuals on whom the records are
maintained, municipal securities
dealers and U.S. Government securities
dealers and brokers (as such dealers are
described in ‘‘Categories of Individuals
Covered by the System’’ above), and
Federal, State, local, and foreign
governmental authorities and selfregulatory organizations or agencies
which regulate the securities industry.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
FDIC–30–64–0017
SYSTEM NAME:
srobinson on DSK4SPTVN1PROD with NOTICES3
Employee Medical and Health
Assessment Records.
SECURITY CLASSIFICATION:
Unclassified but sensitive.
SYSTEM LOCATION:
Health Unit, Corporate Services
Branch, Division of Administration,
FDIC, located at the following
addresses: 550 17th Street NW.,
Washington, DC 20429; 3501 North
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16:30 Dec 12, 2011
Jkt 226001
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
All current and former FDIC
employees and other individuals who
seek information, treatment, medical
accommodations, or participate in
health screening programs administered
by the FDIC.
CATEGORIES OF RECORDS IN THE SYSTEM:
Medical records of the employee,
including name, age, height, weight,
history of certain medical conditions,
health screening records; dates of visits
to the FDIC Health Unit, diagnoses, and
treatments administered; ergonomic
reviews and assessments; and the name
and telephone number of the person to
contact in the event of a medical
emergency involving the employee.
Note: In addition to the FDIC system of
records, the United States Office of
Personnel Management maintains
government-wide system of records
(known as OPM/GOVT–10).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819).
PURPOSE:
The records are collected and
maintained to identify potential health
issues and concerns of an individual
and to identify and collect information
with respect to medical conditions
reported by an individual to the FDIC
Health Unit and to identify necessary
contacts in the event of a medical
emergency involving the covered
individual.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
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
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Fmt 4701
Sfmt 4703
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 appropriate Federal, State
or local agency when necessary to
adjudicate a claim (filed by or on behalf
of the individual) under the Federal
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Employees Compensation Act (the
FECA) as codified in 5 U.S.C. 8101–
8193, or a retirement, insurance or
health benefit program;
(11) To a Federal, State, or local
agency to the extent necessary to
comply with laws governing reporting
of communicable disease;
(12) To health or life insurance
carriers contracting with the FDIC to
provide life insurance or to provide
health benefits plan, such information
necessary to verify eligibility for
payment of a claim for life or health
benefits;
(13) To a Health Unit or occupational
safety and health contractors, including
contract nurses, industrial hygienists,
and others retained for the purpose of
performing any function associated with
the operation of the Health Unit; and
(14) To the person designated on the
appropriate form as the individual to
contact in the event of a medical
emergency of the employee.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
Storage: The records are stored in
electronic media and in paper format
within individual file folders.
Retrievability: Records are indexed
and retrieved by name.
Safeguards: Electronic files are
password protected and accessible only
by authorized personnel. Paper format
records are stored in lockable metal file
cabinets. Access is limited to authorized
employees and contractors responsible
for servicing the records in the
performance of their duties.
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:
Health, Safety and Environmental
Program Manager, Corporate Services
Branch, Division of Administration,
FDIC, 3501 North Fairfax Drive,
Arlington, VA 22226.
srobinson on DSK4SPTVN1PROD with NOTICES3
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 the Legal Division,
FOIA & Privacy Act Group, FDIC, 550
17th Street NW., Washington, DC 20429,
in accordance with FDIC regulations at
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16:30 Dec 12, 2011
Jkt 226001
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 records are compiled by the
employee and contractor personnel
during the course of a visit to the Health
Unit for treatment. Records are also
created as a result of the individual’s
participation in a health screening
program, and are used to assist in the
performance of accident/incident
investigations, or if the individual
requests an ergonomic assessment or
health or medical accommodation. The
employee supplies the information
contained in the emergency contact
sheet.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
FDIC–30–64–0018
SYSTEM NAME:
Grievance Records.
SECURITY CLASSIFICATION:
Unclassified but sensitive.
SYSTEM LOCATION:
Human Resources Branch, Division of
Administration, FDIC, 3501 North
Fairfax Drive, Arlington, VA 22226.
Records at the regional level generated
through grievance procedures
negotiated with recognized labor
organizations are located in the FDIC
regional office where originated (See
Appendix A for a list of the FDIC
regional offices and their addresses). For
non-headquarters employees, duplicate
copies may be maintained by the
Human Resources Branch, Division of
Administration, Arlington, VA for the
purpose of coordinating grievance and
arbitration proceedings.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Current or former FDIC employees
who have submitted grievances in
accordance with part 771 of the United
States Office of Personnel Management’s
regulations (5 CFR part 771) or a
negotiated grievance procedure.
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77649
CATEGORIES OF RECORDS IN THE SYSTEM:
The system contains records relating
to grievances filed by FDIC employees
under Part 771 of the United States
Office of Personnel Management’s
regulations, or under 5 U.S.C. 7121.
Case files contain documents related to
the grievance including statements of
witnesses, reports of interviews and
hearings, examiner’s findings and
recommendations, a copy of the final
decision, and related correspondence
and exhibits. This system includes files
and records of internal grievance
procedures that FDIC may establish
through negotiations with recognized
labor organizations.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819) 5 U.S.C.
7121; 5 CFR part 771.
PURPOSE:
The information contained in this
system is used to make determinations
and document decisions made on filed
grievances and settle matters of
dissatisfaction or concern of covered
individuals. Information from this
system may be used for preparing
statistical summary or management
reports.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
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
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srobinson on DSK4SPTVN1PROD with NOTICES3
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 any source during the course
of an investigation only such
information as determined to be
necessary and pertinent to process a
grievance, to the extent necessary to
identify the individual, inform the
source of the purpose(s) of the request
and identify the type of information
requested.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
16:30 Dec 12, 2011
Jkt 226001
SYSTEM MANAGER(S) AND ADDRESS:
Deputy Director of Personnel, Human
Resources Branch, Division of
Administration, FDIC, 3501 North
Fairfax Drive Arlington, VA 22226. The
appropriate FDIC Regional Director for
records maintained in FDIC regional
offices (see Appendix A for a list of the
FDIC regional offices and their
addresses).
NOTIFICATION PROCEDURE:
Individuals wishing to determine if
they are named in this system of records
or who are seeking access or
amendment to records maintained in
this system of records must submit their
request in writing 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:
Information in this system is
provided: (1) By the individual on
whom the record is maintained; (2) by
testimony of witnesses; (3) by agency
officials; and (4) from related
correspondence from organizations or
persons.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
Storage: The records are stored in
electronic media and in paper format
within individual file folders.
Retrievability: Records are indexed
and retrieved by name.
Safeguards: Electronic files are
password protected and accessible only
VerDate Mar<15>2010
by authorized personnel. Paper format
records are stored in lockable metal file
cabinets in a locked room 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.
FDIC–30–64–0019
SYSTEM NAME:
Potential Bidders List.
SECURITY CLASSIFICATION:
Unclassified but sensitive.
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SYSTEM LOCATION:
Division of Resolutions and
Receiverships, FDIC, 550 17th Street
NW., Washington, DC 20429; and Field
Operations Branch, Division of
Resolutions and Receiverships, FDIC,
1601 Bryan Street Dallas, Texas 75201.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Individuals who have purchased or
submitted written notice of an interest
in purchasing loans, owned real estate,
securities, or other assets from the FDIC.
CATEGORIES OF RECORDS IN THE SYSTEM:
Contains the individual’s name,
address, telephone number and
electronic mail address, if available;
information as to the kind or category
and general geographic location of loans
or owned real estate that the individual
may be interested in purchasing; and
information relating to whether any bids
have been submitted on prior sales.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Sections 9, 11 and 13 of the Federal
Deposit Insurance Act (12 U.S.C. 1819,
1821 and 1823).
PURPOSE:
The system collects, identifies and
maintains information about potential
purchasers of assets (primarily loans
and owned real estate) from the FDIC.
The information is utilized by the FDIC
in the marketing of assets, to identify
qualified potential purchasers and to
solicit bids for assets. The information
in this system is used to support the
FDIC’s liquidation/receivership
functions.
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
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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 agencies
and to contractors to assist in the
marketing and sale of loans, real estate,
or other assets held by the FDIC.
Retrievability: Electronic media and
paper format are indexed and retrieved
by name of prospective purchaser or
unique identification number assigned
to the prospective purchaser.
Safeguards: Electronic files are
password protected and accessible only
by authorized personnel. Hard copy
printouts are maintained in lockable
metal file cabinets or offices.
Retention and Disposal: 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 Resolutions and
Receiverships, FDIC, 550 17th Street
NW., Washington DC 20429.
