Privacy Act of 1974; System of Records
| Citation | 84 FR 35184 |
| Record Number | 2019-15280 |
| Published date | 22 July 2019 |
| Section | Notices |
| Court | Federal Deposit Insurance Corporation |
Federal Register, Volume 84 Issue 140 (Monday, July 22, 2019)
[Federal Register Volume 84, Number 140 (Monday, July 22, 2019)]
[Notices]
[Pages 35184-35232]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-15280]
[[Page 35183]]
Vol. 84
Monday,
No. 140
July 22, 2019
Part IIFederal Deposit Insurance Corporation-----------------------------------------------------------------------Privacy Act of 1974; System of Records; Notice
Federal Register / Vol. 84, No. 140 / Monday, July 22, 2019 /
Notices
[[Page 35184]]
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FEDERAL DEPOSIT INSURANCE CORPORATION
Privacy Act of 1974; System of Records
AGENCY: Federal Deposit Insurance Corporation (FDIC).
ACTION: Notice of Modified Systems of Records.
-----------------------------------------------------------------------
SUMMARY: Pursuant to the provisions of the Privacy Act of 1974, as
amended, the FDIC proposes the following changes to its Privacy Act
system of records notices: Revise one existing routine use and add one
new routine use in all system notices to conform with Office of
Management and Budget (OMB) guidance to federal agencies regarding
response and remedial efforts in the event of a data breach; Add one
new routine use to permit disclosure of Freedom of Information Act
(FOIA) request records to the Office of Government Information Services
(OGIS) so that it may fulfill its statutory responsibilities; and Make
non-substantive editorial and formatting changes to all system notices
for clarity and to conform to the updated system notice template
prescribed in OMB Circular A-108. We hereby publish this notice for
comment on the proposed actions.
DATES: This action will become effective on July 22, 2019. The routine
uses in this action will become effective 30 days after publication,
unless the FDIC makes changes based on comments received. Written
comments should be submitted on or before the effective date.
ADDRESSES: Interested parties are invited to submit written comments
identified by Privacy Act Systems of Records by any of the following
methods:
Federal eRulemaking Portal: http://regulations.gov. Follow
the instructions for submitting comments.
Agency website: https://www.FDIC.gov/regulations/laws/federal. Follow the instructions for submitting comments on the FDIC
website.
Email: [email protected].
Mail: Gary Jackson, Counsel, Federal Deposit Insurance
Corporation, 550 17th Street NW, Virginia Square D-8012, Washington, DC
20429.
Hand Delivery: Comments may be hand-delivered to the guard
station at the rear of the 17th Street Building (located on F Street),
on business days between 7:00 a.m. and 5:00 p.m.
FOR FURTHER INFORMATION CONTACT: Shannon Dahn, Chief, Privacy Section,
Phone (703) 516-1162, Email [email protected]; or Gary Jackson, Counsel,
Phone (703) 562-2677, Email, [email protected].
SUPPLEMENTARY INFORMATION: The Privacy Act, 5 U.S.C. 552a, at
subsection (b)(3), requires each agency to publish, for public notice
and comment, routine uses describing any disclosures of information
about an individual that the agency intends to make from a Privacy Act
system of records without the individual's prior written consent, other
than those which are authorized directly in the Privacy Act at
subsections (b)(1)-(2) and (b)(4)-(12). The Privacy Act defines
``routine use'' at subsection (a)(7) to mean a disclosure for a purpose
compatible with the purpose for which the record was collected.
In accordance with OMB Memorandum M-17-12, issued January 3, 2017,
titled ``Preparing for and Responding to a Breach of Personally
Identifiable Information,'' the FDIC is modifying its current general
routine use number (4) and adding a new general routine use number (5)
to each system notice to authorize the FDIC to disclose information
when necessary to obtain assistance with a suspected or confirmed data
breach or to assist another agency in its response to a breach. The
first routine use presented below is a revised version of current
general routine use number (4) prescribed in former OMB Memorandum M-
07-16 and first published in the Federal Register by the FDIC on
October 29, 2007 (72 FR 61131). The second new general routine use
presented below is being added to each the FDIC system notice as number
(5) and all routine uses have been renumbered to account for this
addition.
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; and (c) the disclosure
made to such agencies, entities, and persons is reasonably necessary to
assist in connection with the FDIC's efforts to respond to the
suspected or confirmed breach or to prevent, minimize, or remedy such
harm.
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
The FDIC is also adding a new routine use to the FDIC 30-64-0022,
Freedom of Information Act and Privacy Act Request Records, as
presented below. This new routine use will permit records to be
provided to the National Archives and Records Administration, Office of
Government Information Services (OGIS) for purposes set forth under 5
U.S.C. 552(h), including to review agency compliance with FOIA, provide
mediation services to resolve FOIA disputes, and identify policies and
procedures for improving FOIA compliance.
(9) To the National Archives and Records Administration, Office of
Government Information Services (OGIS) to the extent necessary to
fulfill its responsibilities in 5 U.S.C. 552(h), to review
administrative agency policies, procedures, and compliance with the
Freedom of Information Act (FOIA), and to facilitate OGIS's offering of
mediation services to resolve disputes between persons making FOIA
requests and administrative agencies.
In addition, this notice makes non-substantive editorial and
formatting changes to all system notices for clarity and to conform to
the updated system notice template prescribed in OMB Circular A-108.
More detailed information on the revised systems of records may be
viewed in the complete text below.
The report of modified systems of records has been submitted to the
Committee on Oversight and Government Reform of the House of
Representatives, the Committee on Homeland Security and Governmental
Affairs of the Senate, and the Office of Management and Budget,
pursuant to OMB Circular A-108, ``Federal Agency Responsibilities for
Review, Reporting, and Publication under the Privacy Act'' and the
Privacy Act, 5 U.S.C. 552a(r).
The FDIC last published a complete list of its system notices in
the Federal Register on October 30, 2015 (80 FR 66981). This
publication may be viewed on the FDIC's Privacy Program web page at
www.fdic.gov/about/privacy.
Index of FDIC Privacy Act Systems of Records in this Publication
1. Honors Attorney Applicant Records. 30-64-0001
2. Financial Institutions Investigative and Enforcement Records. 30-
64-0002
3. Administrative and Personnel Action Records. 30-64-0003
[[Page 35185]]
4. Changes in Financial Institution Control Ownership Records. 30-
64-0004
5. Consumer Complaint and Inquiry Records. 30-64-0005
6. Employee Financial Disclosure Records. 30-64-0006
7. FDIC Learning and Development Records. 30-64-0007
8. Chain Banking Organizations Identification Records. 30-64-0008
9. Safety and Security Incident Records. 30-64-0009
10. Investigative Files of the Office of Inspector General. 30-64-
0010
11. Corporate Applicant Recruiting, Evaluating, and Electronic
Referral Records. 30-64-0011
12. Financial Information Management Records. 30-64-0012
13. Insured Financial Institution Liquidation Records. 30-64-0013
14. Personnel Benefits and Enrollment Records . 30-64-0014
15. Personnel Records. 30-64-0015
16. Professional Qualification Records for Municipal Securities
Dealers, Securities Representatives, and U.S. Government. Securities
Brokers/Dealers. 30-64-0016
17. Employee Medical and Health Assessment Records. 30-64-0017
18. Grievance Records. 30-64-0018
19. Potential Bidders List. 30-64-0019
20. Telephone Call Detail Records. 30-64-0020
21. Fitness Center Records. 30-64-0021
22. Freedom of Information Act and Privacy Act Request Records. 30-
64-0022
23. Affordable Housing Program Records. 30-64-0023
24. Unclaimed Deposit Account Records. 30-64-0024
25. Beneficial Ownership Filings (Securities Exchange Act). 30-64-
0025
26. Transit Subsidy Program Records. 30-64-0026
27. Parking Program Records. 30-64-0027
28. Office of the Chairman Correspondence Records. 30-64-0028
29. Congressional Correspondence Records. 30-64-0029
30. Legislative Information Tracking System Records. 30-64-0030
31. Online Ordering Request Records. 30-64-0031
32. Reserved. 30-64-0032
33. Emergency Notification Records. 30-64-0033
34. Office of Inspector General Inquiry Records. 30-64-0034
35. Identity, Credential and Access Management Records. 30-64-0035
Appendix A--FDIC Regional Offices
www.fdic.gov/about/contact/directory
FDIC Atlanta Regional Office, 10 Tenth Street NE, Suite 800, Atlanta,
GA 30309-3906
FDIC Boston Regional Office, 15 Braintree Hill Office Park, Suite 200,
Braintree, MA 02184-8701
FDIC Chicago Regional Office, 300 South Riverside Plaza, Suite 1700,
Chicago, IL 60606
FDIC Dallas Regional Office, 1601 Bryan Street, Suite 1410, Dallas, TX
75201-3479
FDIC Kansas City Regional Office, 1100 Walnut Street, Suite 2100,
Kansas City, MO 64106
FDIC Memphis Area Office, 6060 Primacy Parkway, Suite 300, Memphis, TN
38119-5770
FDIC New York Regional Office, 350 Fifth Avenue, Suite 1200, New York,
NY 10118-0110
FDIC San Francisco Regional Office, 25 Jessie Street at Ecker Square,
Suite 2300, San Francisco, CA 94105-2780
SYSTEM NAME AND NUMBER:
Honors Attorney Applicant Records, FDIC-30-64-0001.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Legal Division, FDIC, 550 17th Street NW, Washington, DC 20429; and
Atlanta Regional Office, FDIC, 10 Tenth Street, Suite 800, Atlanta,
Georgia 30309.
SYSTEM MANAGER(S):
Assistant General Counsel, Open Bank Regional Affairs Section,
Legal Division, FDIC, 550 17th Street NW, Washington, DC 20429.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).
PURPOSE(S) OF THE SYSTEM:
The information in this system is used to evaluate the
qualifications of individuals who apply for honors attorney positions
in the Legal Division.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Applicants for the position of honors attorney 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.
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.
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or
[[Page 35186]]
national security, resulting from a suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(9) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project;
(10) To officials of a labor organization when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting working
conditions; and
(11) To individuals or concerns whose names were supplied by the
applicant as references and/or past or present employers in requesting
information about the applicant.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media and in paper format within
individual file folders.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by name. Records of unsuccessful applicants
are indexed first by job position category and year and then by name.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records of unsuccessful applicants are maintained two years after
their submission; records of successful applicants become a part of the
Personnel Records, FDIC 30-64-0015. Disposal is by shredding or other
appropriate disposal methods.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Electronic records are password-protected and accessible only by
authorized personnel. Paper records are maintained in lockable metal
file cabinets accessible only to authorized personnel. Some paper
records may be maintained in a locked room accessible only to
authorized personnel during a finite initial review period.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Pursuant to 12 CFR part 310.13(b), investigatory material compiled
solely for the purpose of determining suitability, eligibility, or
qualifications for FDIC employment may be withheld from disclosure to
the extent that disclosure of such material would reveal the identity
of a source who furnished information to the FDIC under an express
promise of confidentiality.
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Financial Institution Investigative and Enforcement Records, FDIC-
30-64-0002.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Division of Risk Management Supervision, FDIC, 550 17th Street NW,
Washington, DC 20429. Duplicate systems may exist, in whole or in part,
at secure sites and on secure servers maintained by third-party service
providers for the FDIC.
SYSTEM MANAGER(S):
Director, Division of Risk Management Supervision, FDIC, 550 17th
Street NW, Washington, DC 20429.
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(S) OF THE SYSTEM:
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.
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,
[[Page 35187]]
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.
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.
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(9) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project;
(10) To officials of a labor organization when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting working
conditions;
(11) To a financial institution affected by enforcement activities
or reported criminal activities;
(12) To the Internal Revenue Service and appropriate State and
local taxing authorities;
(13) To other Federal, State or foreign financial institutions
supervisory or regulatory authorities; and
(14) To the Department of the Treasury, federal debt collection
centers, other appropriate federal agencies, and private collection
contractors or other third Parties authorized by law, for the purpose
of collecting or assisting in the collection of delinquent debts owed
to the FDIC. Disclosure of information contained in these records will
be limited to the individual's name, Social Security number, and other
information necessary to establish the identity of the individual, and
the existence, validity, amount, status and history of the debt.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Pursuant to 5 U.S.C. 552a(b)(12), disclosures may be made from this
system to consumer reporting agencies as defined in the Fair Credit
Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act
of 1966 (31 U.S.C. 3701(a)(3)).
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media and in paper format within
individual file folders.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by name. Records of unsuccessful applicants
are indexed first by job position category and year and then by name.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records for name and identification checks that document criminal
history or lack thereof on proposed bank directors, officer, and
purchasers are maintained five years. Disposal is by shredding or other
appropriate disposal methods.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL 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.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of
[[Page 35188]]
identity in accordance with FDIC regulations at 12 CFR part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Administrative and Personnel Action Records, FDIC-30-64-0003.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Legal Division, Executive Secretary Section, FDIC, 550 17th Street
NW, Washington, DC 20429.
