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FDIC Law, Regulations, Related Acts


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2000 - Rules and Regulations

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FDIC SYSTEMS OF RECORDS


FDIC–30–64–0001


SYSTEM NAME: Attorney and Legal Intern Applicant Records.

  SECURITY CLASSIFICATION: Unclassified but sensitive.

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

  CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Applicants for the position of attorney or legal intern with the Legal Division of the FDIC.

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

  AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).

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

  ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside the FDIC as a routine use as follows:
    (1)  To appropriate Federal, State, and local authorities responsible for investigating or prosecuting a violation of, or for enforcing or implementing a statute, rule, regulation, or order issued, when the information indicates a violation or potential violation of law, whether civil, criminal, or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule, or order issued pursuant thereto;
    (2)  To a court, magistrate, or other administrative body in the course of presenting evidence, including disclosures to counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal proceedings, when the FDIC is a party to the proceeding or has a significant interest in the proceeding, to the extent that the information is determined to be relevant and necessary;
    (3)  To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;
    (4)  To appropriate Federal, State, local authorities, and other entities when (a) it is suspected or confirmed that the security or confidentiality of information in the system has been compromised; (b) there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs that rely upon the compromised information; and (c) the disclosure is made to such agencies, entities, and persons who are reasonably necessary to assist in efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm;
    (5)  To appropriate Federal, State, and local authorities in connection with hiring or retaining an individual, conducting a background security or suitability investigation, adjudication of liability, or eligibility for a license, contract, grant, or other benefit;
    (6)  To appropriate Federal, State, and local authorities, agencies, arbitrators, and other parties responsible for processing any personnel actions or conducting administrative hearings or corrective actions or grievances or appeals, or if needed in the performance of other authorized duties;
{{12-31-07 p.2204}}
    (7)  To appropriate Federal agencies and other public authorities for use in records management inspections;
    (8)  To contractors, grantees, volunteers, and others performing or working on a contract, service, grant, cooperative agreement, or project for the Federal Government;
    (9)  To officials of a labor organization when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions; and
    (10)  To individuals or concerns whose names were supplied by the applicant as references and/or past or present employers in requesting information about the applicant.

  POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

  Storage: Records are stored in paper format within individual file folders in file cabinets. Note: In the future all or some portion of the records may be stored in electronic media. These records will be: stored on a secured computer server; password protected; and accessible only by authorized personnel.

  Retrievability: Individual file folders are indexed and retrieved by name. Records of unsuccessful applicants are indexed first by job position category and year and then by name.

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

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

  SYSTEM MANAGER(S) AND ADDRESS: Assistant General Counsel, Legal Division, FDIC, 550 17th Street, NW, Washington, DC 20429.

  NOTIFICATION PROCEDURE: Individuals wishing to determine if they are named in this system of records or who are seeking access or amendment to records maintained in this system of records must submit their request in writing to PrivacyFDIC.Gov or to the Legal Division, FOIA & Privacy Act Group, FDIC, 550 17th Street, NW, Washington, DC 20429, in accordance with FDIC regulations at 12 C.F.R. 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 C.F.R. 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 C.F.R. 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.

[30--64--0001 amended at 44 Fed. Reg. 66992, November 21, 1979; 44 Fed. Reg. 69008, November 30, 1979, effective December 28, 1979; 47 Fed. Reg. 42158, September 24, 1982, effective November 30, 1982; 54 Fed. Reg. 7600, February 22, 1989, effective May 8, 1989; 66 Fed. Reg. 27117, May 16, 2001; 72 Fed. Reg. 61132, October 29, 2007, effective December 13, 2007]

{{12-31-07 p.2205}}


FDIC–30–64–0002


SYSTEM NAME: Financial Institution Investigative and Enforcement Records.

  SECURITY CLASSIFICATION: Unclassified but sensitive.

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

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

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

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

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

  ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside the FDIC as a routine use as follows:
    (1)  To appropriate Federal, State, and local authorities responsible for investigating or prosecuting a violation of, or for enforcing or implementing a statute, rule, regulation, or order issued, when the information indicates a violation or potential violation of law, whether civil, criminal, or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule, or order issued pursuant thereto;
    (2)  To a court, magistrate, or other administrative body in the course of presenting evidence, including disclosures to counsel or witnesses in the course of civil discovery,
{{12-31-07 p.2206}}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 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.
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  Retention and Disposal: These records will be maintained until they become inactive, at which time they will be retired or destroyed in accordance with National Archives and Records Administration and FDIC Records Retention and Disposition Schedules. Disposal is by shredding or other appropriate disposal systems.