NOTIFICATION PROCEDURE:
Individuals wishing to determine if
they are named in this system of records
or who are seeking access or
amendment to records maintained in
this system of records must submit their
request in writing 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:
Information is obtained from the
individual about whom the record is
maintained.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
FDIC–30–64–0020
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:
SYSTEM NAME:
Storage: Records are stored in
electronic media and paper format in
file folders.
SECURITY CLASSIFICATION:
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Jkt 226001
Telephone Call Detail Records.
Unclassified but sensitive.
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77651
SYSTEM LOCATION:
Division of Information Technology,
FDIC, 3501 North Fairfax Drive,
Arlington, VA 22226.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Individuals assigned telephone
numbers by the FDIC, including current
and former FDIC employees and
contractor personnel, who make local
and long distance telephone calls and
individuals who receive telephone calls
placed from or charged to FDIC
telephones.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records, including telephone number,
location, dates and duration of
telephone call, relating to use of FDIC
telephones to place or receive long
distance and local calls; records of any
charges billed to FDIC telephones;
records indicating assignment of
telephone numbers to individuals
covered by the system; and the results
of administrative inquiries to determine
responsibility for the placement of
specific local or long distance calls.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819).
PURPOSES:
The records in this system are
maintained to identify and make a
record of all telephone calls placed to or
from FDIC telephones and enable the
FDIC to analyze call detail information
for verifying call usage; to determine
responsibility for placement of specific
long distance calls; and for detecting
possible abuse of the FDIC-provided
long distance telephone network.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
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
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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 current and former FDIC
employees and other individuals
currently or formerly provided
telephone services by the FDIC to
determine their individual
responsibility for telephone calls;
(11) To a telecommunications
company providing telecommunications
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Jkt 226001
support to permit servicing the account;
and
(12) 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 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:
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:
Telephone assignment records; call
detail listings; results of administrative
inquiries relating to assignment of
responsibility for placement of specific
long distance and local calls.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
FDIC–30–64–0021
SYSTEM NAME:
Fitness Center Records.
SECURITY CLASSIFICATION:
Unclassified but sensitive.
SYSTEM LOCATION:
Fitness Centers, Corporate Services
Branch, Division of Administration,
FDIC, 3501 North Fairfax Drive,
Arlington, VA, 22226, and 550 17th
Street NW., Washington, DC 20429.
Storage: Records are stored in
electronic media.
Retrievability: Records are indexed
and retrieved by telephone number and
office location.
Safeguards: Electronic files are
password protected and accessible only
by authorized personnel.
Retention and Disposal: Records are
destroyed after the close of the fiscal
year in which they are audited or after
three years from the date the record was
created, whichever occurs first.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
SYSTEM MANAGER AND ADDRESS:
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Associate Director, Division of
Information Technology, 3501 North
Fairfax Drive, Arlington, VA 22226.
Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819).
NOTIFICATION PROCEDURE:
The records are collected and
maintained to control access to the
fitness center; to enable the Fitness
Centers’ contractor to identify any
potential health issues or concerns and
the fitness level of an individual; and to
identify necessary contacts in the event
of a medical emergency while the
individual is participating in a fitness
activity.
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 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
PO 00000
Frm 00028
Fmt 4701
Sfmt 4703
FDIC employees who apply for
membership and participate in the
Fitness Centers.
CATEGORIES OF RECORDS IN THE SYSTEM:
Contains the individual’s name,
gender, age; fitness assessment results;
identification of certain medical
conditions; and the name and phone
number of the individual’s personal
physician and emergency contact.
PURPOSE:
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
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:
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(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;
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Jkt 226001
(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 individuals listed as
emergency contacts or the individual’s
personal physician, in the event of a
medical emergency; and
(11) To a Health Unit or occupational
safety and health contractors, including
contract nurses, industrial hygienists,
and others retained for the purpose of
performing any function associated with
the operation of the Fitness Centers.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
Storage: Records are stored in paper
format within individual file folders.
Information recorded on index cards is
stored in a card file box.
Retrievability: Individual file folders
and cards are indexed and retrieved by
name.
Safeguards: Records are maintained
in lockable metal file cabinets. Access is
limited to authorized employees of the
contractor responsible for servicing the
records in the performance of their
duties. Note: In the future, all or some
portion of the records may be stored in
electronic media. These records will be
indexed and retrieved by name and will
be password protected and accessible
only by authorized personnel.
Retention and Disposal: 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:
Health, Safety and Environmental
Program Manager, Acquisition and
Corporate Services Branch, Division of
Administration, 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 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.
PO 00000
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77653
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:
Information is principally obtained
from the individual who has applied for
membership and Fitness Center
personnel. Some information may be
provided by the individual’s personal
physician.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
FDIC–30–64–0022
SYSTEM NAME:
Freedom of Information Act and
Privacy Act Request Records.
SECURITY CLASSIFICATION:
Unclassified but sensitive.
SYSTEM LOCATIONS:
Legal Division, FOIA & Privacy Act
Group, FDIC, 550 17th Street NW.,
Washington, DC 20429.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Individuals who submit requests and
administrative appeals pursuant to the
provisions of the Freedom of
Information Act (FOIA) or the Privacy
Act; individuals whose requests,
appeals or other records have been
referred to FDIC by other agencies;
attorneys or other persons authorized to
represent individuals submitting
requests and appeals; individuals who
are the subjects of such requests; and
FDIC personnel assigned to process
such requests or appeals.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records in the system may contain
requesters’ and their attorneys’ or
representatives’ names, addresses, email
addresses, telephone numbers; online
identity verification information
(username and password); and any other
information voluntarily submitted, such
as an individual’s social security
number; tracking numbers;
correspondence with the requester or
others representing the requester;
internal FDIC correspondence and
memoranda to or from other agencies
having a substantial interest in the
determination of the request; responses
to the request and appeals; and copies
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of responsive records. These records
may contain personal information
retrieved in response to a request.
Note—FOIA and Privacy Act case
records may contain inquiries and
requests regarding any of the FDIC’s
other systems of records subject to the
FOIA and Privacy Act, and information
about individuals from any of these
other systems may become part of this
system of records.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819);
Freedom of Information Act (5 U.S.C.
552), the Privacy Act of 1974 (5 U.S.C
552a), 12 CFR 309 and 310.
PURPOSES:
The records are collected and
maintained to process requests made
under the provisions of the FOIA and
Privacy Act and to assist the FDIC in
carrying out any other responsibilities
relating to the FOIA and Privacy Act.
srobinson on DSK4SPTVN1PROD with NOTICES3
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
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16:30 Dec 12, 2011
Jkt 226001
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 agencies
and other public authorities for use in
records management inspections;
(6) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
Federal Government;
(7) To another Federal government
agency having a substantial interest in
the determination of the request or for
the purpose of consulting with that
agency as to the propriety of access or
correction of the record in order to
complete the processing of requests; and
(8) To a third party authorized in
writing to receive such information by
the individual about whom the
information pertains.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
Storage: Records are stored in
electronic media and paper format
within individual file folders.
Retrievability: Electronic media and
paper format records are indexed and
retrieved by the requester’s name or by
unique number assigned to the request.
Records sometimes are retrieved by
reference to the name of the requester’s
firm, if any, or the subject matter of the
request.
Safeguards: Electronic files are
password protected and accessible only
by authorized personnel. File folders are
maintained in lockable metal file
cabinets in a locked room accessible
only to authorized personnel.
Retention and Disposal: Records for
Freedom of Information Act requests
which are granted, withdrawn or closed
for non-compliance or similar reason,
are destroyed two years after the date of
the reply. Records for all other Freedom
of Information Act requests (e.g.,
requests denied in part, requests denied
in full, and requests for which no
responsive information was located) are
destroyed six years after the date of the
reply, unless the denial is appealed, in
which case the request and related
documentation are destroyed six years
after the final agency determination or
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Frm 00030
Fmt 4701
Sfmt 4703
three years after final adjudication by
the courts, whichever is later. Records
maintained for control purposes are
destroyed six years after the last entry.
Records maintained for processing
Privacy Act requests are disposed of in
accordance with established disposition
schedules for individual records, or five
years after the date of the disclosure was
made, whichever is later. Disposal is by
shredding or other appropriate disposal
systems.
SYSTEM MANAGER AND ADDRESS:
Legal Division, FOIA & Privacy Act
Group, 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 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:
Requesters and persons acting on
behalf of requesters, FDIC offices and
divisions, other Federal agencies having
a substantial interest in the
determination of the request, and
employees processing the requests.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
The FDIC has claimed exemptions for
several of its other systems of records
under 5 U.S.C. 552a (k)(1), (k)(2), and
(k)(5) and 12 CFR 310.13. During the
processing of a Freedom of Information
Act or Privacy Act request, exempt
records from these other systems of
records may become part of the case
record in this system of records. To the
extent that exempt records from other
FDIC systems of records are entered or
become part of this system, the FDIC has
claimed the same exemptions, and any
such records compiled in this system of
records from any other system of
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Federal Register / Vol. 76, No. 239 / Tuesday, December 13, 2011 / Notices
records continues to be subject to any
exemption(s) applicable for the records
as they have in the primary systems of
records of which they are a part.