SYSTEM MANAGER(S):
Legal Division, Executive Secretary Section, FDIC, 550 17th Street
NW, Washington, DC 20429.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Sections 8, 9, and 19 of the Federal Deposit Insurance Act (12
U.S.C. 1818, 1819, 1829).
PURPOSE(S) OF THE SYSTEM:
The system is maintained to record the administrative and personnel
actions taken by the FDIC Board of Directors, standing committees, or
other officials.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have been the subject of administrative enforcement
actions or other personnel actions by the FDIC Board of Directors or by
standing committees of the FDIC and individuals who have been the
subject of administrative actions by FDIC officials under delegated
authority.
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.
RECORD SOURCE CATEGORIES:
Intra-agency records.
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(9) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project;
(10) To officials of a labor organization when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting working
conditions; and
(11) To 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
[[Page 35189]]
necessary and relevant to the requesting agency's decision on the
matter.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media, microfilm, and paper format
within individual file folders, minute book ledgers and index cards.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by name.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Permanent.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL 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. A security copy
of certain microfilmed portions of the records is retained at another
location.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Changes in Financial Institution Control Ownership Records, FDIC-
30-64-0004.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Division of Risk Management Supervision, FDIC, 550 17th Street NW,
Washington, DC 20429. Duplicate systems may exist, in whole or in part,
at secure sites and on secure servers maintained by third-party service
providers for the FDIC.
SYSTEM MANAGER(S):
Director, Division of Risk Management Supervision, FDIC, 550 17th
Street NW, Washington, DC 20429.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 7(j) of the Federal Deposit Insurance Act (12 U.S.C.
1817(j)).
PURPOSE(S) OF THE SYSTEM:
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.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(1) Individuals who acquired or disposed of voting stock in an
FDIC-insured financial institution resulting in a change of financial
institution control or ownership; and
(2) Individuals who filed or are included as a member of a group
listed in a ``Notice of Acquisition of Control'' of an FDIC-insured
financial institution. Note: The information is maintained only for the
period 1989 to 1995. Commencing in 1996 the records were no longer
collected nor maintained on an individual name or personal identifier
basis and are not retrievable by individual name or personal
identifier. Beginning in 1996, information concerning changes in
financial institution control is collected and maintained based upon
the name of the FDIC-insured financial institution or specialized
number assigned to the FDIC-insured financial institution.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records include the name of proposed acquirer; statement of assets
and liabilities of acquirer; statement of income and sources of income
for each acquirer; statement of liabilities for each acquirer; name and
location of the 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.
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.
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of
[[Page 35190]]
the suspected or confirmed breach there is a risk of harm to
individuals, the FDIC (including its information systems, programs, and
operations), the Federal Government, or national security; the FDIC and
(c) the disclosure made to such agencies, entities, and persons is
reasonably necessary to assist in connection with the FDIC's efforts to
respond to the suspected or confirmed breach or to prevent, minimize,
or remedy such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(9) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project;
(10) To officials of a labor organization when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting working
conditions; and
(11) To other Federal or State financial institution supervisory
authorities.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media and in paper format within
individual file folders.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records for the period 1989 to 1995 are indexed and retrieved by
name of the individual.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained ten years. Disposal is by shredding or other
appropriate disposal methods.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL 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.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Consumer Complaint and Inquiry Records, FDIC-30-64-0005.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Division of Depositor and Consumer Protection, FDIC, 550 17th
Street NW, Washington, DC 20429, and FDIC Regional Offices for
complaints or inquiries originating within or involving an FDIC-insured
depository institution located in an FDIC region. (See www.fdic.gov/about/contact/directory or Appendix A for the location of FDIC Regional
Offices.) Duplicate systems may exist, in whole or in part, at secure
sites and on secure servers maintained by third-party service providers
for the FDIC.
SYSTEM MANAGER(S):
Deputy Director, Consumer and Community Affairs, Division of
Depositor and Consumer Protection, FDIC, 550 17th Street NW,
Washington, DC 20429, or the Regional Director, Division of Supervision
and Consumer Protection for records maintained in FDIC Regional
Offices. (See www.fdic.gov/about/contact/directory or Appendix A for
the location of FDIC Regional Offices.)
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(S) OF THE SYSTEM:
The system maintains correspondence from individuals regarding
complaints or inquiries concerning activities or practices of FDIC-
insured depository institutions. The information is used to identify
concerns of individuals, to manage correspondence received from
individuals and to accurately respond to complaints, inquiries, and
concerns expressed by individuals. The information in this system
supports the FDIC regulatory and supervisory functions.
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:
This system contains correspondence and records of other
communications between the FDIC and the individual submitting a
complaint or making an inquiry, including copies of supporting
documents and contact information including name, email address, online
identity verification information, and any other information
voluntarily supplied by the individual. This system may also contain
regulatory and
[[Page 35191]]
supervisory communications between the FDIC and the FDIC-insured
depository institution in question and/or intra-agency or inter-agency
memoranda or correspondence relevant to the complaint or inquiry.
RECORD SOURCE CATEGORIES:
The information is obtained from the individual on whom the record
is maintained; FDIC-insured depository institutions that are the
subject of the complaint; the appropriate agency, whether Federal or
State, with supervisory authority over the institution; congressional
offices that may initiate the inquiry; and other parties providing
information to the FDIC in an attempt to resolve the complaint or
inquiry.
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(9) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project;
(10) To officials of a labor organization when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting working
conditions;
(11) To the insured depository institution which is the subject of
the complaint or inquiry when necessary to investigate or resolve the
complaint or inquiry;
(12) To authorized third-party sources during the course of the
investigation in order to resolve the complaint or inquiry. Information
that may be disclosed under this routine use is limited to the name of
the complainant or inquirer and the nature of the complaint or inquiry
and such additional information necessary to investigate the complaint
or inquiry; and
(13) To the Federal or State supervisory/regulatory authority that
has direct supervision over the insured depository institution that is
the subject of the complaint or inquiry.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Electronic media is indexed and retrieved by unique identification
number which may be cross referenced to the name of complainant or
inquirer.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained seven years. Disposal is by shredding or
other appropriate disposal methods.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Electronic records are password-protected and accessible only by
authorized personnel.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
[[Page 35192]]
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Employee Financial Disclosure Records, FDIC-30-64-0006.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Records are located in FDIC Divisions and Offices to which
individuals covered by the system are assigned. Duplicate copies of the
records are located in the Legal Division, Executive Secretary Section,
Ethics Unit, FDIC, 550 17th Street NW, Washington, DC 20429. (See
www.fdic.gov/about/contact/directory or Appendix A for the location of
FDIC Regional Offices.) Duplicate systems may exist, in whole or in
part, at secure sites and on secure servers maintained by third-party
service providers for the FDIC.
SYSTEM MANAGER(S):
Ethics Program Manager, Executive Secretary Section, Legal
Division, FDIC, 550 17th Street NW, Washington, DC 20429.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 and 12(f) of the Federal Deposit Insurance Act (12 U.S.C.
1819 and 1822(f)); Title I of the Ethics in Government Act (5 U.S.C.
App. 101); Section 17 of the Stock Act (18 U.S.C. 208); Executive
Orders 12674 and 12731, as amended; and 5 CFR parts 2634, 2635, and
3201.
PURPOSE(S) OF THE SYSTEM:
The records are maintained to assure compliance with the standards
of conduct for Government employees established by Executive Orders
Federal Statute, and FDIC regulations and to determine if a conflict of
interest exists between employment of individuals by the FDIC and their
personal employment and financial interests.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Current and former officers and employees, prospective employees,
and special government employees.
CATEGORIES OF RECORDS IN THE SYSTEM:
Contains statements of personal and family financial holdings and
other interests in business enterprises and real property; listings of
creditors and outside employment; opinions and determinations of ethics
counselors; information related to conflict of interest determinations;
relevant personnel information and ethics training records; and
information contained on the forms described below. Note: This system
includes only records maintained by the FDIC. Associated records are
described and covered by the Office of Government Ethics government-
wide system of records OGE/GOVT-1 (Executive Branch Personnel Public
Financial Disclosure Reports and Other Name-Retrieved Ethics Program
Records) or OGE/GOVT-2 (Executive Branch Confidential Financial
Disclosure Reports).
(1) Confidential Financial Disclosure Report--contains listing of
personal and family investment holdings, interests in business
enterprises and real property, creditors, and outside employment for
covered employees.
(2) Confidential Report of Indebtedness--contains information on
extensions of credit to employees, including loans and credit cards, by
FDIC-insured depository institutions or their subsidiaries; may also
contain memoranda and correspondence relating to requests for approval
of certain loans extended by insured financial institutions or
subsidiaries thereof.
(3) Confidential Report of Interest in FDIC-Insured Depository
Institution Securities--contains a brief description of an employee's
direct or indirect interest in the securities of an FDIC-insured
depository institution or affiliate, including a depository institution
holding company, and the date and manner of acquisition or divestiture;
a brief description of an employee's direct or indirect continuing
financial interest through a pension or retirement plan, trust or other
arrangement, including arrangements resulting from any current or prior
employment or business association, with any FDIC-insured depository
institution, affiliate, or depository institution holding company; and
a certification acknowledging that the employee has read and
understands the rules governing the ownership of securities in FDIC-
insured depository institutions.
(4) Employee Certification and Acknowledgment of Standards of
Conduct Regulation--contains employee's certification and
acknowledgment that he or she has received a copy of the Standards of
Ethical Conduct for Employees of the FDIC.
(5) Public Financial Disclosure Form--contains a description of an
employee's personal and family investment holdings, including interests
in business enterprises or real property, non-investment income,
creditors, former or future employer information, outside positions,
and other affiliations for political appointees.
(6) Notification of Post-Employment Negotiation or Agreement and
Recusal Statement--contains notice of any negotiation for, or agreement
of, future employment or compensation with a non-federal entity and
requisite recusal statement.
RECORD SOURCE CATEGORIES:
The information is obtained from the individual or a person or
entity designated by the individual; FDIC employees designated as
Ethics Counselors or Deputy Ethics Counselors; FDIC automated personnel
records system; and other employees or individuals to whom the FDIC has
provided information in connection with evaluating the records
maintained.
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems,
[[Page 35193]]
programs, and operations), the Federal Government, or national
security; the FDIC and (c) the disclosure made to such agencies,
entities, and persons is reasonably necessary to assist in connection
with the FDIC's efforts to respond to the suspected or confirmed breach
or to prevent, minimize, or remedy such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections; and
(9) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media and in paper format within
individual file folders.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by name.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records of nominees to Presidentially Appointed Senate confirmed
(PAS) positions who are not confirmed are retained one year. All other
records are retained six years, except that documents needed in an
ongoing investigation will be retained until no longer needed in the
investigation. Entries maintained in electronic media are deleted,
except that paper format documents and electronic media entries needed
in an ongoing investigation will be retained until no longer needed for
the investigation. Disposal is by shredding or other appropriate
disposal methods.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL 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.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
FDIC Learning and Development Records, FDIC-30-64-0007.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
FDIC Corporate University, 3501 Fairfax Drive, Arlington, VA 22226,
and FDIC Office of Inspector General, 3501 Fairfax Drive, Arlington, VA
22226. Duplicate systems may exist, in whole or in part, at secure
sites and on secure servers maintained by third-party service providers
for the FDIC.
SYSTEM MANAGER(S):
Assistant Director, Educational Support Services, Corporate
University, FDIC, 3501 Fairfax Drive, Arlington, VA 22226; Deputy
Assistant Inspector General for Management, Office of Inspector
General, FDIC, 3501 Fairfax Drive, Arlington, VA 22226.
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(S) OF THE SYSTEM:
The system is used to record and manage comprehensive learning and
development information that is available to learners, training
administrators, and management. The system is also used to schedule
training events, enroll students, launch online training, and run
reports. The system is used to track training, career development,
certifications, commissions, continuing education and learner skills
and competencies.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
All current and former employees and other individuals that have
attended or completed training conducted or sponsored by the FDIC.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records include the schedule of the individual's training classes
and other educational programs attended or completed, dates of
attendance, continuing education credits earned, tuition fees and
expenses for external training, and related information. Also contains
information on career development, certification compliance,
commissioning tests, career development, and learner skills and
competencies. The system used by the Office of Inspector General may
also contain information on educational degrees or professional
memberships and other similar information.
RECORD SOURCE CATEGORIES:
The information is obtained from the employee about whom the record
is maintained, employee supervisors, training administrators, the
training facility or institution attended, and
[[Page 35194]]
FDIC automated personnel records systems.
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(9) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project;
(10) To officials of a labor organization when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting working
conditions;
(11) To educational institutions for purposes of enrollment and
verification of employee attendance and performance;
(12) To vendors, professional licensing boards or other appropriate
third parties, for the purpose of verification, confirmation, and
substantiation of training or licensing requirements;
(13) To the U.S. Office of Personnel Management and other Federal,
State, and foreign authorities for purposes of enrollment verification,
attendance, and related information of employees who attend FDIC
sponsored training; and
(14) To other Federal Offices of Inspector General or other
entities for purposes of conducting quality assessments or peer reviews
of the OIG or any of its components.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media and in paper format within
individual file folders.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Electronic media are accessible by unique identifier or name. File
folders are indexed and retrieved by name of individual.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained 10 years after employee separation from the
FDIC. Disposal is by shredding or other appropriate methods.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL 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.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Chain Banking Organizations Identification Records, FDIC-30-64-
0008.