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

  NOTIFICATION PROCEDURE: Individuals wishing to determine if they are named in this system of records or who are seeking access or amendment to records maintained in this system of records must submit their request in writing to PrivacyFDIC.Gov or to the Legal Division, FOIA & Privacy Act Group, FDIC, 550 17th Street, NW, Washington, DC 20429, in accordance with FDIC regulations at 12 C.F.R. 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 C.F.R. 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 C.F.R. 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).

[30--64--0002 amended at 46 Fed. Reg. 45685, September 14, 1981, effective October 14, 1981; 47 Fed. Reg. 42159, September 24, 1982, effective November 30, 1982; 53 Fed. Reg. 7398, March 8, 1988, effective May 23, 1988; 60 Fed. Reg. 52002, October 4, 1995, effective November 28, 1995; 66 Fed. Reg. 27117, May 16, 2001; 72 Fed. Reg. 61133, October 29, 2007, effective December 13, 2007]


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).
{{12-31-07 p.2208}}

  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. 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.
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  POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

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

  Retrievability: Records are indexed and retrieved by name.

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

  Retention and Disposal: Permanent.

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

  NOTIFICATION PROCEDURE: Individuals wishing to determine if they are named in this system of records or who are seeking access or amendment to records maintained in this system of records must submit their request in writing to PrivacyFDIC.Gov or to the Legal Division, FOIA & Privacy Act Group, FDIC, 550 17th Street, NW, Washington, DC 20429, in accordance with FDIC regulations at 12 C.F.R. 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 C.F.R. Part 310.

  RECORD SOURCE CATEGORIES: Intra-agency records.

  EXEMPTIONS CLAIMED FOR THE SYSTEM: None.

[30--64--0003 amended at 42 Fed. Reg. 57344, November 2, 1977; 47 Fed. Reg. 42160, September 24, 1982, effective November 30, 1982; 53 Fed. Reg. 48310, November 30, 1988; 66 Fed. Reg. 27117, May 16, 2001; 72 Fed. Reg. 61134, October 29, 2007, effective December 13, 2007]


FDIC–30–64–0004


SYSTEM NAME: Changes in Financial Institution Control Ownership Records.

  SECURITY CLASSIFICATION: Unclassified but sensitive.

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

  CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    
    (1)  Individuals who acquired or disposed of voting stock in an FDIC-insured financial institution resulting in a change of financial institution control or ownership; and
    (2)  Individuals who filed or are included as a member of a group listed in a "Notice of Acquisition of Control'' of an FDIC-insured financial institution. Note: The information is maintained only for the period 1989 to 1995. Commencing in 1996 the records were no longer collected nor maintained on an individual name or personal identifier basis and are not retrievable by individual name or personal identifier. Beginning in 1996, information concerning changes in financial institution control is collected and maintained based upon the name of the FDIC-insured financial institution or specialized number assigned to the FDIC-insured financial institution.
{{12-31-07 p.2210}}

  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 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;
{{12-31-07 p.2211}}
    (9)  To officials of a labor organization when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions; and
    (10)  To other Federal or State financial institution supervisory authorities.

  POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

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

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

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

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

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

  NOTIFICATION PROCEDURE: Individuals wishing to determine if they are named in this system of records or who are seeking access or amendment to records maintained in this system of records must submit their request in writing to PrivacyFDIC.Gov or to the Legal Division, FOIA & Privacy Act Group, FDIC, 550 17th Street, NW, Washington, DC 20429, in accordance with FDIC regulations at 12 C.F.R. 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 C.F.R. 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.

[30--64--0004 amended at 44 Fed. Reg. 56986, October 3, 1979; 46 Fed. Reg. 45685, September 14, 1981, effective October 14, 1981; 47 Fed. Reg. 42160, September 24, 1982, effective November 30, 1982; 53 Fed. Reg. 7398, March 8, 1988, effective May 23, 1988; 66 Fed. Reg. 27117, May 16, 2001; 72 Fed. Reg. 61135, October 29, 2007, effective December 13, 2007]


FDIC–30–64–0005


SYSTEM NAME: Consumer Complaint and Inquiry Records.

  SECURITY CLASSIFICATION: Unclassified but sensitive.