FDIC–30–64–0023
SYSTEM NAME:
Affordable Housing Program Records.
SECURITY CLASSIFICATION:
Unclassified but sensitive.
SYSTEM LOCATION:
Division of Resolutions and
Receiverships, FDIC, 550 17th Street
NW., Washington, DC 20429.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Purchasers and prospective
purchasers of residential properties
offered for sale through the FDIC’s
Affordable Housing Program.
Note: To be considered a prospective
purchaser for purposes of this record system,
the individual must have: (1) Completed and
signed an FDIC ‘‘Certification of Income
Eligibility;’’ and (2) delivered the form to an
authorized representative of the FDIC’s
Affordable Housing Program.
CATEGORIES OF RECORDS IN THE SYSTEM:
Contains the purchaser’s or
prospective purchaser’s income
qualification form and substantiating
documents (such as personal financial
statements, income tax returns, asset or
collateral verifications, appraisals, and
sources of income); copies of sales
contracts, deeds, or other recorded
instruments; intra-agency forms,
memoranda, or notes related to the
property and purchaser’s participation
in the FDIC’s Affordable Housing
Program; correspondence; and other
documents related to the FDIC’s
Affordable Housing Program.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Sections 9, 11, 13, and 40 of the
Federal Deposit Insurance Act (12
U.S.C. 1819, 1821, 1823, 1831q).
srobinson on DSK4SPTVN1PROD with NOTICES3
PURPOSE:
The records are collected and
maintained to determine and verify
eligibility of individuals to participate
in the FDIC Affordable Housing Program
and to monitor compliance by
individuals with purchaser income
restrictions. The information in the
system supports the FDIC’s liquidation
of qualifying residential housing units
and the FDIC’s goal to provide home
ownership for low-income and
moderate-income families.
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Jkt 226001
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
PO 00000
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77655
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 mortgage companies, financial
institutions, federal agencies (such as
the Federal Housing Administration, the
Housing and Urban Development
Agency, the Farm Service Agency, and
the Veterans Administration), or state
and local government housing agencies
where information is determined to be
relevant to an application or request for
a loan, grant, financial benefit, or other
type of assistance or entitlement.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
Storage: Records are stored in
electronic media and in paper format
within individual file folders.
Retrievability: Electronic media and
paper format are accessible by name of
purchaser or prospective purchaser and
by address of the property purchased.
Safeguards: Electronic files are
password protected and accessible only
by authorized personnel. File folders are
maintained in lockable metal file
cabinets accessible only by authorized
personnel.
Retention and Disposal: 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:
Supervisory Resolutions and
Receiverships Specialist, Operations
Branch, Division of Resolutions and
Receiverships, FDIC, 550 17th Street
NW., Washington, DC 20429.
NOTIFICATION PROCEDURE:
Individuals wishing to determine if
they are named in this system of records
or who are seeking access or
amendment to records maintained in
this system of records must submit their
request in writing to the Legal Division,
FOIA & Privacy Act Group, FDIC, 550
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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:
Information is obtained from the
individual seeking to participate in the
FDIC’s Affordable Housing Program.
Information pertaining to an individual
may, in some cases, be supplemented
with reports from credit bureaus and/or
similar credit reporting services.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
FDIC–30–64–0024
SYSTEM NAME:
Unclaimed Deposit Account Records.
SECURITY CLASSIFICATION:
Unclassified but sensitive.
SYSTEM LOCATION:
Division of Resolutions and
Receiverships, Field Operations Branch,
FDIC, 1601 Bryan Street, Dallas, Texas
75201.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Individuals identified as deposit
account owners of unclaimed insured
deposits of a closed insured depository
institution for which the FDIC was
appointed receiver after January 1, 1989.
CATEGORIES OF RECORDS IN THE SYSTEM:
srobinson on DSK4SPTVN1PROD with NOTICES3
Deposit account records, including
signature cards, last known home
address, social security number, name
of insured depository institution,
relating to unclaimed insured deposits
or insured transferred deposits from
closed insured depository institutions
for which the FDIC was appointed
receiver after January 1, 1989.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Sections 9, 11, and 12 of the Federal
Deposit Insurance Act (12 U.S.C. 1819,
1821, and 1822).
PURPOSE:
The information in this system is used
to process inquiries and claims of
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16:30 Dec 12, 2011
Jkt 226001
individuals with respect to unclaimed
insured deposit accounts of closed
insured depository institutions for
which the FDIC was appointed receiver
after January 1, 1989, and to assist in
complying with the requirements of the
Unclaimed Deposits Amendments Act.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
PURPOSES OF SUCH USES:
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
PO 00000
Frm 00032
Fmt 4701
Sfmt 4703
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 officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions;
(9) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
Federal Government; and
(10) To the appropriate State agency
accepting custody of unclaimed insured
deposits;
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
Storage: Records are stored in
electronic media and in paper format.
Retrievability: Electronic media and
paper format are indexed and retrieved
by depository institution name,
depositor name, depositor social
security number, or deposit account
number.
Safeguards: Electronic files are
password protected and accessible only
by authorized personnel. Hard copy
printouts are maintained in lockable
metal file cabinets accessible only to
authorized personnel.
Retention and Disposal: If the
appropriate State has accepted custody
of unclaimed deposits, a record of the
unclaimed deposits will be retained by
the FDIC during the custody period of
ten years. Such records will
subsequently be destroyed in
accordance with the FDIC’s records
retention policy in effect at the time of
return of any deposits to the FDIC from
the State. If the appropriate State has
declined to accept custody of the
unclaimed deposits of the closed
insured depository institution, the FDIC
will retain the unclaimed deposit
records and upon termination of the
receivership of the closed insured
depository institution, the records will
be 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.
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SYSTEM MANAGER(S) AND ADDRESS:
Assistant Director, Field Operations
Branch, Division of Resolutions and
Receiverships, FDIC, 550 17th Street
NW., Washington, DC 20429.
NOTIFICATION PROCEDURE:
Individuals wishing to determine if
they are named in this system of records
or who are seeking access or
amendment to records maintained in
this system of records must submit their
request in writing 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:
Information originates from deposit
records of closed insured depository
institutions and claimants. Records of
unclaimed transferred deposits are
provided to the FDIC from assuming
depository institutions to which the
FDIC transferred deposits upon closing
of the depository institution.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
FDIC–30–64–0025
FDIC-insured depository institution that
are registered under section 12 of the
Securities Exchange Act of 1934;
including any trust, trustee, beneficiary
or settlor required to report pursuant to
Securities and Exchange Commission
Rule 16a–8.
CATEGORIES OF RECORDS IN THE SYSTEM:
Reporting persons submit
electronically or on paper reports on
any of the following three forms: ‘‘Initial
Statement of Beneficial Ownership of
Securities,’’ ‘‘Statement of Changes in
Beneficial Ownership of Securities’’ and
‘‘Annual Statement of Beneficial
Ownership of Securities.’’ Reporting
persons are required to use these forms
to disclose ownership and transactional
information relative to their beneficial
ownership of securities of FDIC-insured
depository institutions with securities
registered under the Securities
Exchange Act of 1934. Under section
403 of the Sarbanes-Oxley Act of 2002,
these forms must be submitted in
electronic form and must be made
available to the public on a Federal
agency’s external Internet Web site. The
forms require disclosure of the name of
the financial institution, relationship of
reporting person to the financial
institution, reporting person’s name and
street address, date of form or
amendment, and filer’s signature and
date. A description of the securities’
terms and transactional information
including transaction date, type of
transaction, amount of securities
acquired or disposed, price, aggregate
amount of securities beneficially owned,
and form and nature of beneficial
ownership must also be disclosed on the
forms.
SYSTEM NAME:
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Beneficial Ownership Filings
(Securities Exchange Act).
Sections 12(i) and 16(a) of the
Securities Exchange Act of 1934
(respectively, 15 U.S.C. 78l(i) and
78p(a)).
SECURITY CLASSIFICATION:
Unclassified but sensitive.
SYSTEM LOCATION:
PURPOSE:
Division of Risk Management
Supervision, FDIC, 550 17th Street NW.,
Washington, DC 20429.