SECURITY CLASSIFICATION:
Unclassified.
[[Page 35195]]
SYSTEM LOCATION:
Division of Risk Management Supervision, FDIC, 550 17th Street NW,
Washington, DC 20429, and FDIC Regional Offices. (See www.fdic.gov/about/contact/directory or Appendix A for the location of FDIC Regional
Offices.) Duplicate systems may exist, in whole or in part, at secure
sites and on secure servers maintained by third-party service providers
for the FDIC.
SYSTEM MANAGER(S):
Director, Division of Risk Management Supervision, FDIC, 550 17th
Street NW, Washington, DC 20429.
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(S) OF THE SYSTEM:
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.
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.
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).
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(9) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project;
(10) To officials of a labor organization when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting working
conditions; and
(11) To 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 STORAGE OF RECORDS:
Records are stored in electronic media.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Electronic media are accessible by unique identifier or name.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Certain records are archived in off-line storage and all records
are periodically updated to reflect changes. Records are maintained
until they become inactive, at which time they will be retired or
destroyed in accordance with FDIC Records Retention Schedules and the
National Archives and Records Administration. Disposal is by shredding
or other appropriate disposal methods.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Electronic records are password-protected and accessible only by
authorized personnel.
[[Page 35196]]
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Safety and Security Incident Records, FDIC-30-64-0009.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
FDIC, Division of Administration, 550 17th Street NW, Washington,
DC 20429, and FDIC Regional or area Offices. (See www.fdic.gov/about/contact/directory or Appendix A for the location of FDIC Regional
Offices.) Duplicate systems may exist, in whole or in part, at secure
sites and on secure servers maintained by third-party service providers
for the FDIC.
SYSTEM MANAGER(S):
Chief, Security Operations, Security and Emergency Preparedness
Section, Corporate Services Branch, Division of Administration, 3501
Fairfax Drive, Arlington, VA 22226.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).
PURPOSE(S) OF THE SYSTEM:
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.
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, injury, 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, vehicle
information, and associated information.
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.
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(9) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under
[[Page 35197]]
such contract, grant, agreement or project; and
(10) To officials of a labor organization when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting working
conditions.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media and in paper format within
individual file folders.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are indexed and retrieved by name, date, or case number.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained seven years. Disposal is by shredding or
other appropriate disposal methods.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL 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.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED 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).
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Investigative Files of the Office of Inspector General, FDIC-30-64-
0010.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
FDIC Office of Inspector General (OIG), 3501 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.
SYSTEM MANAGER(S):
Assistant Inspector General for Investigations, FDIC Office of
Inspector General, 3501 Fairfax Drive, Arlington, VA 22226.
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(S) OF THE SYSTEM:
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 violations of laws, regulations,
contracts, etc., 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 Divisions or Offices 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.
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, to include but not be
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 including payroll records, call
records, email records, electronic case management, forensic, and
tracking files, OIG Hotline-related records, reports of investigations
with related exhibits, statements, affidavits, records or other
pertinent documents, reports from or to other law enforcement bodies,
pertaining to violations or potential violations of criminal laws,
fraud, waste, and abuse with respect to administration of FDIC programs
and operations, and violations of employee and contractor Standards of
Conduct as set forth in section 12(f) of the Federal Deposit Insurance
Act (12 U.S.C. 1822(f)), 12 CFR parts 336, 366, and 5 CFR parts 2634,
2635, and 3201. Records in this system may contain personally
identifiable information such as names, social security numbers, dates
of birth and addresses. This system may also contain such information
as employment history, bank account numbers and information, drivers
licenses, educational records, criminal history, photographs, voice
recordings, and other information of a personal nature provided or
obtained in connection with an investigation.
RECORD SOURCE CATEGORIES:
Official records of the FDIC; current and former employees of the
FDIC, other government employees, private individuals, vendors,
contractors, subcontractors, witnesses and informants. Records in this
system may have originated in other FDIC systems of records and
subsequently transferred to this system.
[[Page 35198]]
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 which has responsibility for
investigating or prosecuting a violation of or for enforcing or
implementing a statute, rule, regulation, or order to assist such
agency or authority in fulfilling these responsibilities when the
record, either by itself or in combination with other information,
indicates a violation or potential violation of law, or contract,
whether civil, criminal, or regulatory in nature, and whether arising
by general statute or particular program statute, or by regulation,
rule, or order issued pursuant thereto;
(2) To a court, magistrate, alternative dispute resolution mediator
or administrative tribunal (collectively referred to as the
adjudicative bodies) in the course of presenting evidence, including
disclosures to counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations or in connection with criminal
proceedings (collectively, the litigated proceedings) when the FDIC or
OIG is a party to the proceeding or has a significant interest in the
proceeding and the information is determined to be relevant and
necessary in order for the adjudicatory bodies, or any of them, to
perform their official functions in connection with the presentation of
evidence relative to the litigated proceedings;
(3) To the FDIC's or another Federal agency's legal representative,
including the U.S. Department of Justice or other retained counsel,
when the FDIC, OIG or any employee thereof is a party to litigation or
administrative proceeding or has a significant interest in the
litigation or proceeding to assist those representatives by providing
them with information or evidence for use in connection with such
litigation or proceedings;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To a grand jury agent pursuant either to a Federal or State
grand jury subpoena or to a prosecution request that such record be
released for the purpose of its introduction to a grand jury;
(7) To the subjects 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;
(8) 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;
(9) 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;
(10) To a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement information or other pertinent
information, such as current licenses, if necessary for the FDIC to
obtain information concerning the hiring or retention of an employee, a
security clearance determination or adjudication, the letting of a
contract, or the issuance of a license, grant, or other benefit;
(11) To a Federal agency responsible for considering suspension or
debarment action where such record is determined to be necessary and
relevant to that agency's consideration of such action;
(12) 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);
(13) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the OIG, the FDIC or the Federal Government in order to
assist those entities or individuals in carrying out their obligation
under the related contract, grant, agreement or project;
(14) To the U.S. Office of Personnel Management, Government
Accountability Office, Office of Government Ethics, Merit Systems
Protection Board, Office of Special Counsel, Equal Employment
Opportunity Commission, Department of Justice, Office of Management and
Budget or the Federal Labor Relations Authority of records or portions
thereof determined to be relevant and necessary to carrying out their
authorized functions, including but not limited to a request made in
connection with hiring or retaining an employee, rendering advice
requested by OIG, making a security clearance determination or
adjudication, reporting an investigation of an employee, reporting an
investigation of prohibited personnel practices, letting a contract or
issuing a grant, license, or other benefit by the requesting agency,
but only to the extent that the information disclosed is necessary and
relevant to the requesting agency's decision on the matter;
(15) 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;
(16) 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;
(17) 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;
(18) To a financial institution affected by enforcement activities
or reported criminal activities authorities to ascertain the knowledge
of or involvement in matters that have been developed during the course
of the investigation;
(19) To the Internal Revenue Service and appropriate State and
local taxing authorities for their use in enforcing the
[[Page 35199]]
relevant revenue and taxation law and related official duties;
(20) To other Federal, State or foreign financial institutions
supervisory or regulatory authorities for their use in administering
their official functions, to include examination, supervision,
litigation, and resolution authorities with respect to financial
institutions, receiverships, liquidations, conservatorships, bridge
institutions, and similar functions;
(21) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(22) To a governmental, public or professional or self-regulatory
licensing organization for use in licensing or related determinations
when such record indicates, either by itself or in combination with
other information, a violation or potential violation of professional
standards, or reflects on the moral, educational, or professional
qualifications of an individual who is licensed or who is seeking to
become licensed;
(23) To the Department of the Treasury, federal debt collection
centers, other appropriate federal agencies, and private collection
contractors or other third parties authorized by law, for the purpose
of collecting or assisting in the collection of delinquent debts owed
to the FDIC or to obtain information in the course of an investigation
(to the extent permitted by law). Disclosure of information contained
in these records will be limited to the individual's name, Social
Security number, and other information necessary to establish the
identity of the individual, and the existence, validity, amount, status
and history of the debt; and
(24) 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 STORAGE OF RECORDS:
Records are stored in electronic media and in paper format within
individual file folders.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are indexed and retrieved by name of individual, unique
investigation number assigned, referral number, social security number,
or investigative subject matter.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records regarding ``significant'' investigations (i.e., those
receiving national media attention, involving a Congressional
investigation, or otherwise having been deemed to have historic value)
are retained permanently, with offering to the National Archives and
Records Administration after ten years. For records that are
investigative in nature but not related to a specific investigation,
the retention period is five years. For records related to a specific
investigation, except significant investigations (national media
attention, Congressional investigation, or substantive changes in
agency policies and procedures), the retention period is ten years
after the Office of Investigations' closure of the file. Records in
this system having reached the end of their retention period, and not
subject to any litigation or other holds are to be destroyed or placed
in secured bins for destruction by an FDIC contractor.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
The electronic system files are accessible only by authorized
personnel and are safeguarded with user passwords or passcodes and
authentication verification, network/database permission, and software
controls. File folders are maintained in safes or lockable metal file
cabinets and lockable offices accessible only by authorized personnel.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED 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.
Note, records in this system that originated in another system of
records shall be governed by the exemptions claimed for this system as
well as any additional exemptions claimed for the other system.
HISTORY:
80 FR 66981 (October 30, 2015).
[[Page 35200]]
SYSTEM NAME AND NUMBER:
Corporate Applicant Recruiting, Evaluating and Electronic Referral
Records, FDIC-30-64-0011.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Human Resources Branch, Division of Administration, FDIC, 3501
Fairfax Drive, Arlington, VA 22226, and FDIC Office of Inspector
General (OIG), 3501 Fairfax Drive, Arlington, VA 22226.
SYSTEM MANAGER(S):
Assistant Director, Information Systems and Services Section, Human
Resources Branch, Division of Administration, FDIC, 3501 Fairfax Drive,
Arlington, VA 22226; Deputy Assistant Inspector General for Management,
Office of Inspector General, FDIC, 3501 Fairfax Drive, Arlington, VA
22226.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819); 5
U.S.C. 1104; and Section 8C(b) of the Inspector General Act, as amended
(5 U.S.C. App.).
PURPOSE(S) OF THE SYSTEM:
The records are collected and maintained to monitor and track
individuals filing employment applications with the FDIC or OIG and to
assess recruiting goals and objectives.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals filing applications for employment with the FDIC or OIG
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.
RECORD SOURCE CATEGORIES:
Information originates from position vacancy announcements,
applications for employment submitted by individuals, and the applicant
qualification and processing system.
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(9) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project; and
(10) To officials of a labor organization when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting working
conditions.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media and in paper format within
individual file folders.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Electronic media are accessible by unique identifier or name. File
folders are indexed and retrieved by name of individual.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained three years or until they become inactive,
at which time they will be retired or destroyed in accordance with FDIC
Records Retention Schedules and the National Archives and Records
Administration. Disposal is by shredding or other appropriate disposal
methods.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL 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.
[[Page 35201]]
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Financial Information Management Records, FDIC-30-64-0012.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Division of Finance, FDIC, 3501 Fairfax Drive, Arlington, VA 22226.
Records concerning garnishments, attachments, wage assignments and
related records concerning FDIC employees are located with the Legal
Division, FDIC, 3501 Fairfax Drive, Arlington, VA 22226. Some
information, including travel and lodging reservations is collected and
maintained, on behalf of the FDIC by Sato Travel Services at 4601 N
Fairfax Drive, Suite 170, Arlington, VA 22203. Duplicate systems may
exist, in whole or in part, at secure sites and on secure servers
maintained by third-party service providers for the FDIC.
SYSTEM MANAGER(S):
Director, Division of Finance, FDIC, 3501 Fairfax Drive, Arlington,
VA 22226. For records about FDIC employees concerning garnishments,
attachments, wage assignments and related records, the system manager
is the Legal Division, FDIC, 3501 Fairfax Drive, Arlington, VA 22226.
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(S) OF THE SYSTEM:
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.
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 employees, advisory committee members and others who travel for
the FDIC; current and former FDIC customers; and individuals who were
depositors or claimants of failed financial institutions for which the
FDIC was appointed receiver. Note: Only records reflecting personal
information are subject to the Privacy Act. This system also contains
records concerning failed financial institution receiverships,
corporations, other business entities, and organizations whose records
are not subject to the Privacy Act.