  SYSTEM LOCATION: Division of Supervision and Consumer Protection, FDIC, 550 17th Street, NW, Washington, DC 20429, and FDIC regional offices for complaints or
{{12-31-07 p.2212}}inquiries originating within or involving an FDIC-insured depository institution located in an FDIC region. (See Appendix A for a list of the FDIC regional offices and their addresses.)

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

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

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

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

  ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside the FDIC as a routine use as follows:
    (1)  To appropriate Federal, State, and local authorities responsible for investigating or prosecuting a violation of, or for enforcing or implementing a statute, rule, regulation, or order issued, when the information indicates a violation or potential violation of law, whether civil, criminal, or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule, or order issued pursuant thereto;
    (2)  To a court, magistrate, or other administrative body in the course of presenting evidence, including disclosures to counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal proceedings, when the FDIC is a party to the proceeding or has a significant interest in the proceeding, to the extent that the information is determined to be relevant and necessary;
    (3)  To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;
    (4)  To appropriate Federal, State, local authorities, and other entities when (a) it is suspected or confirmed that the security or confidentiality of information in the system has been compromised; (b) there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs that rely upon the compromised information; and (c) the disclosure is made to such agencies, entities, and persons who are reasonably necessary to assist in efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm;
    (5)  To appropriate Federal, State, and local authorities in connection with hiring or retaining an individual, conducting a background security or suitability investigation, adjudication of liability, or eligibility for a license, contract, grant, or other benefit;
    (6)  To appropriate Federal, State, and local authorities, agencies, arbitrators, and other parties responsible for processing any personnel actions or conducting administrative hearings or corrective actions or grievances or appeals, or if needed in the performance of other authorized duties;
{{12-31-07 p.2213}}
    (7)  To appropriate Federal agencies and other public authorities for use in records management inspections;
    (8)  To contractors, grantees, volunteers, and others performing or working on a contract, service, grant, cooperative agreement, or project for the Federal Government;
    (9)  To officials of a labor organization when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions;
    (10)  To the insured depository institution which is the subject of the complaint or inquiry when necessary to investigate or resolve the complaint or inquiry;
    (11)  To authorized third-party sources during the course of the investigation in order to resolve the complaint or inquiry. Information that may be disclosed under this routine use is limited to the name of the complainant or inquirer and the nature of the complaint or inquiry and such additional information necessary to investigate the complaint or inquiry; and
    (12)  To the Federal or State supervisory/regulatory authority that has direct supervision over the insured depository institution that is the subject of the complaint or inquiry.

  POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

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

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

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

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

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

  NOTIFICATION PROCEDURE: Individuals wishing to determine if they are named in this system of records or who are seeking access or amendment to records maintained in this system of records must submit their request in writing to PrivacyFDIC.Gov or to the Legal Division, FOIA & Privacy Act Group, FDIC, 550 17th Street, NW, Washington, DC 20429, in accordance with FDIC regulations at 12 C.F.R. 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 C.F.R. 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
{{12-31-07 p.2214}}authority over the institution; congressional offices that may initiate the inquiry; and other parties providing information to the FDIC in an attempt to resolve the complaint or inquiry.

  EXEMPTIONS CLAIMED FOR THE SYSTEM: None.

[30--64--0005 amended at 42 Fed. Reg. 57344, November 2, 1977; 44 Fed. Reg. 66992, November 21, 1979; 44 Fed. Reg. 69008, November 30, 1979, effective December 28, 1979; 46 Fed. Reg. 45686, September 14, 1981, effective October 14, 1981; 47 Fed. Reg. 42161, September 24, 1982, effective November 30, 1982; 52 Fed. Reg. 34297, September 10, 1987; 60 Fed. Reg. 7200, February 7, 1995, effective April 3, 1995; 66 Fed. Reg. 27117, May 16, 2001; 70 Fed. Reg. 44097, August 1, 2005; 72 Fed. Reg. 61136, October 29, 2007, effective December 13, 2007]


FDIC–30–64–0006


SYSTEM NAME: Employee Confidential Financial Disclosure Records.

  SECURITY CLASSIFICATION: Unclassified but sensitive.

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

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

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

  AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Ethics in Government Act of 1978 (5 U.S.C. 7301 and App.); Section 9 and 12(f) of the Federal Deposit Insurance Act (12 U.S.C. 1819(a), 1822(f)); 26 U.S.C. 1043; Executive Order Nos. 12674 (as modified by 12731), 12565, and 11222; 5 C.F.R. Part 2634, 2635, and 3201.
{{12-31-07 p.2215}}

  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 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
{{12-31-07 p.2216}}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 PrivacyFDIC.Gov or to the Legal Division, FOIA & Privacy Act Group, FDIC, 550 17th Street, NW, Washington, DC 20429, in accordance with FDIC regulations at 12 C.F.R. 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 C.F.R. Part 310.