In accordance with Section 16(a) of
the Securities Exchange Act of 1934, as
amended by section 403 of the
Sarbanes-Oxley Act of 2002, this
information is being made available to
the public on the FDIC’s external
Internet Web site in order to facilitate
the more efficient transmission,
dissemination, analysis, storage and
retrieval of insider ownership and
transaction information in a manner that
will benefit investors, filers and
financial institution regulatory agencies.
srobinson on DSK4SPTVN1PROD with NOTICES3
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
(1) Any director or officer of an FDICinsured depository institution with a
class of equity securities registered
pursuant to section 12 of the Securities
Exchange Act of 1934, and (2) Any
person who is directly or indirectly the
beneficial owner of greater than 10% of
a class of equity securities issued by an
VerDate Mar<15>2010
16:30 Dec 12, 2011
Jkt 226001
PO 00000
Frm 00033
Fmt 4701
Sfmt 4703
77657
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
E:\FR\FM\13DEN3.SGM
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Federal Register / Vol. 76, No. 239 / Tuesday, December 13, 2011 / Notices
appeals, or if needed in the performance
of other authorized duties;
(7) 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;
(8) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(9) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
Federal Government; and
(10) To the appropriate governmental
or self-regulatory organizations when
relevant to the organization’s regulatory
or supervisory responsibilities or if the
information is relevant to a known or
suspected violation of a law or licensing
standard within that organization’s
jurisdiction.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:
Storage: Records are stored in
electronic media or on paper format in
file folders.
Retrievability: Electronically filed
reports are indexed and retrieved by the
name of the reporting party. Paper-filed
reports are indexed by the name of the
depository institution issuing the
securities being reported, with subindexing by the filer’s name.
Safeguards: Access to the information
in this electronic system of records is
unrestricted. The filing and amendment
of electronic records is restricted to
authorized users who have been issued
non-transferable user ID’s and
passwords.
Retention and Disposal: These records
will be maintained for fifteen years from
the date of filing, 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:
srobinson on DSK4SPTVN1PROD with NOTICES3
Chief, Accounting & Securities
Disclosure Section, Division of Risk
Management Supervision, FDIC, 550
17th Street NW., Washington, DC 20429.
NOTIFICATION PROCEDURE:
Individuals wishing to determine if
they are named in this system of records
or who are seeking access or
amendment to records maintained in
this system of records must submit their
request in writing to the Legal Division,
FOIA & Privacy Act Group, FDIC, 550
VerDate Mar<15>2010
16:30 Dec 12, 2011
Jkt 226001
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.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819).
PURPOSE(S):
The records are used to administer the
FDIC transit subsidy program.
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:
Information originates from (1) any
director or officer of an FDIC-insured
depository institution with a class of
equity securities registered pursuant to
section 12 of the Securities Exchange
Act of 1934; and (2) any beneficial
owner of greater than 10% of an FDICinsured depository institution with a
class of equity securities registered
under the Securities Exchange Act of
1934, including any trust, trustee,
beneficiary or settlor required to report
pursuant to SEC Rule 16a–8.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
FDIC–30–64–0026
SYSTEM NAME:
Transit Subsidy Program Records.
SECURITY CLASSIFICATION:
Unclassified but sensitive.
SYSTEM LOCATION:
Division of Administration, FDIC, 550
17th Street NW., Washington, DC 20429
and the FDIC regional or area offices.
(See Appendix A for a list of the FDIC
regional offices.)
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
To the extent not covered by any
other system, this system covers
employees who apply for and receive
transit subsidy program benefits.
CATEGORIES OF RECORDS IN THE SYSTEM:
The system contains completed
transit subsidy application forms (FDIC
Form 3440). The applications include,
but are not limited to, the applicant’s
name, home address, title, grade,
Division, Office, work hours, room and
telephone numbers, commuting
schedule, and transit system(s) used.
PO 00000
Frm 00034
Fmt 4701
Sfmt 4703
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
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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 officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions;
(9) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
Federal Government.
SYSTEM MANAGER(S) AND ADDRESS:
Associate Director, FDIC Division of
Administration, 550 17th Street NW.,
Washington, DC 20429.
srobinson on DSK4SPTVN1PROD with NOTICES3
NOTIFICATION PROCEDURE:
Individuals seeking to determine
whether this system of records contains
information pertaining to themselves or
who are seeking access to records
maintained in this system of records
must submit their request in writing to
the Legal Division, FOIA & Privacy Act
Group, FDIC, 550 17th Street NW.,
Washington, DC 20429, and comply
with the procedures contained in FDIC’s
Privacy Act regulations, 12 CFR part
310.
RECORD ACCESS PROCEDURES:
See ‘‘Notification Procedure’’ above.
Jkt 226001
RECORD SOURCE CATEGORIES:
The sources of records in this category
include the individuals to whom the
records pertain and information taken
from official FDIC records.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
FDIC–30–64–0027
SYSTEM NAME:
Parking Program Records.
SECURITY CLASSIFICATION:
SYSTEM LOCATION:
Storage: Records are stored in
electronic media or in paper format
within individual file folders.
Retrievability: Records are indexed
and retrieved by the name of the transit
subsidy program participant.
Safeguards: Electronic records are
password-protected and accessible only
by authorized personnel. Paper records
are maintained in lockable metal file
cabinets accessible only to authorized
personnel.
Retention and Disposal: Records are
retained in accordance with National
Archives and Records Administration
and FDIC Records Retention and
Disposition Schedules. Disposal is by
shredding or other appropriate disposal
systems.
16:30 Dec 12, 2011
See ‘‘Notification Procedure’’ above.
Individuals wishing to contest or amend
information maintained in this system
of records should specify the
information being contested, their
reasons for contesting it, and the
proposed amendment to such
information in accordance with FDIC
regulations at 12 CFR part 310.
Unclassified but sensitive.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
VerDate Mar<15>2010
CONTESTING RECORD PROCEDURES:
Division of Administration, FDIC, 550
17th Street NW., Washington, DC 20429
and regional offices with FDIC parking
facilities. (See Appendix A for a list of
the FDIC regional offices.)
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
To the extent not covered by any
other system, this system covers
employees and others who have applied
for and/or been issued a parking permit
for the use of FDIC parking facilities;
individuals who car-pool with
employees holding such permits; and
employees interested in joining a car
pool.
CATEGORIES OF RECORDS IN THE SYSTEM:
The system contains completed
parking application forms (FDIC Forms
3410), car pool information, disability
parking applications, special parking
authorizations, and visitor parking
requests. The information includes, but
is not limited to, the applicant’s name,
home address, title, grade, make, year
and license number of vehicle, Division,
Office, work hours, room and telephone
numbers, and arrival/departure times.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819).
PURPOSE(S):
The records are used to administer the
parking program, to allocate the limited
number of parking spaces in the FDIC
parking facilities among employees and
visitors, to facilitate the formation of car
pools with employees who have been
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Fmt 4701
Sfmt 4703
77659
issued parking permits, and to provide
for the safe use of FDIC facilities.
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
E:\FR\FM\13DEN3.SGM
13DEN3
77660
Federal Register / Vol. 76, No. 239 / Tuesday, December 13, 2011 / Notices
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 officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions;
(9) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
Federal Government.
RECORD SOURCE CATEGORIES:
The sources of records in this category
include the individuals to whom the
records pertain, information retrieved
from official FDIC records, or
information from other agency parking
records.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
FDIC–30–64–0028
SYSTEM NAME:
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
Office of the Chairman
Correspondence Records.
Storage: Records are stored in
electronic media or in paper format
within individual file folders.
Retrievability: Records are indexed
and retrieved by the name of the permit
holder, employee identification number,
or license tag number.
Safeguards: Electronic records are
password-protected and accessible only
by authorized personnel. Paper records
are maintained in lockable metal file
cabinets accessible only to authorized
personnel.
Retention and Disposal: Records are
retained 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, FDIC Division of
Administration, 550 17th Street NW.,
Washington, DC 20429.
NOTIFICATION PROCEDURE:
srobinson on DSK4SPTVN1PROD with NOTICES3
of records should specify the
information being contested, their
reasons for contesting it, and the
proposed amendment to such
information in accordance with FDIC
regulations at 12 CFR part 310.
SECURITY CLASSIFICATION:
Unclassified but sensitive.
SYSTEM LOCATION:
FDIC, Office of Legislative Affairs, 550
17th Street NW., Washington, DC 20429.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Individuals who correspond to, or
receive correspondence from, the Office
of the Chairman; and individuals who
are the subject of correspondence to or
from the Office of the Chairman.
CATEGORIES OF RECORDS IN THE SYSTEM:
Contains correspondence,
memoranda, Email, and other
communications with the Office of the
Chairman that may include, without
limitation, name and contact
information supplied by the individual
as well as information concerning
subject matter, internal office
assignments, processing, and final
response or other disposition.
Individuals seeking to determine
whether this system of records contains
information pertaining to themselves or
who are seeking access to records
maintained in this system of records
must submit their request in writing to
the Legal Division, FOIA & Privacy Act
Group, FDIC, 550 17th Street NW.,
Washington, DC 20429, and comply
with the procedures contained in FDIC’s
Privacy Act regulations, 12 CFR part
310.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
RECORD ACCESS PROCEDURES:
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:
See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:
See ‘‘Notification Procedure’’ above.