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,
without limitation, employees' mailing addresses and home addresses;
dependents' names and dates of birth; financial institution account
information; social security number and unique employee identification
number; rate and amount of pay; tax exemptions; tax deductions for
employee payments; and corporate payments information for tax
reporting. Records relating to employee, advisory committee and other
claims for reimbursement of official travel expenses include, without
limitation, travel authorizations, vouchers showing amounts claimed,
medical certification and narratives with information about the
traveler's medical or physical conditions, exceptions taken as a result
of audit, and amounts paid. Other records maintained on employees
include reimbursement claims for relocation expenses consisting of
authorizations, advances, vouchers of amounts claimed and amounts paid;
reimbursement for educational expenses or professional membership dues
and licensing fees and similar reimbursements; awards, bonuses, and
buyout payments; advances or other funds owed to the FDIC; and
garnishments, attachments, wage assignments or related records. Copies
of receipts/invoices provided to the FDIC for reimbursement may contain
credit card or other identifying account information. Contractor,
vendor, and other accounts payable records consist of all documents
relating to the purchase of goods and/or services from those
individuals including contractual documents, vendor addresses and
financial institution account information, vendor invoice statements;
amounts paid, and vendor tax identification number. Copies of
documentation supporting vendor invoice statements may contain
identifying data, such as account number. Customer information is also
captured as necessary for the collection of accounts receivable.
Payment records for individuals who were depositors or claimants of
failed financial institutions for which the FDIC was appointed receiver
include name, address, and payment amount; tax id numbers or social
security numbers are also included for depositors or claimants when an
informational tax return must be filed. The records also include
general ledger and detailed trial balances and supporting data. Note:
This system includes only records maintained by the FDIC. Associated
records maintained by the government travel card issuer and travel
services provider are described and covered by the government-wide
system of records GSA/GOVT-3 (Travel Charge Card Program), and GSA/
GOVT-4 (Contracted Travel Services Program).
[[Page 35202]]
RECORD SOURCE CATEGORIES:
The information is obtained from the individual upon whom the
record is maintained; other government agencies; contractors; or from
another FDIC office maintaining the records in the performance of their
duties. Where an employee is subject to a tax lien, a bankruptcy, an
attachment, or a wage garnishment, information also is obtained from
the appropriate taxing or judicial authority.
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(9) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project;
(10) To officials of a labor organization when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting working
conditions;
(11) To auditors employed by the U.S. Government Accountability
Office;
(12) To the Internal Revenue Service and appropriate State and
local taxing authorities;
(13) To vendors, carriers, or other appropriate third parties by
the FDIC Office of Inspector General for the purpose of verification,
confirmation, or substantiation during the performance of audits or
investigations; and
(14) To the Department of the Treasury, federal debt collection
centers, other appropriate federal agencies, and private collection
contractors or other third parties authorized by law, for the purpose
of collecting or assisting in the collection of delinquent debts owed
to the FDIC. Disclosure of information contained in these records will
be limited to the individual's name, Social Security number, and other
information necessary to establish the identity of the individual, and
the existence, validity, amount, status and history of the debt.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Pursuant to 5 U.S.C. 552a(b)(12), disclosures may be made from this
system to consumer reporting agencies as defined in the Fair Credit
Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act
of 1966 (31 U.S.C. 3701(a)(3)).
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media and in paper format within
individual file folders.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Electronic media are indexed and retrievable by social security
number or specialized identifying number; paper format records are
generally indexed and retrieved by name.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Financial management records are maintained seven years. Records
relating to banking transaction authorization forms, garnishments,
attachments and wage assignments are maintained three years after
termination. Disposal is by shredding or other appropriate disposal
systems. Summary Corporate accounting records are considered permanent
and do not contain personal information.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL 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.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or
[[Page 35203]]
email [email protected]. Requests must specify the information being
contested, the reasons for contesting it, and the proposed amendment to
such information in accordance with FDIC regulations at 12 CFR part
310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Insured Financial Institution Liquidation Records, FDIC-30-64-0013.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Division of Resolutions and Receiverships, FDIC, 550 17th Street
NW, Washington, DC 20429, and Field Operations Branch, Division of
Resolutions and Receiverships, FDIC, 1601 Bryan Street, Dallas, Texas
7520. Duplicate systems may exist, in whole or in part, at secure sites
and on secure servers maintained by third-party service providers for
the FDIC.
SYSTEM MANAGER(S):
Division of Resolutions and Receiverships, FDIC, 550 17th Street
NW, Washington, DC 20429; and Deputy Director, Field Operations Branch,
FDIC, 1601 Bryan Street, Dallas, Texas 75201.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Sections 9, 11, and 13 of the Federal Deposit Insurance Act (12
U.S.C. 1819, 1821, and 1823) and applicable state laws governing the
liquidation of assets and winding-up of the affairs of financial
institutions.
PURPOSE(S) OF THE SYSTEM:
The records support the receivership, conservatorship, and other
resolution functions of the FDIC authorized by applicable Federal and
state statutes. The records are maintained to: (a) Identify and manage
loan obligations and assets acquired from failed FDIC-insured financial
institutions for which the FDIC was appointed receiver or conservator,
or from FDIC-insured financial institutions that were provided
assistance by the FDIC; (b) identify, manage and discharge the
obligations to creditors, obligees and other claimants of FDIC-insured
financial institutions for which the FDIC was appointed receiver or
conservator, or of FDIC-insured financial institutions that were
provided assistance by the FDIC; and (c) support resolution planning,
administration, and research in accordance with statutory mandates.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who were obligors, obligees, or subject to claims of
FDIC-insured financial institutions for which the FDIC was appointed
receiver or conservator of FDIC-insured financial institutions that
were provided assistance by the FDIC and the FDIC is acting as receiver
or conservator of certain of the financial institution's assets. Note:
Only records reflecting personal information are subject to the Privacy
Act. This system also contains records concerning failed financial
institution receiverships, corporations, other business entities, and
organizations whose records are not subject to the Privacy Act.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system contains the individual's files held by the closed or
assisted financial institution, including loan or contractual
agreements, related documents, and correspondence. The system also
contains FDIC asset files, including judgments obtained, restitution
orders, and loan deficiencies arising from the liquidation of the
obligor's loan asset(s) and associated collateral, if any; information
relating to the obligor's financial condition such as financial
statements and income tax returns; asset or collateral verifications or
searches; appraisals; and potential sources of repayment. FDIC asset
files also include intra- or inter-agency memoranda, as well as notes,
correspondence, and other documents relating to the liquidation of the
loan obligation or asset. FDIC receivership claim files may include all
information related to claims filed with the receivership estate by a
failed financial institution's landlords, creditors, service providers
or other obligees or claimants. Note: Records held by the FDIC as
receiver are a part of this system only to the extent that the state
law governing the receivership is not inconsistent or does not
otherwise establish specific requirements.
RECORD SOURCE CATEGORIES:
Information is obtained from the individual on whom the record is
maintained; appraisers retained by the originating financial
institution or the FDIC; investigative and/or research companies;
credit bureaus and/or services; loan servicers; court records;
references named by the individual; attorneys or accountants retained
by the originating financial institution or the FDIC; participants in
the obligation(s) of the individual; officers and employees of the
financial institution; congressional offices that may initiate an
inquiry; and other parties providing services to the FDIC in support of
the resolution functions of the FDIC.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USE:
In addition to those disclosures generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a portion of the records or
information contained in this system may be disclosed outside the FDIC
as a routine use as follows:
(1) To appropriate Federal, State, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to
[[Page 35204]]
such agencies, entities, and persons is reasonably necessary to assist
in connection with the FDIC's efforts to respond to the suspected or
confirmed breach or to prevent, minimize, or remedy such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(9) To contractors or entities performing services for the FDIC in
connection with the liquidation of an individual's obligation(s),
including judgments and loan deficiencies or in connection with the
fulfillment of a claim filed with the FDIC. Third party contractors
include, but are not limited to, asset marketing contractors; loan
servicers; appraisers; environmental contractors; attorneys retained by
the FDIC; collection agencies; auditing or accounting firms retained to
assist in an audit or investigation of the FDIC's resolution
activities; grantees, volunteers, and others performing or working on a
contract, service, grant, cooperative agreement, or project for the
FDIC;
(10) To officials of a labor organization when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting working
conditions;
(11) To prospective purchaser(s) of the individual's obligation(s),
including judgments and loan deficiencies, for the purpose of informing
the prospective purchaser(s) about the nature and quality of the loan
obligation(s) to be purchased;
(12) To Federal or State agencies, such as the Internal Revenue
Service or State taxation authorities, in the performance of their
governmental duties, such as obtaining information regarding income,
including the reporting of income resulting from a compromise or write-
off of a loan obligation;
(13) To participants in the loan obligation in order to fulfill any
contractual or incidental responsibilities in connection with the loan
participation agreement;
(14) To the Department of the Treasury, federal debt collection
centers, other appropriate federal agencies, and private collection
contractors or other third parties authorized by law, for the purpose
of collecting or assisting in the collection of delinquent debts owed
to the FDIC. Disclosure of information contained in these records will
be limited to the individual's name, Social Security number, and other
information necessary to establish the identity of the individual, and
the existence, validity, amount, status and history of the debt.
(15) To Federal or State agencies or to financial institutions
where information is relevant to an application or request by the
individual for a loan, grant, financial benefit, or other entitlement;
(16) To Federal or State examiners for the purposes of examining
borrowing relationships in operating financial institutions that may be
related to an obligation of an individual covered by this system; and
(17) To the individual, the individual's counsel or other
representatives, insurance carrier(s) or underwriters of bankers'
blanket bonds or other financial institution bonds in conjunction with
claims made by the FDIC or litigation instituted by the FDIC or others
on behalf of the FDIC against former officers, directors, accountants,
lawyers, consultants, appraisers, or underwriters of bankers' blanket
bonds or other financial institution bonds.
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 STORAGE OF RECORDS:
Records are stored in electronic media and in paper format within
individual file folders.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are indexed by financial institution number, name of failed
or assisted insured institution, name of individual, social security
number, and loan number.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Insured Financial Institution Liquidation and Unclaimed Deposit
Account Records are maintained ten years after termination of the
receivership or as established by state or Federal law or court order,
if longer. Disposal is by shredding or other appropriate disposal
methods.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Electronic records are password-protected and accessible only by
authorized personnel. Paper records are maintained in lockable metal
file cabinets and/or in secured vaults or warehouses accessible only to
authorized personnel.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
[[Page 35205]]
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Personnel Benefits and Enrollment Records, FDIC-30-64-0014.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Division of Administration, FDIC, 550 17th Street NW, Washington,
DC 20429. For administrative purposes, duplicate systems may exist
within the FDIC at the duty station of each employee. (See
www.fdic.gov/about/contact/directory or Appendix A for the location of
FDIC Regional Offices). The FDIC also has an interagency agreement with
the U.S. Department of Agriculture, National Finance Center in New
Orleans, Louisiana, to provide and maintain payroll, personnel, and
related services and systems involving FDIC employees. The FDIC also
has agreements with T. Rowe Price, Benefit Allocation Systems, and
other benefit plan contractors to provide employee benefits and related
administrative services.
SYSTEM MANAGER(S):
Deputy Director, Human Resources Branch, FDIC Division of
Administration, 550 17th Street NW, Washington, DC 20429.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819) and
Executive Order 9397.
PURPOSE(S) OF THE SYSTEM:
The records are collected, maintained and used to support the
administration and management of FDIC personnel benefits programs.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
To the extent not covered by any other system, this system covers
current and former FDIC employees and their dependents who are enrolled
in FDIC-sponsored, health, life, and other insurance or benefit
programs.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system contains general personnel and enrollment information
for FDIC-sponsored flexible spending account (FSA) plans and insurance
plans (life, dental, vision, or long-term disability). This may include
information such as an individual's name, earnings, number and name of
dependents, gender, date of birth, home address, social security
number, employee locator information (including email and office
addresses), claims for FSA reimbursements, and related correspondence.
RECORD SOURCE CATEGORIES:
The sources of records in this category include the individuals to
whom the records pertain and information retrieved from official FDIC
records in the systems noted in System Location.
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(9) To officials of a labor organization when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting working
conditions;
(10) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project;
(11) To the Department of Agriculture, National Finance Center to
provide personnel, payroll, and related services and systems involving
FDIC personnel;
(12) To the Internal Revenue Service and appropriate State and
local taxing authorities;
(13) To appropriate Federal agencies to effect salary or
administrative offsets, or for other purposes connected with the
collection of debts owed to the United States;
(14) To the Office of Child Support Enforcement, Administration for
Children and Families, Department of Health and Human Services for the
purpose of locating individuals to establish paternity, establish and
modify orders of child support enforcement actions as required by the
Personal Responsibility and Work Opportunity Reconciliation Act, the
Federal Parent Locator System and the Federal Tax Offset System;
[[Page 35206]]
(15) To the Office of Child Support Enforcement for release to the
Social Security Administration for verifying social security numbers in
connection with the operation of the Federal Parent Locator System by
the Office of Child Support Enforcement;
(16) To the Office of Child Support Enforcement for release to the
Department of Treasury for purposes of administering the Earned Income
Tax Credit Program and verifying a claim with respect to employment in
a tax return;
(17) To Benefit Allocation Systems, T. Rowe Price, and other
benefit providers, carriers, vendors, contractors, and agents to
process claims and provide related administrative services involving
FDIC personnel.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
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 STORAGE OF RECORDS:
Records are stored in electronic media and in paper format within
individual file folders.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are indexed and retrieved by the name, social security
number, or system-specific assigned number of the employee.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained ten years after employee separation.