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

  EXEMPTIONS CLAIMED FOR THE SYSTEM: None.

[30--64--0006 amended at 46 Fed. Reg. 45687, September 14, 1981, effective October 14, 1981; amended at 47 Fed. Reg. 42162, September 24, 1982, effective November 30, 1982; 53 Fed. Reg. 48039, November 24, 1988; 59 Fed. Reg. 28534, June 2, 1994; 66 Fed. Reg. 27117, May 16, 2001; 72 Fed. Reg. 61138, October 29, 2007, effective December 13, 2007]


FDIC–30–64–0007


SYSTEM NAME: Employee Training Information Records.

  SECURITY CLASSIFICATION: Unclassified but sensitive.

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

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

  CATEGORIES OF RECORDS IN THE SYSTEM: Contains the training history of an individual while employed by the FDIC. Records may include schedule of employee's training classes and other educational programs attended, dates of attendance, tuition fees and expenses. The system used by the Office of Inspector General may also contain employee certifications on training attended, employee certifications or other information on educational degrees or professional memberships and other similar information. The Corporate University system does not record or track educational degrees, professional memberships, or similar information, and it is not used by the FDIC to confirm continuing education requirements of employees.
{{12-31-07 p.2217}}

  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, as amended (5 U.S.C. app).

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

  ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside the FDIC as a routine use as follows:
    (1)  To appropriate Federal, State, and local authorities responsible for investigating or prosecuting a violation of, or for enforcing or implementing a statute, rule, regulation, or order issued, when the information indicates a violation or potential violation of law, whether civil, criminal, or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule, or order issued pursuant thereto;
    (2)  To a court, magistrate, or other administrative body in the course of presenting evidence, including disclosures to counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal proceedings, when the FDIC is a party to the proceeding or has a significant interest in the proceeding, to the extent that the information is determined to be relevant and necessary;
    (3)  To a congressional office in response to an inquiry made by the congressional office at the request of the individual who is the subject of the record;
    (4)  To appropriate Federal, State, local authorities, and other entities when (a) it is suspected or confirmed that the security or confidentiality of information in the system has been compromised; (b) there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs that rely upon the compromised information; and (c) the disclosure is made to such agencies, entities, and persons who are reasonably necessary to assist in efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm;
    (5)  To appropriate Federal, State, and local authorities in connection with hiring or retaining an individual, conducting a background security or suitability investigation, adjudication of liability, or eligibility for a license, contract, grant, or other benefit;
    (6)  To appropriate Federal, State, and local authorities, agencies, arbitrators, and other parties responsible for processing any personnel actions or conducting administrative hearings or corrective actions or grievances or appeals, or if needed in the performance of other authorized duties;
    (7)  To appropriate Federal agencies and other public authorities for use in records management inspections;
    (8)  To contractors, grantees, volunteers, and others performing or working on a contract, service, grant, cooperative agreement, or project for the Federal Government;
    (9)  To officials of a labor organization when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions;
    (10)  To educational institutions for purposes of enrollment and verification of employee attendance and performance;
    (11)  To vendors, professional licensing boards or other appropriate third parties, for the purpose of verification, confirmation, and substantiation of training or licensing requirements;
    (12)  To the U.S. Office of Personnel Management for purposes of tracking and analyzing training and related information of FDIC employees; and
{{12-31-07 p.2218}}
    (13)  To other Federal Offices of Inspector General or other entities for purposes of conducting quality assessments or peer reviews of the OIG or any of its components.

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

  POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

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

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

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

  Retention and Disposal: Permanent retention.

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

  NOTIFICATION PROCEDURE: Individuals wishing to determine if they are named in this system of records or who are seeking access or amendment to records maintained in this system of records must submit their request in writing to PrivacyFDIC.Gov or to the Legal Division, FOIA & Privacy Act Group, FDIC, 550 17th Street, NW, Washington, DC 20429, in accordance with FDIC regulations at 12 C.F.R. 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 C.F.R. Part 310.

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

  EXEMPTIONS CLAIMED FOR THE SYSTEM: None.