Individuals wishing to contest or amend
information maintained in this system
VerDate Mar<15>2010
16:30 Dec 12, 2011
Jkt 226001
Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819).
PURPOSE(S):
This system of records is used to
document and respond to
correspondence addressed to the FDIC,
Office of the Chairman.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
PO 00000
Frm 00036
Fmt 4701
Sfmt 4703
(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;
E:\FR\FM\13DEN3.SGM
13DEN3
Federal Register / Vol. 76, No. 239 / Tuesday, December 13, 2011 / Notices
(9) To an insured depository
institution which is the subject of an
inquiry or complaint when necessary to
investigate or resolve the inquiry or
complaint; and
(10) To the primary Federal or State
financial regulator of an insured
depository institution that is the subject
of an inquiry or complaint.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
SYSTEM MANAGER(S) AND ADDRESS:
Office of Legislative Affairs, 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 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.
srobinson on DSK4SPTVN1PROD with NOTICES3
CONTESTING RECORD PROCEDURES:
See ‘‘Notification Procedure’’ above.
Individuals wishing to contest or amend
information maintained in this system
of records should specify the
information being contested, their
reasons for contesting it, and the
proposed amendment to such
information in accordance with FDIC
regulations at 12 CFR part 310.
RECORD SOURCE CATEGORIES:
Information maintained in this system
is obtained from individuals who
16:30 Dec 12, 2011
Jkt 226001
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
FDIC–30–64–0029
SYSTEM NAME:
Congressional Correspondence
Records.
SECURITY CLASSIFICATION:
Storage: Records are stored in
electronic media and paper format
within individual file folders.
Retrievability: Records are indexed
and retrieved by name, date, and
subject.
Safeguards: Electronic records are
password-protected and accessible only
by authorized personnel. Paper records
are maintained in lockable metal file
cabinets accessible only to authorized
personnel.
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.
VerDate Mar<15>2010
submit correspondence to the FDIC for
response, and FDIC personnel.
Unclassified but sensitive.
SYSTEM LOCATION:
FDIC, Office of Legislative Affairs, 550
17th Street NW., Washington, DC 20429.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Current and former Members of the
U.S. Congress and Congressional staff;
and individuals whose inquiries relating
to FDIC activities are forwarded by
Members of Congress or Congressional
staff to the FDIC for response.
CATEGORIES OF RECORDS IN THE SYSTEM:
Contains correspondence from
Members of the U.S. Congress or
Congressional staff making inquiries or
transmitting inquiries, correspondence
or documents from constituents that
may include, without limitation, name
and contact information as well as
information concerning subject matter,
internal office assignments, processing,
and final response or other disposition.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819).
PURPOSE(S):
This system of records is used to
document and respond to constituent
and other inquiries forwarded by
Members of the U.S. Congress or
Congressional staff.
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
PO 00000
Frm 00037
Fmt 4701
Sfmt 4703
77661
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 an insured depository
institution which is the subject of an
inquiry or complaint when necessary to
investigate or resolve the inquiry or
complaint;
(10) To the primary Federal or State
financial regulator of an insured
depository institution that is the subject
of an inquiry or complaint; and
E:\FR\FM\13DEN3.SGM
13DEN3
77662
Federal Register / Vol. 76, No. 239 / Tuesday, December 13, 2011 / Notices
(11) To authorized third-party sources
during the course of the investigation in
order to resolve the inquiry or
complaint. Information that may be
disclosed under this routine use is
limited to the name of the inquirer or
complainant and the nature of the
inquiry or complaint and such
additional information necessary to
investigate the inquiry or complaint.
SYSTEM MANAGER(S) AND ADDRESS:
Office of Legislative Affairs, 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 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.
srobinson on DSK4SPTVN1PROD with NOTICES3
CONTESTING RECORD PROCEDURES:
See ‘‘Notification Procedure’’ above.
Individuals wishing to contest or amend
information maintained in this system
of records should specify the
information being contested, their
reasons for contesting it, and the
proposed amendment to such
information in accordance with FDIC
regulations at 12 CFR part 310.
Jkt 226001
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
FDIC–30–64–0030
Legislative Information Tracking
System Records.
Storage: Records are stored in
electronic media and paper format
within individual file folders.
Retrievability: Records are indexed
and retrieved by name, date, and
subject.
Safeguards: Electronic records are
password-protected and accessible only
by authorized personnel. Paper records
are maintained in lockable metal file
cabinets accessible only to authorized
personnel.
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.
16:30 Dec 12, 2011
Information maintained in this system
is obtained from individuals who
submit correspondence to the FDIC for
response, and FDIC personnel.
SYSTEM NAME:
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
VerDate Mar<15>2010
RECORD SOURCE CATEGORIES:
SECURITY CLASSIFICATION:
Unclassified but sensitive.
SYSTEM LOCATION:
FDIC, Office of Legislative Affairs, 550
17th Street NW., Washington, DC 20429.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Current and former Members of the
U.S. Congress and Congressional staff;
and individuals who contact, or are
contacted by the FDIC Office of
Legislative Affairs.
CATEGORIES OF RECORDS IN THE SYSTEM:
Contains memoranda, email and other
communications with the Office of
Legislative Affairs that may include
without limitation, name and contact
information supplied by the individual
as well as information related to the
inquiry that was developed by FDIC
staff.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819).
PURPOSE(S):
This system of records is used to
document and respond to inquiries
regarding FDIC’s views on proposed
legislation, facilitate Congressional
briefings, and coordinate preparation of
FDIC responses to constituent inquiries.
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
PO 00000
Frm 00038
Fmt 4701
Sfmt 4703
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 an insured depository
institution which is the subject of an
inquiry or complaint when necessary to
investigate or resolve the inquiry or
complaint;
(10) To the primary Federal or State
financial regulator of an insured
depository institution that is the subject
of an inquiry or complaint; and
E:\FR\FM\13DEN3.SGM
13DEN3
Federal Register / Vol. 76, No. 239 / Tuesday, December 13, 2011 / Notices
(11) To authorized third-party sources
during the course of the investigation in
order to resolve the inquiry or
complaint. Information that may be
disclosed under this routine use is
limited to the name of the inquirer or
complainant and the nature of the
inquiry or complaint and such
additional information necessary to
investigate the inquiry or complaint.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
These electronic records are collected
in a web-based system located at a
secure site and on secure servers
maintained by a contractor for the FDIC,
Office of Public Affairs, 550 17th Street
NW., Washington, DC 20429.
Storage: Records are stored in
electronic media.
Retrievability: Records are indexed
and retrieved by name, date, and
subject.
Safeguards: Electronic records are
password-protected and accessible only
by 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 completed by electronic
purging and removal of records.
None.
FDIC–30–64–0031
SYSTEM NAME:
Online Ordering Request Records.
SECURITY CLASSIFICATION:
Unclassified but sensitive.
SYSTEM LOCATION:
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Individuals who make an online
request for publications, products, or
other materials from the FDIC.
CATEGORIES OF RECORDS IN THE SYSTEM:
Director, Office of Legislative Affairs,
FDIC, 550 17th Street NW., Washington,
DC 20429.
Contains names, business or
organization affiliations, addresses,
phone numbers, email addresses, order
history, payment information (debit
and/or credit card information), identity
verification information (username, user
ID, and password), fulfillment
information (shipping and delivery
instructions), and other contact
information provided by individuals
covered by this system.
NOTIFICATION PROCEDURE:
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
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 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.
Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819).
SYSTEM MANAGER(S) AND ADDRESS:
RECORD ACCESS PROCEDURES:
See ‘‘Notification Procedure’’ above.
srobinson on DSK4SPTVN1PROD with NOTICES3
CONTESTING RECORD PROCEDURES:
See ‘‘Notification Procedure’’ above.
Individuals wishing to contest or amend
information maintained in this system
of records should specify the
information being contested, their
reasons for contesting it, and the
proposed amendment to such
information in accordance with FDIC
regulations at 12 CFR part 310.
RECORD SOURCE CATEGORIES:
Information maintained in this system
is obtained from individuals who
contact the FDIC for response, and FDIC
personnel.
VerDate Mar<15>2010
16:30 Dec 12, 2011
Jkt 226001
PURPOSE(S):
This system of records is used to
organize and process requests for
publications, products, or other
materials offered by the FDIC.
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
PO 00000
Frm 00039
Fmt 4701
Sfmt 4703
77663
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 agencies
and other public authorities for use in
records management inspections;
(6) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
Federal Government;
(7) To Pay.gov to obtain debit or credit
card approval or disapproval from the
issuing financial institution.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
Storage: Records are stored in
electronic media at a secure site and on
secure servers maintained by a
contractor.