Disposal is by shredding or other appropriate disposal methods.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL 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.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Personnel Records, FDIC-30-64-0015.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Division of Administration, FDIC, 550 17th Street NW, Washington,
DC 20429, and FDIC Office of Inspector General, 3501 Fairfax Drive,
Arlington, VA 22226. For administrative purposes, duplicate systems may
exist within the FDIC at the duty station of each employee. (See
www.fdic.gov/about/contact/directory or Appendix A for the location of
FDIC Regional Offices.) The FDIC also has an interagency agreement with
the U.S. Department of Agriculture, National Finance Center in New
Orleans, Louisiana, to provide and maintain payroll, personnel, and
related services and systems involving FDIC employees.
SYSTEM MANAGER(S):
Deputy Director, Human Resources Branch, FDIC Division of
Administration, 550 17th Street NW, Washington, DC 20429; Deputy
Assistant Inspector General for Management, Office of Inspector
General, FDIC, 3501 Fairfax Drive, Arlington, VA 22226.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819),
Executive Order 9397; and Section 8C(b) of the Inspector General Act,
as amended (5 U.S.C. App.).
PURPOSE(S) OF THE SYSTEM:
The records are collected, maintained and used to support the
administration and management of the FDIC personnel and benefits
programs.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
To the extent not covered by any other system, this system covers
current and former FDIC or OIG employees, contractors, and applicants
for employment.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system contains a variety of records relating to personnel
actions and determinations made about individuals while employed or
seeking employment. These records may contain information about an
individual relating to name, birth date, Social Security Number (SSN),
personal telephone numbers and addresses, employment applications,
background, identity verification and credentials, duty station
telephone numbers and addresses, compensation, performance, separation,
Internal Revenue Service (IRS) or court-ordered levies, emergency
contacts, and related records and correspondence. These records may
also contain Equal Employment Opportunity (EEO) group information about
FDIC employees, such as race, national origin, sex and disability
information. Note: Records maintained by the FDIC in the official
personnel file are described in the government-wide Privacy Act System
Notice known as OPM/GOVT-1 and other government-wide system notices
published by the Office of Personnel Management, and are not included
within this system.
RECORD SOURCE CATEGORIES:
The sources of records in this category include the individuals to
whom the records pertain and information retrieved from official FDIC
records.
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
[[Page 35207]]
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(9) To officials of a labor organization when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting working
conditions;
(10) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project;
(11) To the Department of Agriculture, National Finance Center to
provide personnel, payroll, and related services and systems involving
FDIC personnel;
(12) To the Internal Revenue Service and appropriate State and
local taxing authorities;
(13) To appropriate Federal agencies to effect salary or
administrative offsets, or for other purposes connected with the
collection of debts owed to the United States;
(14) To the Office of Child Support Enforcement, Administration for
Children and Families, Department of Health and Human Services for the
purpose of locating individuals to establish paternity, establish and
modify orders of child support enforcement actions as required by the
Personal Responsibility and Work Opportunity Reconciliation Act, the
Federal Parent Locator System and the Federal Tax Offset System;
(15) To the Office of Child Support Enforcement for release to the
Social Security Administration for verifying social security numbers in
connection with the operation of the Federal Parent Locator System by
the Office of Child Support Enforcement;
(16) To the Office of Child Support Enforcement for release to the
Department of Treasury for purposes of administering the Earned Income
Tax Credit Program and verifying a claim with respect to employment in
a tax return.
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 STORAGE OF RECORDS:
Records are stored in electronic media and in paper format within
individual file folders.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are indexed and retrieved by individual name, social
security number, or other unique identifier.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Official personnel records are maintained sixty-five years after
employee separation from the Federal Service. Other personnel records
include employment applications, identity verification, performance,
court-ordered levies, correspondence, emergency contacts, etc. are kept
until superseded up to six months after the employee separates or
transfers from the FDIC. Disposal is by shredding or other appropriate
disposal methods.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Electronic records are password-protected and accessible only by
authorized personnel using PIV cards. Paper records are maintained in
lockable metal file cabinets in a locked room accessible only to
authorized personnel.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email
[[Page 35208]]
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Professional Qualification Records for Municipal Securities
Dealers, Municipal Securities Representatives, and U.S. Government
Securities Brokers/Dealers, FDIC-30-64-0016.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Division of Risk Management Supervision, Risk Management Policy
Branch, FDIC, 550 17th Street NW, Washington, DC 20429. Duplicate
systems may exist, in whole or in part, at secure sites and on secure
servers maintained by third-party service providers for the FDIC.
SYSTEM MANAGER(S):
Senior Examination Specialist--Trust, Risk Management Policy
Branch, Division of Risk Management Supervision, FDIC, 550 17th Street
NW, Washington, DC 20429.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Sections 15B(c), 15C, and 23 of the Securities Exchange Act of 1934
(15 U.S.C. 78o-4, 78o-5, and 78q and 78w); and Section 9 of the Federal
Deposit Insurance Act (12 U.S.C. 1819).
PURPOSE(S) OF THE SYSTEM:
The records are maintained to comply with the registration
requirements of municipal securities dealers, municipal securities
representatives, and U.S. Government securities brokers or dealers and
associated persons contained in the Securities Exchange Act of 1934 and
to support the FDIC's regulatory and supervisory functions.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(1) Persons who are or seek to be associated with municipal
securities brokers or municipal securities dealers which are FDIC-
insured, state-chartered financial institutions (including insured
state-licensed branches of foreign financial institutions), not members
of the Federal Reserve System, or are subsidiaries, departments, or
divisions of such financial institutions; and
(2) Persons who are or seek to be persons associated with U.S.
Government securities dealers or brokers which are FDIC-insured state-
chartered financial institutions, other than members of the Federal
Reserve System.
CATEGORIES OF RECORDS IN THE SYSTEM:
The records contain identifying information, detailed educational
and employment histories, examination information, disciplinary
information, if any, and information concerning the termination of
employment of individuals covered by the system. Identifying
information includes name, address, date and place of birth, and may
include social security number.
RECORD SOURCE CATEGORIES:
Individuals on whom the records are maintained, municipal
securities dealers and U.S. Government securities dealers and brokers
(as such dealers are described in ``Categories of Individuals Covered
by the System'' above), and Federal, State, local, and foreign
governmental authorities and self-regulatory organizations or agencies
which regulate the securities industry.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USE:
In addition to those disclosures generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a portion of the records or
information contained in this system may be disclosed outside the FDIC
as a routine use as follows:
(1) To appropriate Federal, State, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(9) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project;
(10) To officials of a labor organization when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting working
conditions;
(11) To the appropriate Federal, State, local, or foreign agency or
authority or to the appropriate self-regulatory organization, as
defined in section 3(a)(26) of the Securities Exchange Act of 1934 (15
U.S.C. 78c (a)(26)), to the extent disclosure is determined to be
[[Page 35209]]
necessary and pertinent for investigating or prosecuting a violation of
or for enforcing or implementing a statute, rule, regulation, or order,
when the information by itself or together with additional information
indicates a violation or potential violation of law, whether civil,
criminal, or regulatory in nature, and whether arising by general
statute or particular program statute, or regulation, rule or order
issued pursuant thereto;
(12) To assist in any proceeding in which the Federal securities or
banking laws are in issue or a proceeding involving the propriety of a
disclosure of information contained in this system, in which the FDIC
or one of its past or present employees is a party, to the extent that
the information is relevant to the proceeding;
(13) To a Federal, State, local, or foreign governmental authority
or a self-regulatory organization if necessary in order to obtain
information relevant to an FDIC inquiry concerning a person who is or
seeks to be associated with a municipal securities dealer as a
municipal securities principal or representative or a U.S. Government
securities broker or a U.S. Government securities dealer;
(14) To a Federal, State, local, or foreign governmental authority
or a self-regulatory organization in connection with the issuance of a
license or other benefit to the extent that the information is relevant
and necessary; and
(15) To a registered dealer, registered broker, registered
municipal securities dealer, U.S. Government securities dealer, U.S.
Government securities broker, or an insured financial institution that
is a past or present employer of an individual that is the subject of a
record, or to which such individual has applied for employment, for
purposes of identity verification or for purposes of investigating the
qualifications of the subject individual.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media and in paper format within
individual file folders.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Indexed by name and dealer registration number or FDIC financial
institution certificate number.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained ten years from the date of submission.
Disposal is by shredding or other appropriate disposal methods.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL 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.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Employee Medical and Health Assessment Records, FDIC-30-64-0017.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Health Unit, Corporate Services Branch, Division of Administration,
FDIC, located at the following addresses: 550 17th Street NW,
Washington, DC 20429; 3501 Fairfax Drive, Arlington, VA 22226; 1310
Courthouse Road, Arlington VA 22226; and Health Units located in FDIC
Regional Offices; and FDIC Office of Inspector General, 3501 Fairfax
Drive, Arlington, VA 22226. (See www.fdic.gov/about/contact/directory
or Appendix A for the location of FDIC Regional Offices.)
SYSTEM MANAGER(S):
Health, Safety and Environmental Program Manager, Corporate
Services Branch, Division of Administration, FDIC, 3501 Fairfax Drive,
Arlington, VA 22226; Deputy Assistant Inspector General for Management,
Office of Inspector General, FDIC, 3501 Fairfax Drive, Arlington, VA
22226.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819);
and Sections 4(b), 6(e), and 8C(b) of the Inspector General Act, as
amended (5 U.S.C. App.).
PURPOSE(S) OF THE SYSTEM:
The records are collected and maintained to identify potential
health issues and concerns of an individual, to identify and collect
information with respect to claims for injury or illness while in the
performance of duty, to evaluate and diagnose medical conditions
reported by an individual to the FDIC Health Unit, and to identify
necessary contacts in the event of a medical emergency involving the
covered individual. The records collected and maintained by the Office
of Inspector General are used to determine compliance with Office of
Inspector General policies.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
All current and former FDIC and OIG employees, and other
individuals who seek information, treatment, medical accommodations,
participate in health screening programs administered by the FDIC, or
file claims seeking benefits under the Federal Employees' Compensation
Act.
CATEGORIES OF RECORDS IN THE SYSTEM:
Medical records of the employee, including name, age, height,
weight, history of certain medical conditions, health screening
records; dates of visits to the FDIC Health Unit, diagnoses, and
treatments administered; ergonomic reviews and assessments; the name
and telephone number of the person to contact in the event of a medical
emergency involving the employee; and reports of injury or illness
while in the performance of duty. The system used by the Office of
Inspector General contains the results of physical and other medical
examinations of OIG employees. Note: This system includes only records
maintained by the FDIC.
[[Page 35210]]
Associated records, if any, are described and covered by the Office of
Personnel Management government-wide system of records OPM/GOVT-10
(Employee Medical File System Records) or the Department of Labor
government-wide system of records DOL/GOVT-1 (Office of Workers'
Compensation Programs, Federal Employees' Compensation Act File).
RECORD SOURCE CATEGORIES:
The records are compiled during the course of a visit to the Health
Unit for treatment, participation in a health screening program, in the
performance of accident/incident investigations, or if the individual
requests an ergonomic assessment or health or medical accommodation.
OIG employees also provide the results of physical and other medical
examinations required for compliance with Office of Inspector General
policies.
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(9) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project;
(10) To officials of a labor organization when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting working
conditions;
(11) To the appropriate Federal, State or local agency when
necessary to adjudicate a claim (filed by or on behalf of the
individual) under the Federal Employees Compensation Act, 5 U.S.C. 8101
et seq., or a retirement, insurance or health benefit program;
(12) To a Federal, State, or local agency to the extent necessary
to comply with laws governing reporting of communicable disease;
(13) To health or life insurance carriers contracting with the FDIC
to provide life insurance or to provide health benefits plan, such
information necessary to verify eligibility for payment of a claim for
life or health benefits;
(14) To a Health Unit or occupational safety and health
contractors, including contract nurses, industrial hygienists, and
others retained for the purpose of performing any function associated
with the operation of the Health Unit; and
(15) To the person designated on the appropriate form as the
individual to contact in the event of a medical emergency of the
employee.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media and in paper format within
individual file folders.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Electronic media are accessible by unique identifier or name. File
folders are indexed and retrieved by name of individual.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained three years after cut-off of inactive files.
Disposal is by shredding or other appropriate disposal methods.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL 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.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested,
[[Page 35211]]
the reasons for contesting it, and the proposed amendment to such
information in accordance with FDIC regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Grievance Records, FDIC-30-64-0018.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Human Resources Branch, Division of Administration, FDIC, 3501
Fairfax Drive, Arlington, VA 22226; and FDIC Office of Inspector
General, 3501 Fairfax Drive, Arlington, VA 22226. Records at the
regional level generated through grievance procedures negotiated with
recognized labor organizations are located in the FDIC Regional Office
where originated. (See www.fdic.gov/about/contact/directory or Appendix
A for the location of FDIC Regional Offices.) For non-headquarters
employees, duplicate copies may be maintained by the Human Resources
Branch, Division of Administration, Arlington, VA for the purpose of
coordinating grievance and arbitration proceedings.