[30--64--0007 amended at 42 Fed. Reg. 57344, November 2, 1977; 44 Fed. Reg. 66992, November 21, 1979; 44 Fed. Reg. 69008, November 30, 1979, effective December 28, 1979; 46 Fed. Reg. 45688, September 14, 1981, effective October 14, 1981; 47 Fed. Reg. 42163, September 24, 1982, effective November 30, 1982; 66 Fed. Reg. 27117, May 16, 2001; 72 Fed. Reg. 61139, October 29, 2007, effective December 13, 2007]


FDIC–30–64–0008


SYSTEM NAME: Chain Banking Organizations Identification Records.

  SECURITY CLASSIFICATION: Unclassified but sensitive.
{{12-31-07 p.2219}}

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

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

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

  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 FDIC-insured depository institutions or holding companies which, due to their common ownership, present a concentration of resources that could be susceptible to common risks. The information in this system is used to support the FDIC's regulatory and supervisory functions.

  ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: 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;
{{12-31-07 p.2220}}
    (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 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 Supervision and Consumer Protection, FDIC, 550 17th Street, NW, Washington, DC 20429.

  NOTIFICATION PROCEDURE: Individuals wishing to determine if they are named in this system of records or who are seeking access or amendment to records maintained in this system of records must submit their request in writing to PrivacyFDIC.Gov or to the Legal Division, FOIA & Privacy Act Group, FDIC, 550 17th Street, NW, Washington, DC 20429, in accordance with FDIC regulations at 12 C.F.R. 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 C.F.R. 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.

[30--64--0008 added at 51 Fed. Reg. 27913, August 4, 1986, effective October 8, 1986; 66 Fed. Reg. 27117, May 16, 2001; 72 Fed. Reg. 61140, October 29, 2007, effective December 13, 2007]

{{12-31-07 p.2221}}


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 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;
{{12-31-07 p.2222}}
    (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.

  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 PrivacyFDIC.Gov or to the Legal Division, FOIA & Privacy Act Group, FDIC, 550 17th Street, NW, Washington, DC 20429, in accordance with FDIC regulations at 12 C.F.R. 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 C.F.R. 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.

  EXEMPTIONS CLAIMED FOR THE SYSTEM: 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).

[30--64--0009 added at 72 Fed. Reg. 9524, March 2, 2007; 72 Fed. Reg. 61141, October 29, 2007, effective December 13, 2007]


FDIC–30–64–0010


SYSTEM NAME: Investigative Files of the Office of Inspector General.

  SECURITY CLASSIFICATION: Unclassified but sensitive.
{{12-31-07 p.2223}}

  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 C.F.R. Parts 336, 366, and 5 C.F.R. 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.).

  PURPOSE: Pursuant to the Inspector General Act, the system is maintained for the purposes of (1) conducting and documenting investigations by the OIG or other investigative agencies regarding FDIC programs and operations in order to determine whether employees or other individuals have been or are engaging in waste, fraud and abuse with respect to the FDIC's programs or operations and reporting the results of investigations to other Federal agencies, other public authorities or professional organizations which have the authority to bring criminal or civil or administrative actions, or to impose other disciplinary sanctions; (2) documenting the outcome of OIG investigations; (3) maintaining a record of the activities which were the subject of investigations; (4) reporting investigative findings to other FDIC components or divisions for their use in operating and evaluating their programs or operations, and in the imposition of civil or administrative sanctions; and (5) acting as a repository and source for information necessary to fulfill the reporting requirements of the Inspector General Act or those of other federal instrumentalities.

  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;
{{12-31-07 p.2224}}
    (3)  To the FDIC's or another Federal agency's legal representative, including the U.S. Department of Justice or other retained counsel, when the FDIC, OIG or any employee thereof is a party to litigation or administrative proceeding or has a significant interest in the litigation or proceeding;
    (4)  To 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);
    (12)  To a governmental, public or professional or self-regulatory licensing organization when such record indicates, either by itself or in combination with other information, a violation or potential violation of professional standards, or reflects on the moral, educational, or professional qualifications of an individual who is licensed or who is seeking to become licensed;
    (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 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
{{12-31-07 p.2225}}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
    (15)  To other Federal Offices of Inspector General or other entities for the purpose of conducting quality assessments or peer reviews of the OIG, or its investigative components, or for statistical purposes.

  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)).

  POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING AND DISPOSING OF RECORDS IN THE SYSTEM:

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

  Retrievability: Records are indexed and retrieved by name of individual, unique investigation number assigned, referral number, 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: Data maintained in file folders is retained for ten years and 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.