Retrievability: Records are indexed
and retrieved by name, order number,
and date.
Safeguards: Electronic transmission
records are password-protected and
accessible only by authorized personnel.
Debit and credit card information is
encrypted.
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 completed by electronic
purging and removal of records.
E:\FR\FM\13DEN3.SGM
13DEN3
77664
Federal Register / Vol. 76, No. 239 / Tuesday, December 13, 2011 / Notices
SYSTEM MANAGER(S) AND ADDRESS:
agency; or an institution regulated by
the Farm Credit Administration.
Chief Web Officer, Office of Public
Affairs, FDIC, 550 17th Street NW.,
Washington, DC 20429.
CATEGORIES OF RECORDS IN THE SYSTEM:
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 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
of records should specify the
information being contested, their
reasons for contesting it, and the
proposed amendment to such
information in accordance with FDIC
regulations at 12 CFR part 310.
RECORD SOURCE CATEGORIES:
Information maintained in this system
is obtained from individuals who
contact the FDIC, FDIC personnel, and
contractors.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
FDIC–30–64–0032
SYSTEM NAME:
Nationwide Mortgage Licensing
System and Registry.
SECURITY CLASSIFICATION:
Unclassified but sensitive.
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SYSTEM LOCATION:
Financial Industry Regulatory
Authority, 9509 Key West Avenue,
Rockville, MD 20850 (Background
Check System data); HP Enterprise
Services Charlotte SMC, 9014 Research
Drive, Charlotte, NC 28262 (Production
Center); and HP Enterprise Services
Plano SMC, 6901 Windcrest Drive,
Plano, TX 75024 (Dual Use Test and
Disaster Recovery Facility).
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Residential mortgage loan originators
(MLOs) employed with: a depository
institution; a subsidiary owned and
controlled by a depository institution
and regulated by a Federal banking
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Contains information documenting
identity, including name and former
names, Social Security number, gender,
date of birth, and place of birth; home
and business contact information; the
date on which the MLO becomes an
employee with the institution; criminal
history, including the results of a
background check; financial servicesrelated employment history; civil,
arbitration, regulatory, and disciplinary
actions arising out of the MLO’s
financial services; and licensure
revocations and suspensions.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 1507 of the Secure and Fair
Enforcement for Mortgage Licensing Act
(S.A.F.E. Act (12 U.S.C. 5106)).
PURPOSE(S):
The system is utilized to register
MLOs employed by state and federally
regulated depository institutions in a
national registry, as required by the
S.A.F.E. Act. The information is
maintained to support regulatory
supervision while providing the general
public with access to certain
information concerning MLOs including
names and employment histories.
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;
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(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; and
(5) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(6) To other Federal, State or foreign
financial institutions supervisory or
regulatory authorities;
(7) To depository institutions or their
subsidiaries for use in registering
employees as mortgage loan originators
or renewing employee registrations;
(8) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(9) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
Federal Government;
(10) To the appropriate governmental
or self-regulatory organizations when
relevant to the organization’s regulatory
or supervisory responsibilities or if the
information is relevant to a known or
suspected violation of a law or licensing
standard within that organization’s
jurisdiction;
(11) To third parties when the
information relates to the employment
history of, and publicly adjudicated
disciplinary and enforcement actions
against, mortgage loan originators that is
included in Nationwide Mortgage
Licensing System and Registry for
access by the public in accordance with
section 1507 of the S.A.F.E. Act.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
Storage: Records are stored in
electronic media.
Retrievability: Records are retrieved
by an individual MLO’s name or unique
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identification number and by the
financial institution’s name.
Safeguards: Records are stored in a
locked environment. Access to the
system is limited to users who satisfy a
comprehensive background check. The
extent to which users have access is
based on pre-determined roles. All data
exchanges take place over an encrypted
network.
Retention and Disposal: There is
presently no records control schedule
covering the disposition and retention
of FDIC records maintained in NMLSR.
FDIC staff will work with the National
Archives and Records Administration to
establish disposition and retention
authority for FDIC records maintained
in NMLSR. No data or other FDIC
records of the system will be destroyed
prior to obtaining such disposition and
retention authority.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Division of Depositor and
Consumer Protection, FDIC, 550 17th
Street NW., Washington, DC 20429; and
State Regulatory Registry LLC, 1155
Connecticut Avenue NW., Fifth Floor,
Washington, DC 20036.
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Records created by a MLO in the
Nationwide Mortgage Licensing System
and Registry may be accessed or
amended directly by the MLO. If
assistance is required to access or
amend such a record, contact the NMLS
Call Center at (240) 386–4444 or State
Regulatory Registry LLC, 1155
Connecticut Avenue NW., Fifth Floor,
Washington, DC 20036. Any other
individual wishing to determine if he or
she is named in this system of records
or who is seeking access or amendment
to records maintained in this system of
records must submit a request in writing
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. The request to the FDIC should
contain: (1) A statement that it is made
pursuant to the Privacy Act of 1974, (2)
the name of the system of records
expected to contain the records
requested or a concise description of
such system of records, (3) necessary
information to verify the identity of the
requester, including the requester’s
name and residence address, (4) a
notarized statement attesting to the
requester’s identity, and (5) any other
information that may assist in the rapid
identification of the records for which
access or amendment is being requested.
RECORD ACCESS PROCEDURES:
Same as ‘‘Notification Procedures’’
above.
16:30 Dec 12, 2011
Same as ‘‘Notification Procedures’’
above except that the envelope mailed
to the FDIC should be clearly marked
‘‘Privacy Act Amendment Request.’’ A
request to the FDIC for amendment of a
record should contain the information
set forth in ‘‘Notification Procedures’’
above. In addition, the request should
also: (1) Specify the portion of the
record requested to be amended, and (2)
describe the nature of and reasons for
each requested amendment in
accordance with FDIC regulations
at 12 CFR part 310.
RECORD SOURCE CATEGORIES:
Information maintained in this system
is obtained from MLOs who submit
information to the registry and the
results of FBI background checks.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
FDIC–30–64–0033
SYSTEM NAME:
Emergency Notification Records.
SECURITY CLASSIFICATION:
Unclassified but sensitive.
NOTIFICATION PROCEDURES:
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CONTESTING RECORD PROCEDURES:
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SYSTEM LOCATION:
Division of Administration, FDIC, 550
17th Street NW., Washington, DC 20429;
FDIC regional or area offices (See
Appendix A for a list of the FDIC
regional offices and their addresses);
and at a secure site and on secure webbased servers maintained by a
contractor for the FDIC.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Current FDIC employees, contractors,
and other registered users.
CATEGORIES OF RECORDS IN THE SYSTEM:
The system includes individual
contact information including name,
personal telephone numbers, personal
email addresses, official business phone
number, and official business email
address.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819).
PURPOSE(S):
The system provides for multiple
communication device notification to
registered FDIC personnel during and
after local, regional or national
emergency events and security
incidents, disseminates time sensitive
information, provide personnel
accountability and status during
emergency events, and conduct
communication tests. The system also
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provides for the receipt of real-time
message acknowledgements and related
management reports.
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 agencies
and other public authorities for use in
records management inspections;
(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
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appeals, or if needed in the performance
of other authorized duties;
(7) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
Federal Government; and
(8) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions.
records pertain and information taken
from official FDIC records.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
PURPOSES OF SUCH USES:
FDIC–30–64–0034
SYSTEM NAME:
Office of Inspector General Inquiry
Records.
SECURITY CLASSIFICATION:
Unclassified but sensitive.
SYSTEM LOCATION:
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
Storage: Records are stored in
electronic media at a secure site and on
secure servers maintained by a
contractor.
Retrievability: Records are indexed
and retrieved by groups and individual
name.
Safeguards: Electronic records are
password-protected and accessible only
by authorized personnel.
Retention and Disposal: Records are
retained in accordance with National
Archives and Records Administration
and FDIC Records Retention and
Disposition Schedules. Disposal is
completed by electronic purging and
removal of records.
FDIC Office of Inspector General
(OIG), 3501 North Fairfax Drive,
Arlington, VA 22226.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Individuals—including, but not
limited to, members of the public, the
media, contractors and subcontractors,
Congressional sources, and employees
of the FDIC or of other governmental
agencies—who communicate with the
Office of Inspector General (OIG)
through written correspondence or
telephonically including the OIG
Hotline. The system also includes
individuals who receive correspondence
from OIG and those who are the subject
of correspondence to or from OIG.
SYSTEM MANAGER(S) AND ADDRESS:
CATEGORIES OF RECORDS IN THE SYSTEM:
Associate Director, FDIC Division of
Administration, Security and
Emergency Preparedness Section, 550
17th Street NW., Washington, DC 20429.