SYSTEM MANAGER(S):
Deputy Director of Personnel, Human Resources Branch, Division of
Administration, FDIC, 3501 Fairfax Drive, Arlington, VA 22226; Deputy
Assistant Inspector General for Management, Office of Inspector
General, FDIC, 3501 Fairfax Drive, Arlington, VA 22226. The appropriate
FDIC Regional Director for records maintained in FDIC Regional Offices.
(See www.fdic.gov/about/contact/directory or Appendix A for the
location of FDIC Regional Offices.)
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819);
the Inspector General Act, as amended (5 U.S.C. App.); 5 U.S.C. 1302,
3301, 7121; 5 CFR part 771.
PURPOSE(S) OF THE SYSTEM
The information contained in this system is used to make
determinations and document decisions made on filed grievances and
settle matters of dissatisfaction or concern of covered individuals.
Information from this system may be used for preparing statistical
summary or management reports.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Current or former FDIC or OIG employees who have submitted
grievances in accordance with part 771 of the United States Office of
Personnel Management's regulations (5 CFR part 771) or a negotiated
grievance procedure.
CATEGORIES OF RECORDS IN THE SYSTEM:
The system contains records relating to grievances filed by FDIC
employees under Part 771 of the United States Office of Personnel
Management's regulations, or under 5 U.S.C. 7121. Case files contain
documents related to the grievance including statements of witnesses,
reports of interviews and hearings, examiner's findings and
recommendations, a copy of the final decision, and related
correspondence and exhibits. This system includes files and records of
internal grievance procedures that the FDIC may establish through
negotiations with recognized labor organizations. The system used by
the Office of Inspector General contains records related to grievances
filed by OIG employees.
RECORD SOURCE CATEGORIES:
Information in this system is provided: (1) By the individual on
whom the record is maintained; (2) by testimony of witnesses; (3) by
agency officials; and (4) from related correspondence from
organizations or persons.
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
[[Page 35212]]
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(9) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project;
(10) To officials of a labor organization when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting working
conditions; and
(11) To any source during the course of an investigation only such
information as determined to be necessary and pertinent to process a
grievance, to the extent necessary to identify the individual, inform
the source of the purpose(s) of the request and identify the type of
information requested.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media and in paper format within
individual file folders.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Electronic media are accessible by unique identifier or name. File
folders are indexed and retrieved by name of individual.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained until they become inactive, at which time
they will be retired or destroyed in accordance with FDIC Records
Retention Schedules and the National Archives and Records
Administration. Disposal is by shredding or other appropriate disposal
methods.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL 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.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Potential Bidders List, FDIC-30-64-0019.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Division of Resolutions and Receiverships, FDIC, 550 17th Street
NW, Washington, DC 20429; and Field Operations Branch, Division of
Resolutions and Receiverships, FDIC, 1601 Bryan Street, Dallas, Texas
75201. Duplicate systems may exist, in whole or in part, at secure
sites and on secure servers maintained by third-party service providers
for the FDIC.
SYSTEM MANAGER(S):
Director, Division of Resolutions and Receiverships, FDIC, 550 17th
Street NW, Washington, DC 20429.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Sections 9, 11 and 13 of the Federal Deposit Insurance Act (12
U.S.C. 1819, 1821 and 1823).
PURPOSE(S) OF THE SYSTEM:
The system collects, identifies and maintains information about
potential purchasers of assets (primarily loans and owned real estate)
from the FDIC. The information is utilized by the FDIC in the marketing
of assets, to identify qualified potential purchasers and to solicit
bids for assets. The information in this system is used to support the
FDIC's liquidation/receivership functions.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have purchased or submitted written notice of an
interest in purchasing loans, owned real estate, securities, or other
assets from the FDIC.
CATEGORIES OF RECORDS IN THE SYSTEM:
Contains the individual's name, address, telephone number and
electronic mail address, if available; information as to the kind or
category and general geographic location of loans or owned real estate
that the individual may be interested in purchasing; and information
relating to whether any bids have been submitted on prior sales.
RECORD SOURCE CATEGORIES:
Information is obtained from the individual about whom the record
is maintained.
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects
[[Page 35213]]
or has confirmed that there has been a breach of the system of records;
(b) the FDIC has determined that as a result of the suspected or
confirmed breach there is a risk of harm to individuals, the FDIC
(including its information systems, programs, and operations), the
Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(9) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project;
(10) To officials of a labor organization when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting working
conditions; and
(11) To other Federal or State agencies and to contractors to
assist in the marketing and sale of loans, real estate, or other assets
held by the FDIC.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media and in paper format within
individual file folders.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Electronic media are accessible by unique identifier or name. File
folders are indexed and retrieved by name of individual.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained until they become inactive, at which time
they will be retired or destroyed in accordance with FDIC Records
Retention Schedules and the National Archives and Records
Administration. Disposal is by shredding or other appropriate disposal
methods.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL 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.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Telephone Call Detail Records, FDIC-30-64-0020.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Division of Information Technology, FDIC, 3501 Fairfax Drive,
Arlington, VA 22226.
SYSTEM MANAGER(S):
Assistant Director, Operations Section, Infrastructure Services
Branch, Division of Information Technology, FDIC, 3501 Fairfax Drive,
Arlington, VA 22226.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).
PURPOSE(S) OF THE SYSTEM:
The records in this system are maintained to identify and make a
record of all telephone calls placed to or from FDIC telephones and
enable the FDIC to analyze call detail information for verifying call
usage; to determine responsibility for placement of specific long
distance calls; and for detecting possible abuse of the FDIC-provided
long distance telephone network.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals assigned telephone numbers by the FDIC, including
current and former FDIC employees and contractor personnel, who make
local and long distance telephone calls and individuals who receive
telephone calls placed or charged to FDIC telephones.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records, including telephone number, location, dates and duration
of telephone calls relating to use of FDIC telephones to place or
receive long distance and local calls, and records indicating
assignment of telephone numbers to individuals covered by the system.
RECORD SOURCE CATEGORIES:
Telephone assignment records and call detail listings.
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
[[Page 35214]]
portion of the records or information contained in this system may be
disclosed outside the FDIC as a routine use as follows:
(1) To appropriate Federal, State, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(9) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project;
(10) To officials of a labor organization when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting working
conditions;
(11) To current and former FDIC employees and other individuals
currently or formerly provided telephone services by the FDIC to
determine their individual responsibility for telephone calls;
(12) To a telecommunications company providing telecommunications
support to permit servicing the account; and
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Electronic media are accessible by unique identifier or name.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained three years from the date created or until
the close of the fiscal year in which the records are audited. Disposal
is by shredding or other appropriate disposal methods
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Electronic records are password-protected and accessible only by
authorized personnel.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Fitness Center Records, FDIC-30-64-0021.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Fitness Centers, Corporate Services Branch, Division of
Administration, FDIC, 3501 Fairfax Drive, Arlington, VA 22226, and 550
17th Street NW, Washington, DC 20429.
SYSTEM MANAGER(S):
Health, Safety and Environmental Program Manager, Acquisition and
Corporate Services Branch, Division of Administration, FDIC, 3501
Fairfax Drive, Arlington, VA 22226.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).
PURPOSE(S) OF THE SYSTEM:
The records are collected and maintained to control access to the
fitness center; to enable the Fitness Centers' contractor to identify
any potential health issues or concerns and the fitness level of an
individual; and to identify necessary contacts in the event of a
medical emergency while the
[[Page 35215]]
individual is participating in a fitness activity.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
FDIC employees who apply for membership and participate in the
Fitness Centers.
CATEGORIES OF RECORDS IN THE SYSTEM:
Contains the individual's name, gender, age; fitness assessment
results; identification of certain medical conditions; and the name and
phone number of the individual's personal physician and emergency
contact.
RECORD SOURCE CATEGORIES:
Information is principally obtained from the individual who has
applied for membership and Fitness Center personnel. Some information
may be provided by the individual's personal physician.
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(9) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project;
(10) To officials of a labor organization when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting working
conditions;
(11) To the individuals listed as emergency contacts or the
individual's personal physician, in the event of a medical emergency;
and
(12) To a Health Unit or occupational safety and health
contractors, including contract nurses, industrial hygienists, and
others retained for the purpose of performing any function associated
with the operation of the Fitness Centers.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in paper format within individual file folders.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
File folders are indexed and retrieved by name of individual.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained until they become inactive, at which time
they will be retired or destroyed in accordance with FDIC Records
Retention Schedules and the National Archives and Records
Administration. Disposal is by shredding or other appropriate disposal
methods.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Paper records are maintained in lockable metal file cabinets
accessible only to authorized personnel.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street, NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
80 FR 66981 (October 30, 2015).
[[Page 35216]]
SYSTEM NAME AND NUMBER:
Freedom of Information Act and Privacy Act Request Records, FDIC-
30-64-0022.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATIONS:
Legal Division, FOIA & Privacy Act Group, FDIC, 550 17th Street NW,
Washington, DC 20429.
SYSTEM MANAGER(S):
Legal Division, FOIA & Privacy Act Group, FDIC, 550 17th Street NW,
Washington, DC 20429.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819);
Freedom of Information Act (5 U.S.C. 552), the Privacy Act of 1974 (5
U.S.C 552a), 12 CFR parts 309 and 310.
PURPOSE(S) OF THE SYSTEM:
The records are collected and maintained to process requests made
under the provisions of the FOIA and Privacy Act and to assist the FDIC
in carrying out any other responsibilities relating to the FOIA and
Privacy Act.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who submit requests and administrative appeals pursuant
to the provisions of the Freedom of Information Act (FOIA) or the
Privacy Act; individuals whose requests, appeals or other records have
been referred to the FDIC by other agencies; attorneys or other persons
authorized to represent individuals submitting requests and appeals;
individuals who are the subjects of such requests; and FDIC personnel
assigned to process such requests or appeals.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records in the system may contain requesters' and their attorneys'
or representatives' names, addresses, email addresses, telephone
numbers; online identity verification information (username and
password); and any other information voluntarily submitted, such as an
individual's social security number; tracking numbers; correspondence
with the requester or others representing the requester; internal FDIC
correspondence and memoranda to or from other agencies having a
substantial interest in the determination of the request; responses to
the request and appeals; and copies of responsive records. These
records may contain personal information retrieved in response to a
request. Note--FOIA and Privacy Act case records may contain inquiries
and requests regarding any of the FDIC's other systems of records
subject to the FOIA and Privacy Act, and information about individuals
from any of these other systems may become part of this system of
records.
RECORD SOURCE CATEGORIES:
Requesters and persons acting on behalf of requesters, FDIC
Divisions and Offices, other Federal agencies having a substantial
interest in the determination of the request, and employees processing
the requests.
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(7) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project;
(8) To another Federal government agency having a substantial
interest in the determination of the request or for the purpose of
consulting with that agency as to the propriety of access or correction
of the record in order to complete the processing of requests; and
(9) To a third party authorized in writing to receive such
information by the individual about whom the information pertains.
(10) To the National Archives and Records Administration, Office of
Government Information Services (OGIS), to the extent necessary to
fulfill its responsibilities in 5 U.S.C. 552(b), to review
administrative agency policies, procedures and compliance with the
Freedom of Information Act, and to facilitate OGIS' offering of
mediation services to resolve disputes between persons making FOIA
requests and administrative agencies.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are indexed and retrieved by the requester's name or by
unique number assigned to the request. Records sometimes are retrieved
by reference to the name of the requester's firm, if any, or the
subject matter of the request.
[[Page 35217]]
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
FOIA request records are maintained for six years after final
agency determination or after final adjudication by the courts. Privacy
Act request records are maintained in accordance with established
disposition schedules for individual records, or five years after the
date of the disclosure, whichever is later. Disposal is by shredding or
other appropriate disposal methods.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Electronic records are password-protected and accessible only by
authorized personnel.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
The FDIC has claimed exemptions for several of its other systems of
records under 5 U.S.C. 552a (j)(2), (k)(1), (k)(2), and (k)(5) and 12
CFR part 310.13. During the processing of a Freedom of Information Act
or Privacy Act request, exempt records from these other systems of
records may become part of the case record in this system of records.
To the extent that exempt records from other FDIC systems of records
are entered or become part of this system, the FDIC has claimed the
same exemptions, and any such records compiled in this system of
records from any other system of records continues to be subject to any
exemption(s) applicable for the records as they have in the primary
systems of records of which they are a part.
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Affordable Housing Program Records, FDIC-30-64-0023.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Division of Resolutions and Receiverships, FDIC, 550 17th Street
NW, Washington, DC 20429.
SYSTEM MANAGER(S):
Supervisory Resolutions and Receiverships Specialist, Operations
Branch, Division of Resolutions and Receiverships, FDIC, 550 17th
Street NW, Washington, DC 20429. Duplicate systems may exist, in whole
or in part, at secure sites and on secure servers maintained by third-
party service providers for the FDIC.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Sections 9, 11, 13, and 40 of the Federal Deposit Insurance Act (12
U.S.C. 1819, 1821, 1823, 1831q).