  SYSTEM MANAGER(S) AND ADDRESS: Deputy 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 PrivacyFDIC.Gov or to the Legal Division, FOIA & Privacy Act Group, FDIC, 550 17th Street, NW, Washington, DC 20429, in accordance with FDIC regulations at 12 C.F.R. 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.

  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 C.F.R. 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.
{{12-31-07 p.2226}}

  RECORD SOURCE CATEGORIES: Current and former employees of the FDIC, other government employees, private individuals, vendors, contractors, subcontractors, witnesses and informants.

  EXEMPTIONS CLAIMED FOR THE SYSTEM: This system of records, to the extent that it consists of information compiled for the purpose of criminal investigations, has been exempted from the requirements of subsections (c)(3) and (4); (d); (e)(1), (2) and (3); (e)(4)(G) and (H); (e)(5); (e)(8); (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.

[30--64--0010 added at 54 Fed. Reg. 38558, September 19, 1989, effective October 19, 1989; 66 Fed. Reg. 27117, May 16, 2001; 72 Fed. Reg. 61142, October 29, 2007, effective December 13, 2007]


FDIC–30–64–0011


SYSTEM NAME: Corporate Recruiting, Evaluating and Electronic Referral System.

  SECURITY CLASSIFICATION: Unclassified but sensitive.

  SYSTEM LOCATION: Human Resources Branch, Division of Administration, FDIC, 3501 North Fairfax Drive, Arlington, VA 22226.

  CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Individuals filing applications for employment with the FDIC in response to advertised position vacancy announcements.

  CATEGORIES OF RECORDS IN THE SYSTEM: Position vacancy announcement information such as position title, series and grade level(s), office and duty location, opening and closing date of the announcement, and dates of referral and return of lists of qualified candidates; applicant personal data such as name, address, 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.

  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,
{{12-31-07 p.2226.01}}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; 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 social security number of individual applicant.

  Safeguards: Electronic files are password protected and accessible only by authorized personnel. Network servers are located in a locked room with physical access limited to only authorized personnel.

  Retention and Disposal: 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.

  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 PrivacyFDIC.Gov or to the Legal Division, FOIA & Privacy Act Group, FDIC, 550 17th Street, NW, Washington, DC
{{12-31-07 p.2226.02}}20429, in accordance with FDIC regulations at 12 C.F.R. 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 C.F.R. 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.

[30--64--0011 added at 60 Fed. Reg. 66800, December 26, 1995, effective February 20, 1996; 66 Fed. Reg. 27117, May 16, 2001; 72 Fed. Reg. 61144, October 29, 2007, effective December 13, 2007]


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 FDIC customers, and individuals who were depositors or claimants of failed financial institutions for which the FDIC was appointed receiver. Note: Only records reflecting personal information are subject to the Privacy Act. This system also contains records concerning failed financial institution receiverships, corporations, other business entities, and organizations whose records are not subject to the Privacy Act.

  CATEGORIES OF RECORDS IN THE SYSTEM: This system contains (1) employee payroll, benefit, and disbursement-related records; (2) contractor and vendor invoices and other accounts payable records; (3) customer records related to accounts receivables; (4) payment records for individuals who were depositors or claimants of failed financial institutions for which the FDIC was appointed receiver; and (5) accounting and financial management records. The payroll and/or disbursement records include 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 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; awards, bonuses, and buyout payments; Life-Cycle and other reimbursements/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 from employees may contain credit card or other identifying account information. Records on individuals who are not employees of the FDIC consist of all documents relating to the purchase of goods and/or services from those individuals including contractual documents, vendor addresses and financial institution
{{12-31-07 p.2226.03}}account information, vendor invoice statements; amounts paid, and vendor tax identification number. Copies of documentation supporting vendor invoice statements may contain identifying data, such as account number. Customer information is also captured as necessary for the collection of accounts receivable. Payment records for individuals who were depositors or claimants of failed financial institutions for which the FDIC was appointed receiver include name, address, and payment amount; tax id numbers or social security numbers are also included for depositors or claimants when an informational tax return must be filed. The records also include general ledger and detailed trial balances and supporting data.

  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;
    (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;
{{12-31-07 p.2226.04}}
    (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 necessary to establish the identity of the individual, and the existence, validity, amount, status and history of the debt.

  DISCLOSURE TO CONSUMER REPORTING AGENCIES: Pursua