Contains correspondence,
memoranda, email, faxes, other
electronic or digital communications,
and additional documentation supplied
by the source of the records. Records
provided by the source may include
personally identifiable information
including name, addresses, email
addresses, telephone numbers, and any
other information voluntarily submitted
such as Social Security Number, as well
as information developed by OIG, such
as the date the matter was received by
OIG, the date the matter was closed, and
the manner of disposition. Records that
involve law enforcement matters are
transferred to the OIG investigative
function, whose applicable system of
records is covered by FDIC–30–64–
0010, Investigative Files of the Office of
Inspector General.
NOTIFICATION PROCEDURE:
Individuals seeking to determine
whether this system of records contains
information pertaining to themselves or
who are seeking access to records
maintained in this system of records
must submit their request in writing to
the Legal Division, FOIA & Privacy Act
Group, FDIC, 550 17th Street NW.,
Washington, DC 20429, and comply
with the procedures contained in FDIC’s
Privacy Act regulations, 12 CFR 310.
RECORD ACCESS PROCEDURES:
See ‘‘Notification Procedure’’ above.
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CONTESTING RECORD PROCEDURES:
See ‘‘Notification Procedure’’ above.
Individuals wishing to contest or amend
information maintained in this system
of records should specify the
information being contested, their
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 sources of records in this category
include the individuals to whom the
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AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819); the
Inspector General Act of 1978, as
amended (5 U.S.C. app.).
PURPOSE:
This system of records is used to
document and respond to
correspondence addressed or directed to
FDIC OIG; to track the receipt and
disposition of correspondence; and to
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act as a means of referring allegations of
illegality, fraud and abuse to the OIG
investigative function.
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In addition to those disclosures
generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a
portion of the records or information
contained in this system may be
disclosed outside the FDIC as a routine
use as follows:
(1) To the appropriate Federal, State,
local, foreign or international agency or
authority responsible for investigating
or prosecuting a violation of or for
enforcing or implementing a statute,
rule, regulation, or order, when the
record, either by itself or in combination
with other information, indicates a
violation or potential violation of law,
or contract, whether civil, criminal, or
regulatory in nature, and whether
arising by general statute or particular
program statute, or by regulation, rule,
or order issued pursuant thereto;
(2) To a court, magistrate, alternative
dispute resolution mediator or
administrative tribunal in the course of
presenting evidence, including
disclosures to counsel or witnesses in
the course of civil discovery, litigation,
or settlement negotiations or in
connection with criminal proceedings
when the FDIC or OIG is a party to the
proceeding or has a significant interest
in the proceeding and the information is
determined to be relevant and
necessary;
(3) To a congressional office in
response to a written inquiry made by
the congressional office at the request of
the individual to whom the records
pertain;
(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 the FDIC’s or another Federal
agency’s legal representative, including
the U.S. Department of Justice or other
retained counsel, when the FDIC, OIG or
any employee thereof is a party to
litigation or administrative proceeding
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or has a significant interest in the
litigation or proceeding;
(6) To appropriate Federal, State, and
local authorities in connection with
hiring or retaining an individual,
conducting a background security or
suitability investigation, adjudication of
liability, or eligibility for a license,
contract, grant, or other benefit;
(7) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(8) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(9) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
Federal Government;
(10) To an insured depository
institution which is the subject of an
inquiry or complaint when necessary to
investigate or resolve the inquiry or
complaint;
(11) To the primary Federal or State
financial regulator of an insured
depository institution that is the subject
of an inquiry or complaint;
(12) To authorized third-party sources
during the course of the investigation in
order to resolve the inquiry or
complaint. Information that may be
disclosed under this routine use is
limited to the name of the inquirer or
complainant and the nature of the
inquiry or complaint and such
additional information necessary to
investigate the inquiry or complaint;
(13) To the U.S. Office of Personnel
Management, Government
Accountability Office, Office of
Government Ethics, Merit Systems
Protection Board, Office of Special
Counsel, Equal Employment
Opportunity Commission, Department
of Justice, Office of Management and
Budget or the Federal Labor Relations
Authority of records or portions thereof
determined to be relevant and necessary
to carrying out their authorized
functions, including but not limited to
a request made in connection with
hiring or retaining an employee,
rendering advice requested by OIG,
issuing a security clearance, reporting
an investigation of an employee,
reporting an investigation of prohibited
personnel practices, letting a contract or
issuing a grant, license, or other benefit
by the requesting agency, but only to the
extent that the information disclosed is
necessary and relevant to the requesting
agency’s decision on the matter; and
(14) To other Federal Offices of
Inspector General or other entities for
the purpose of conducting quality
assessments or peer reviews of the OIG,
or its investigative components, or for
statistical purposes.
Note: In addition to the foregoing: (1) A
record which is contained in this system and
derived from another FDIC system of records
may be disclosed as a routine use as specified
in the published notice of the system of
records from which the record is derived;
and (2) records contained in this system that
are subsequently transferred to OIG’s
investigative function may be disclosed as a
routine use as specified in FDIC–30–64–
0010, Investigative Files of the Office of
Inspector General.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:
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, date received or
closed, and/or subject.
Safeguards: The electronic system
files are accessible only by authorized
personnel on a need-to-know basis. File
folders are maintained in lockable metal
file cabinets and lockable offices
accessible only by authorized personnel.
Retention and Disposal: In general,
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 the FDIC
Records Retention and Disposition
schedules. Disposal of records in paper
format is by shredding or other
appropriate disposal means. For records
transferred from this system to OIG
investigative function, the retention
period and manner of destruction will
be governed by the applicable
investigative-records retention schedule.
FDIC Atlanta Regional Office, 10 Tenth Street NE., Suite 800, Atlanta,
GA 30309–3906.
FDIC Chicago Regional Office, 300 South Riverside Plaza, Suite 1700,
Chicago, IL 60606.
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SYSTEM MANAGER(S) AND ADDRESS:
FDIC Inspector General or his/her
immediate office, 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 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. Note: Records
transferred from this system to the OIG
investigative function are subject to the
exemptions claimed under FDIC–30–
64–0010, Investigative Files of the
Office of Inspector General. See
‘‘Exemptions Claimed for the System’’
below.
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. Note:
Records transferred from this system to
the OIG investigative function are
subject to the exemptions claimed under
FDIC–30–64–0010, Investigative Files of
the Office of Inspector General. See
‘‘Exemptions Claimed for the System’’
below.
RECORD SOURCE CATEGORIES:
Current and former employees of the
FDIC, other government employees,
private individuals, vendors,
contractors, subcontractors, witnesses
and informants.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None. Records transferred from this
system to the OIG investigative function
are subject to the exemptions claimed
under FDIC–30–64–0010, Investigative
Files of the Office of Inspector General.
Appendix A
FDIC Boston Regional Office, 15 Braintree Hill Office Park, Suite 100,
Braintree, MA 02184–8701.
FDIC Dallas Regional Office, 1601 Bryan Street, Dallas, TX 75201.
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FDIC Kansas City Regional Office, 1100 Walnut Street, Suite 2100,
Kansas City, MO 64106.
FDIC New York Regional Office, 350 Fifth Avenue, New York, NY
10118–0110.
Dated at Washington, DC this 7th day of
December, 2011.
FDIC Memphis Area Office, 5100 Poplar Avenue, Suite 1900, Memphis, TN 38137–1900.
FDIC San Francisco Regional Office, 25 Jessie Street at Ecker
Square, Suite 2300, San Francisco, CA 94105–2780.
By order of the Board of Directors.
Robert E. Feldman,
Executive Secretary.
[FR Doc. 2011–31786 Filed 12–12–11; 8:45 am]
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]]>Agencies
[Federal Register Volume 76, Number 239 (Tuesday, December 13, 2011)]
[Notices]
[Pages 77626-77668]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-31786]
[[Page 77625]]
Vol. 76
Tuesday,
No. 239
December 13, 2011
Part III
Federal Deposit Insurance Corporation
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Notice of New and Altered Systems of Records; Notice
Federal Register / Vol. 76 , No. 239 / Tuesday, December 13, 2011 /
Notices
[[Page 77626]]
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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 Altered Systems of Records.
-----------------------------------------------------------------------
SUMMARY: Pursuant to the provisions of the Privacy Act of 1974, as
amended, 5 U.S.C. 552a(e)(4) and OMB Circular A-130, the Federal
Deposit Insurance Corporation (``FDIC'') has conducted required reviews
of its systems of records and is publishing this notice regarding its
proposal to introduce two new systems of records, alter four existing
systems of records, and to incorporate minor editorial and
administrative changes in other existing systems of records that do not
meet the threshold criteria established by the Office of Management and
Budget for either a new or altered system of records. 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 January 12, 2012. 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.
Email: Send to comments@fdic.gov. Include ``Notice of New
and Altered FDIC Systems of Records'' in the subject line.