PURPOSE(S) OF THE SYSTEM:
The records are collected and maintained to determine and verify
eligibility of individuals to participate in the FDIC Affordable
Housing Program and to monitor compliance by individuals with purchaser
income restrictions. The information in the system supports the FDIC's
liquidation of qualifying residential housing units and the FDIC's goal
to provide home ownership for low-income and moderate-income families.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Purchasers and prospective purchasers of residential properties
offered for sale through the FDIC's Affordable Housing Program. Note:
To be considered a prospective purchaser for purposes of this record
system, the individual must have: (1) Completed and signed an FDIC
``Certification of Income Eligibility;'' and (2) delivered the form to
an authorized representative of the FDIC's Affordable Housing Program.
CATEGORIES OF RECORDS IN THE SYSTEM:
Contains the purchaser's or prospective purchaser's income
qualification form and substantiating documents (such as personal
financial statements, income tax returns, asset or collateral
verifications, appraisals, and sources of income); copies of sales
contracts, deeds, or other recorded instruments; intra-agency forms,
memoranda, or notes related to the property and purchaser's
participation in the FDIC's Affordable Housing Program; correspondence;
and other documents related to the FDIC's Affordable Housing Program.
RECORD SOURCE CATEGORIES:
Information is obtained from the individual seeking to participate
in the FDIC's Affordable Housing Program. Information pertaining to an
individual may, in some cases, be supplemented with reports from credit
bureaus and/or similar credit reporting services.
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the
[[Page 35218]]
FDIC has determined that as a result of the suspected or confirmed
breach there is a risk of harm to individuals, the FDIC (including its
information systems, programs, and operations), the Federal Government,
or national security; the FDIC and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the FDIC's efforts to respond to the suspected or
confirmed breach or to prevent, minimize, or remedy such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(9) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project;
(10) To officials of a labor organization when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting working
conditions; and
(11) To mortgage companies, financial institutions, federal
agencies (such as the Federal Housing Administration, the Housing and
Urban Development Agency, the Farm Service Agency, and the Veterans
Administration), or state and local government housing agencies where
information is determined to be relevant to an application or request
for a loan, grant, financial benefit, or other type of assistance or
entitlement.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media and in paper format within
individual file folders.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Electronic media and paper format are accessible by name of
purchaser or prospective purchaser and by address of the property
purchased.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained seven years after the Memorandum of
Understanding covering the records is superseded or terminated. If the
agreement involves the expenditure of funds, the records will be
maintained seven years after the final payment. Disposal is by
shredding or other appropriate disposal methods.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL 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.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Unclaimed Deposit Account Records, FDIC-30-64-0024.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Division of Resolutions and Receiverships, Field Operations Branch,
FDIC, 1601 Bryan Street, Dallas, Texas 75201. Duplicate systems may
exist, in whole or in part, at secure sites and on secure servers
maintained by third-party service providers for the FDIC.
SYSTEM MANAGER(S):
Assistant Director, Field Operations Branch, Division of
Resolutions and Receiverships, FDIC, 550 17th Street NW, Washington, DC
20429.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Sections 9, 11, and 12 of the Federal Deposit Insurance Act (12
U.S.C. 1819, 1821, and 1822).
PURPOSE(S) OF THE SYSTEM:
The information in this system is used to process inquiries and
claims of individuals with respect to unclaimed insured deposit
accounts of closed insured depository institutions for which the FDIC
was appointed receiver after January 1, 1989, and to assist in
complying with the requirements of the Unclaimed Deposits Amendments
Act.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals identified as deposit account owners of unclaimed
insured deposits of a closed insured depository institution for which
the FDIC was appointed receiver after January 1, 1989.
CATEGORIES OF RECORDS IN THE SYSTEM:
Deposit account records, including signature cards, last known home
address, social security number, name of insured depository
institution, relating to unclaimed insured deposits or insured
transferred deposits from closed insured depository institutions for
which the FDIC was appointed receiver after January 1, 1989.
RECORD SOURCE CATEGORIES:
Information originates from deposit records of closed insured
depository
[[Page 35219]]
institutions and claimants. Records of unclaimed transferred deposits
are provided to the FDIC from assuming depository institutions to which
the FDIC transferred deposits upon closing of the depository
institution.
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(9) To officials of a labor organization when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting working
conditions;
(10) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project; and
(11) To the appropriate State agency accepting custody of unclaimed
insured deposits.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media and in paper format within
individual file folders.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Electronic media and paper format are indexed and retrieved by
depository institution name, depositor name, depositor social security
number, or deposit account number.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records of unclaimed deposits are maintained ten years after the
termination date of the receivership or as established by the state or
Federal law or court order, if longer. Disposal is by shredding or
other appropriate disposal methods.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL 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.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Beneficial Ownership Filings (Securities Exchange Act), FDIC-30-64-
0025.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Division of Risk Management Supervision, FDIC, 550 17th Street NW,
Washington, DC 20429. Duplicate systems may exist, in whole or in part,
at secure sites and on secure servers maintained by third-party service
providers for the FDIC.
[[Page 35220]]
SYSTEM MANAGER(S):
Chief, Accounting & Securities Disclosure Section, Division of Risk
Management Supervision, FDIC, 550 17th Street NW, Washington, DC 20429.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Sections 12(i) and 16(a) of the Securities Exchange Act of 1934
(respectively, 15 U.S.C. 78l(i) and 78p(a)).
PURPOSE(S) OF THE SYSTEM:
In accordance with Section 16(a) of the Securities Exchange Act of
1934, as amended by section 403 of the Sarbanes-Oxley Act of 2002, this
information is being made available to the public on the FDIC's
external internet website in order to facilitate the more efficient
transmission, dissemination, analysis, storage and retrieval of insider
ownership and transaction information in a manner that will benefit
investors, filers and financial institution regulatory agencies.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(1) Any director or officer of an FDIC-insured depository
institution with a class of equity securities registered pursuant to
section 12 of the Securities Exchange Act of 1934, and (2) Any person
who is directly or indirectly the beneficial owner of greater than 10%
of a class of equity securities issued by an FDIC-insured depository
institution that are registered under section 12 of the Securities
Exchange Act of 1934; including any trust, trustee, beneficiary or
settlor required to report pursuant to Securities and Exchange
Commission Rule 16a-8.
CATEGORIES OF RECORDS IN THE SYSTEM:
Reporting persons submit electronically or on paper reports on any
of the following three forms: ``Initial Statement of Beneficial
Ownership of Securities,'' ``Statement of Changes in Beneficial
Ownership of Securities'' and ``Annual Statement of Beneficial
Ownership of Securities.'' Reporting persons are required to use these
forms to disclose ownership and transactional information relative to
their beneficial ownership of securities of FDIC-insured depository
institutions with securities registered under the Securities Exchange
Act of 1934. Under section 403 of the Sarbanes-Oxley Act of 2002, these
forms must be submitted in electronic form and must be made available
to the public on a Federal agency's external internet website. The
forms require disclosure of the name of the financial institution,
relationship of reporting person to the financial institution,
reporting person's name and street address, date of form or amendment,
and filer's signature and date. A description of the securities' terms
and transactional information including transaction date, type of
transaction, amount of securities acquired or disposed, price,
aggregate amount of securities beneficially owned, and form and nature
of beneficial ownership must also be disclosed on the forms.
RECORD SOURCE CATEGORIES:
Information originates from (1) any director or officer of an FDIC-
insured depository institution with a class of equity securities
registered pursuant to section 12 of the Securities Exchange Act of
1934; and (2) any beneficial owner of greater than 10% of an FDIC-
insured depository institution with a class of equity securities
registered under the Securities Exchange Act of 1934, including any
trust, trustee, beneficiary or settlor required to report pursuant to
SEC Rule 16a-8.
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To officials of a labor organization when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting working
conditions;
(9) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(10) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project; and
(11) To the appropriate governmental or self-regulatory
organizations when relevant to the organization's regulatory or
supervisory responsibilities or if the information is relevant to a
known or suspected violation of a law or licensing
[[Page 35221]]
standard within that organization's jurisdiction.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media and in paper format within
individual file folders.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Electronically filed reports are indexed and retrieved by the name
of the reporting party. Paper-filed reports are indexed by the name of
the depository institution issuing the securities being reported, with
sub-indexing by the filer's name.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained for fifteen years from the date of filing.
Disposal is by shredding or other appropriate disposal methods.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL 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.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Transit Subsidy Program Records, FDIC-30-64-0026.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Division of Administration, FDIC, 550 17th Street NW, Washington,
DC 20429 and the FDIC Regional Offices. (See www.fdic.gov/about/contact/directory or Appendix A for the location of FDIC Regional
Offices.) Records for FDIC Headquarters and all Regional Offices are
also housed electronically at the U.S. Department of Transportation,
1200 New Jersey Avenue SE, Washington, DC 20590.
SYSTEM MANAGER(S):
Lead, Transportation Unit, Security and Emergency Preparedness
Section, Corporate Services Branch, Division of Administration, 3501
Fairfax Dr., Arlington, VA 22226.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).
PURPOSE(S) OF THE SYSTEM:
The records are used to administer the FDIC transit subsidy
program.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
To the extent not covered by any other system, this system covers
employees who apply for and receive transit subsidy program benefits.
CATEGORIES OF RECORDS IN THE SYSTEM:
The system contains completed transit subsidy application forms.
The applications include, but are not limited to, the applicant's name,
home address, title, grade, Division, Office, work hours, room and
telephone numbers, commuting schedule, and transit system(s) used.
RECORD SOURCE CATEGORIES:
The sources of records in this category include the individuals to
whom the records pertain and information taken from official FDIC
records.
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or
[[Page 35222]]
suitability investigation, adjudication of liability, or eligibility
for a license, contract, grant, or other benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(9) To officials of a labor organization when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting working
conditions;
(10) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media and in paper format within
individual file folders.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are indexed and retrieved by the name of the transit
subsidy program participant.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained two years after employee separation.
Disposal is by shredding or other appropriate disposal methods.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL 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.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Parking Program Records, FDIC-30-64-0027.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Division of Administration, FDIC, 550 17th Street NW, Washington,
DC 20429 and Regional Offices with FDIC parking facilities. (See
www.fdic.gov/about/contact/directory or Appendix A for the location of
FDIC Regional Offices.)
SYSTEM MANAGER(S):
Lead, Transportation Unit, Security and Emergency Preparedness
Section, Corporate Services Branch, Division of Administration, 3501
Fairfax Dr., Arlington, VA 22226.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).
PURPOSE(S) OF THE SYSTEM:
The records are used to administer the parking program, to allocate
the limited number of parking spaces in the FDIC parking facilities
among employees and visitors, to facilitate the formation of car pools
with employees who have been issued parking permits, and to provide for
the safe use of FDIC facilities.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
To the extent not covered by any other system, this system covers
employees and others who have applied for and/or been issued a parking
permit for the use of FDIC parking facilities; individuals who car-pool
with employees holding such permits; and employees interested in
joining a car pool.
CATEGORIES OF RECORDS IN THE SYSTEM:
The system contains completed parking application forms, car pool
information, disability parking applications, special parking
authorizations, and visitor parking requests. The information includes,
but is not limited to, the applicant's name, home address, title,
grade, make, year and license number of vehicle, Division, Office, work
hours, room and telephone numbers, and arrival/departure times.
RECORD SOURCE CATEGORIES:
The sources of records in this category include the individuals to
whom the records pertain, information retrieved from official FDIC
records, or information from other agency parking records.
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects
[[Page 35223]]
or has confirmed that there has been a breach of the system of records;
(b) the FDIC has determined that as a result of the suspected or
confirmed breach there is a risk of harm to individuals, the FDIC
(including its information systems, programs, and operations), the
Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(9) To officials of a labor organization when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting working
conditions;
(10) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media and in paper format within
individual file folders.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are indexed and retrieved by the name of the permit holder,
employee identification number, or license tag number.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained for four years. Disposal is by shredding or
other appropriate disposal methods.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL 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.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Office of the Chairman Correspondence Records, FDIC-30-64-0028.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
FDIC, Office of Legislative Affairs, 550 17th Street NW,
Washington, DC 20429.
SYSTEM MANAGER(S):
Office of Legislative Affairs, FDIC, 550 17th Street NW,
Washington, DC 20429.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).
PURPOSE(S) OF THE SYSTEM:
This system of records is used to document and respond to
correspondence addressed to the FDIC, Office of the Chairman.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who correspond to, or receive correspondence from, the
Office of the Chairman; and individuals who are the subject of
correspondence to or from the Office of the Chairman.
CATEGORIES OF RECORDS IN THE SYSTEM:
Contains correspondence, memoranda, Email, and other communications
with the Office of the Chairman that may include, without limitation,
name and contact information supplied by the individual as well as
information concerning subject matter, internal office assignments,
processing, and final response or other disposition.
RECORD SOURCE CATEGORIES:
Information maintained in this system is obtained from individuals
who submit correspondence to the FDIC for response, and FDIC personnel.