Mail: Send to Gary Jackson, Counsel, Attention: Comments,
FDIC Systems of Records, 550 17th Street NW., Washington, DC 20429.
All submissions should refer to ``Notice of New and Altered FDIC
Systems of Records.'' By prior appointment, comments may also be
inspected and photocopied in the FDIC Public Information Center, 3501
North Fairfax Drive, Room E-1005, Arlington, Virginia 22226, between 9
a.m. and 4 p.m. (EST), Monday to Friday.
FOR FURTHER INFORMATION CONTACT: Gary Jackson, Counsel, FDIC, 550 17th
Street NW., Washington, DC 20429, (703) 562-2677.
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 add two new systems of
records and to alter four existing systems of records. The FDIC's
system notices were last published in the Federal Register on October
26, 2009, Volume 74, Number 205 (74 FR 55005); this last publication
may be viewed at https://www.fdic.gov/about/privacy/on the FDIC's
Privacy web page. With the present notice, the FDIC is also publishing
the complete text of all of its system notices to incorporate other
minor editorial and administrative changes and to provide a current,
easily accessible compilation. Information about the reasons for these
proposed changes is noted below.
The first new system of records will be designated as FDIC 30-64-
0033 and entitled, ``Emergency Notification Records.'' This system will
contain individual contact information to provide for rapid
communication to registered FDIC personnel during and after emergency
and security events to disseminate time sensitive information, provide
personnel accountability and status, and provide for the receipt of
real-time message acknowledgements and related management reports.
The second new system of records will be designated as FDIC 30-64-
0034 and entitled, ``Office of Inspector General Inquiry Records.''
This system will contain correspondence and other communications
addressed or directed to FDIC OIG and used to manage receipt,
assignment, tracking, and final matter disposition.
As described in the last published notice, the Employee Training
Information Records (FDIC 30-64-0007) is used to maintain information
required to manage personnel training programs. Substantive changes to
the notice have been made to the following sections: (1) System Name,
reflecting the new title: Employee Learning and Development Records;
(2) Categories of Records, adding new record types involving career
development, certifications, and special skills and competencies; and
(3) Purpose, adding to record and manage career development,
certifications, and special skills and competencies.
As described in the last published notice, the Investigative Files
of the Office of Inspector General (FDIC 30-64-0010) is used to
maintain information related to the investigation of criminal, civil,
or administrative matters. A substantive change to the notice has been
made to the Routine Uses section by adopting the following eight new
general routine uses that are consistent with the purpose for which the
information in question is collected: (1) To contractors, grantees,
volunteers, and others performing or working on a contract, service,
grant, cooperative agreement, or project for the Federal Government;
(2) 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; (3) 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; (4) 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; (5) To a financial institution affected by enforcement
activities or reported criminal activities; (6) To the Internal Revenue
Service and appropriate State and local taxing authorities; (7) To
other Federal, State or foreign financial institutions' supervisory or
regulatory authorities; and (8) To appropriate Federal agencies and
other public authorities for use in records management inspections.
As described in the last published notice, the Insured Financial
Institution Liquidation Records (FDIC 30-64-0013) is used to maintain
information required to manage the receivership and conservatorship
functions of the FDIC. A substantive change to the notice has been made
to the System Location section by adding third-party service providers
as the site of certain records.
As described in the last published notice, the Freedom of
Information Act and Privacy Act Request Records (FDIC 30-64-0022) is
used to maintain information required to manage FOIA and Privacy Act
requests and related matters. A substantive change to the notice has
been made to the Categories of Records section by adding new record
types for online identity verification including username and password.
A Report of New and Altered Systems of Records has been submitted
to the Committee on Oversight and Government Reform of the House of
Representatives, the Committee on Homeland Security and Governmental
Affairs of the Senate, and the Office of Management and Budget pursuant
to Appendix I to OMB Circular A-130, ``Federal Agency Responsibilities
for Maintaining Records About
[[Page 77627]]
Individuals,'' dated November 30, 2000, and the Privacy Act, 5 U.S.C.
552a(r).
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
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 Learning and Development Records
FDIC 30-64-0008 Chain Banking Organization 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 Applicant Recruiting, Evaluating, and
Electronic Referral Records
FDIC 30-64-0012 Financial Information Management Records
FDIC 30-64-0013 Insured Financial Institution Liquidation Records
FDIC 30-64-0014 Personnel Benefits and Enrollment Records
FDIC 30-64-0015 Personnel 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 30-64-0026 Transit Subsidy Program Records
FDIC 30-64-0027 Parking Program Records
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 30-64-0031 Online Ordering Request Records
FDIC 30-64-0032 Nationwide Mortgage Licensing System and Registry
FDIC 30-64-0033 Emergency Notification Records
FDIC 30-64-0034 Office of Inspector General Inquiry 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;
and Atlanta Regional Office, FDIC, 10 Tenth Street, Suite 800, Atlanta,
Georgia 30309.
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.
[[Page 77628]]
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 retrieved by name. Records of
unsuccessful applicants are indexed first by job position category and
year and then by name.
Safeguards: Electronic records are password-protected and
accessible only by authorized personnel. Paper records are maintained
in lockable metal file cabinets accessible only to authorized
personnel. Some paper records may be maintained in a locked room
accessible only to authorized personnel during a finite initial review
period.
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 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 Risk Management Supervision, 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
[[Page 77629]]
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 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 Risk Management Supervision, FDIC, 550 17th
Street NW., Washington, DC 20429.
NOTIFICATION PROCEDURE:
Individuals wishing to determine if they are named in this system
of records or who are seeking access or amendment to records maintained
in this system of records must submit their request in writing 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 77630]]
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, and
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 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 Risk Management Supervision, 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 liabilities of acquirer; statement of income and sources of income
for each acquirer; statement of liabilities for each acquirer; name and
location of the
[[Page 77631]]
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 Risk Management Supervision, FDIC, 550 17th
Street NW., Washington, DC 20429.
NOTIFICATION PROCEDURE:
Individuals wishing to determine if they are named in this system
of records or who are seeking access or amendment to records maintained
in this system of records must submit their request in writing 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.
SYSTEM LOCATION:
Division of Depositor and Consumer Protection, FDIC, 550 17th
Street NW., Washington, DC 20429, and FDIC regional offices for
complaints or inquiries originating within or involving an FDIC-insured
depository institution located in an FDIC region. (See Appendix A for a
list of the FDIC regional offices and their addresses.)
[[Page 77632]]
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, 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.
Retrievability: Electronic media is 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.
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 Depositor and Consumer Protection,
FDIC, 550 17th Street NW., Washington, DC 20429, or the Regional
Director, Division of Supervision and Consumer Protection for records
maintained in FDIC regional offices (See 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 amendment to records maintained
in this system of records must submit their request in writing 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
[[Page 77633]]
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;
relevant personnel information and ethics training records; 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 for
covered employees.
(2) Confidential Report of Indebtedness--contains information on
extensions of credit to employees, including loans and credit cards, by
FDIC-insured depository institutions or their subsidiaries; may also
contain memoranda and correspondence relating to requests for approval
of certain loans extended by insured financial institutions or
subsidiaries thereof.
(3) Confidential Report of Interest in FDIC-Insured Depository
Institution Securities--contains a brief description of an employee's
direct or indirect interest in the securities of an FDIC-insured
depository institution or affiliate, including a depository institution
holding company, and the date and manner of acquisition or divestiture;
a brief description of an employee's direct or indirect continuing
financial interest through a pension or retirement plan, trust or other
arrangement, including arrangements resulting from any current or prior
employment or business association, with any FDIC-insured depository
institution, affiliate, or depository institution holding company; and
a certification acknowledging that the employee has read and
understands the rules governing the ownership of securities in FDIC-
insured depository institutions.
(4) Employee Certification and Acknowledgment of Standards of
Conduct Regulation--contains employee's certification and
acknowledgment that he or she has received a copy of the Standards of
Ethical Conduct for Employees of the FDIC.
(5) Public Financial Disclosure Form--contains a description of an
employee's personal and family investment holdings, including interests
in business enterprises or real property, non-investment income,
creditors, former or future employer information, outside positions,
and other affiliations for political appointees.
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 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
[[Page 77634]]
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 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; FDIC automated personnel
records system; and 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 Learning and Development 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 the schedule of the individual's training
classes and other educational programs attended, dates of attendance,
continuing education credits earned, tuition fees and expenses. Also
contains information on career development, certifications, and learner
skills and competencies. The system used by the Office of Inspector
General may also contain information on educational degrees or
professional memberships and other similar information.
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 learning and
development information that is available to learners, training
administrators, and management. The system is also used to schedule
training events, enroll students, launch online training, and run
reports. The system is used to track training, career development,
certifications, continuing education and learner skills and
competencies.
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
[[Page 77635]]
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 f