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of
[[Page 35224]]
presenting evidence, including disclosures to counsel or witnesses in
the course of civil discovery, litigation, or settlement negotiations
or in connection with criminal proceedings, when the FDIC is a party to
the proceeding or has a significant interest in the proceeding, to the
extent that the information is determined to be relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(9) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project;
(10) To an insured depository institution which is the subject of
an inquiry or complaint when necessary to investigate or resolve the
inquiry or complaint; and
(11) To the primary Federal or State financial regulator of an
insured depository institution that is the subject of an inquiry or
complaint.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media and in paper format within
individual file folders.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are indexed and retrieved by name, date, and subject.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records signed by the Chairman regarding a legislative or public
policy issue are maintained for ten years and then offered to the
National Archives and Records Administration and retained permanently.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL 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.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Congressional Correspondence Records, FDIC-30-64-0029.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
FDIC, Office of Legislative Affairs, 550 17th Street NW,
Washington, DC 20429.
SYSTEM MANAGER(S):
Office of Legislative Affairs, FDIC, 550 17th Street NW,
Washington, DC 20429.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).
PURPOSE(S) OF THE SYSTEM:
This system of records is used to document and respond to
constituent and other inquiries forwarded by Members of the U.S.
Congress or Congressional staff.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Current and former Members of the U.S. Congress and Congressional
staff; and individuals whose inquiries relating to FDIC activities are
forwarded by Members of Congress or Congressional staff to the FDIC for
response.
CATEGORIES OF RECORDS IN THE SYSTEM:
Contains correspondence from Members of the U.S. Congress or
Congressional staff making inquiries or transmitting inquiries,
correspondence or documents from constituents that may include, without
limitation, name and contact information as well as information
concerning subject matter, internal office assignments, processing, and
final response or other disposition.
RECORD SOURCE CATEGORIES:
Information maintained in this system is obtained from individuals
who submit correspondence to the FDIC for response, and FDIC personnel.
[[Page 35225]]
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(9) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project;
(10) To an insured depository institution which is the subject of
an inquiry or complaint when necessary to investigate or resolve the
inquiry or complaint;
(11) To the primary Federal or State financial regulator of an
insured depository institution that is the subject of an inquiry or
complaint; and
(12) To authorized third-party sources during the course of the
investigation in order to resolve the inquiry or complaint. Information
that may be disclosed under this routine use is limited to the name of
the inquirer or complainant and the nature of the inquiry or complaint
and such additional information necessary to investigate the inquiry or
complaint.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media and in paper format within
individual file folders.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are indexed and retrieved by name, date, and subject.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained four years after the expiration of the
Member's congressional term of office. Disposal is by shredding or
other appropriate disposal methods.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL 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.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
e[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Legislative Information Tracking System Records, FDIC-30-64-0030.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
FDIC, Office of Legislative Affairs, 550 17th Street NW,
Washington, DC 20429.
SYSTEM MANAGER(S):
Director, Office of Legislative Affairs, FDIC, 550 17th Street NW,
Washington, DC 20429.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).
[[Page 35226]]
PURPOSE(S) OF THE SYSTEM:
This system of records is used to document and respond to inquiries
regarding the FDIC's views on proposed legislation, facilitate
Congressional briefings, and coordinate preparation of FDIC responses
to constituent inquiries.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Current and former Members of the U.S. Congress and Congressional
staff; and individuals who contact, or are contacted by the FDIC Office
of Legislative Affairs.
CATEGORIES OF RECORDS IN THE SYSTEM:
Contains memoranda, email and other communications with the Office
of Legislative Affairs that may include without limitation, name and
contact information supplied by the individual as well as information
related to the inquiry that was developed by FDIC staff.
RECORD SOURCE CATEGORIES:
Information maintained in this system is obtained from individuals
who contact the FDIC for response, and FDIC personnel.
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(9) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project;
(10) To an insured depository institution which is the subject of
an inquiry or complaint when necessary to investigate or resolve the
inquiry or complaint;
(11) To the primary Federal or State financial regulator of an
insured depository institution that is the subject of an inquiry or
complaint; and
(12) To authorized third-party sources during the course of the
investigation in order to resolve the inquiry or complaint. Information
that may be disclosed under this routine use is limited to the name of
the inquirer or complainant and the nature of the inquiry or complaint
and such additional information necessary to investigate the inquiry or
complaint.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are indexed and retrieved by name, date, and subject.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained until they become inactive, at which time
they will be retired or destroyed in accordance with FDIC Records
Retention Schedules and the National Archives and Records
Administration. Disposal is by shredding or other appropriate disposal
methods.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Electronic records are password-protected and accessible only by
authorized personnel.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW,
[[Page 35227]]
Washington, DC 20429, or email [email protected]. Requests must include
full name, address, and verification of identity in accordance with
FDIC regulations at 12 CFR part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Online Ordering Request Records, FDIC-30-64-0031.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
These electronic records are collected in a web-based system
located at a secure site and on secure servers maintained by a
contractor for the FDIC, Division of Administration, 550 17th Street
NW, Washington, DC 20429.
SYSTEM MANAGER(S):
Assistant Director, Library & Public Information Center, Corporate
Services Branch, Division of Administration, FDIC, 550 17th Street NW,
Washington, DC 20429.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).
PURPOSE(S) OF THE SYSTEM:
This system of records is used to organize and process orders for
publications, products, or other materials offered by the FDIC.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who make an online order for publications, products, or
other materials from the FDIC.
CATEGORIES OF RECORDS IN THE SYSTEM:
Contains names, business or organization affiliations, addresses,
phone numbers, fax numbers, email addresses, order history, login
information (username, user ID, and password), fulfillment information
(shipping and delivery instructions), and other contact information
provided by individuals covered by this system.
RECORD SOURCE CATEGORIES:
Information maintained in this system is obtained from individuals
who contact the FDIC, FDIC personnel, and contractors.
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(7) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media at a secure site and on
secure servers maintained by a contractor.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are indexed and retrieved by name, order number,
publication title, and date.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained until they become inactive, at which time
they will be retired or destroyed in accordance with FDIC Records
Retention Schedules and the National Archives and Records
Administration. Disposal is by shredding or other appropriate disposal
methods.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Electronic records are password-protected and accessible only by
authorized personnel.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act
[[Page 35228]]
Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Emergency Notification Records, FDIC-30-64-0033.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Division of Administration, FDIC, 550 17th Street NW, Washington,
DC 20429 or FDIC Regional Offices (See www.fdic.gov/about/contact/directory or Appendix A for the location of FDIC Regional Offices.)
Duplicate systems may exist, in whole or in part, at secure sites and
on secure servers maintained by third-party service providers for the
FDIC.
SYSTEM MANAGER(S):
Associate Director, FDIC Division of Administration, Security and
Emergency Preparedness Section 550 17th Street NW, Washington, DC
20429.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).
PURPOSE(S) OF THE SYSTEM:
The system provides for multiple communication device notification
to registered FDIC personnel during and after local, regional or
national emergency events and security incidents, disseminates time
sensitive information, provide personnel accountability and status
during emergency events, and conduct communication tests. The system
also provides for the receipt of real-time message acknowledgements and
related management reports.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Current FDIC employees, contractors, and other registered users.
CATEGORIES OF RECORDS IN THE SYSTEM:
The system includes individual contact information including name,
personal telephone numbers, personal email addresses, official business
phone number, and official business email address.
RECORD SOURCE CATEGORIES:
The sources of records in this category include the individuals to
whom the records pertain and information taken from official FDIC
records.
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, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project; and
(9) To officials of a labor organization when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting working
conditions.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media at a secure site and on
secure servers maintained by a contractor.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are indexed and retrieved by groups and individual name.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained until the employee or contractor separates
from the FDIC. Disposal is by deleting or other appropriate disposal
methods.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Electronic records are password-protected and accessible only by
authorized personnel.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
[[Page 35229]]
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Office of Inspector General Inquiry Records, FDIC-30-64-0034.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
FDIC Office of Inspector General (OIG), 3501 Fairfax Drive,
Arlington, VA 22226.
SYSTEM MANAGER(S):
FDIC Inspector General, 3501 Fairfax Drive, Arlington, VA 22226.
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(S) OF THE SYSTEM:
This system of records is used to document and respond to
correspondence addressed or directed to the FDIC OIG; to track the
receipt and disposition of correspondence; and to act as a means of
referring allegations of illegality, fraud and abuse to the OIG
investigative function.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals--including, but not limited to, members of the public,
the media, contractors and subcontractors, Congressional sources, and
employees of the FDIC or of other governmental agencies--who
communicate with the Office of Inspector General (OIG) through written
or electronic correspondence or telephonically including the OIG
Hotline. The system also includes individuals who receive
correspondence from OIG and those who are the subject of correspondence
to or from OIG.
CATEGORIES OF RECORDS IN THE SYSTEM:
Contains communications such as correspondence, memoranda, email
records, call records, voicemail, faxes, other electronic or digital
communications, and additional documentation supplied by the source of
the records to include other FDIC, congressional, and other executive
branch sources. Information from the communications may be recorded in
an electronic tracking system. Records provided by the source may
include personally identifiable information including name, addresses,
email addresses, telephone numbers, and any other information
voluntarily submitted such as Social Security Number, as well as
information developed by OIG, such as the date the matter was received
by OIG, the date the matter was closed, and the manner of disposition.
Records that involve law enforcement matters are transferred to the OIG
investigative function, whose applicable system of records is covered
by FDIC-30-64-0010, Investigative Files of the Office of Inspector
General.
RECORD SOURCE CATEGORIES:
Official records of the FDIC; current and former employees of the
FDIC, other government employees, private individuals, vendors,
contractors, subcontractors, witnesses and informants.
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 which has responsibility for
investigating or prosecuting a violation of or for enforcing or
implementing a statute, rule, regulation, or order to assist such
agency or authority in fulfilling these responsibilities when the
record, either by itself or in combination with other information,
indicates a violation or potential violation of law, or contract,
whether civil, criminal, or regulatory in nature, and whether arising
by general statute or particular program statute, or by regulation,
rule, or order issued pursuant thereto;
(2) To a court, magistrate, alternative dispute resolution mediator
or administrative tribunal (collectively referred to as the
adjudicative bodies) in the course of presenting evidence, including
disclosures to counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations or in connection with criminal
proceedings (collectively, the litigative proceedings) when the FDIC or
OIG is a party to the proceeding or has a significant interest in the
proceeding and the information is determined to be relevant and
necessary in order for the adjudicatory bodies, or any of them, to
perform their official functions in connection with the presentation of
evidence relative to the litigative proceedings;
(3) To a congressional office in response to a written inquiry made
by the congressional office at the request of the individual to whom
the records pertain;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To the FDIC's or another Federal agency's legal representative,
including the U.S. Department of Justice or other retained counsel,
when the FDIC, OIG or any employee thereof is a party to litigation or
administrative proceeding or has a significant interest in the
litigation or proceeding to assist those representatives by providing
them with
[[Page 35230]]
information or evidence for use in connection with such litigation or
proceedings;
(7) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(8) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals if needed in the performance of these or other
authorized duties;
(9) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(10) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the OIG, FDIC or Federal Government in order to assist
those entities or individuals in carrying out their obligations under
the related contract, grant, agreement or project;
(11) To a financial institution (whether or not FDIC-insured, but
subject to the FDIC's examination, supervision and/or resolution
authority) which is the subject of an inquiry or complaint when
necessary to investigate or resolve the inquiry or complaint;
(12) To the primary Federal or State financial regulator of a
financial institution (whether or not FDIC-insured, but subject to the
FDIC's examination, supervision and/or resolution authority) that is
the subject of an inquiry or complaint in order to resolve the inquiry
or complaint;
(13) To third-party sources, as authorized by OIG or the FDIC,
during the course of the investigation in order to resolve the inquiry
or complaint. Information that may be disclosed under this routine use
is limited to the name of the inquirer or complainant and the nature of
the inquiry or complaint and such additional information necessary to
investigate the inquiry or complaint;
(14) To the U.S. Office of Personnel Management, Government
Accountability Office, Office of Government Ethics, Merit Systems
Protection Board, Office of Special Counsel, Equal Employment
Opportunity Commission, Department of Justice, Office of Management and
Budget or the Federal Labor Relations Authority of records or portions
thereof determined to be relevant and necessary to carrying out their
authorized functions, including but not limited to a request made in
connection with hiring or retaining an employee, rendering advice
requested by OIG, issuing a security clearance, reporting an
investigation of an employee, reporting an investigation of prohibited
personnel practices, letting a contract or issuing a grant, license, or
other benefit by the requesting agency, but only to the extent that the
information disclosed is necessary and relevant to the requesting
agency's decision on the matter;
(15) To other Federal Offices of Inspector General or other
entities for the purpose of conducting quality assessments or peer
reviews of the OIG, or its investigative components, or for statistical
purposes; and
(16) To a Federal agency responsible for considering suspension or
debarment action where such a record is determined to be necessary and
relevant.
Note: In addition to the foregoing: (1) A record which is contained
in this system and derived from another FDIC system of records may be
disclosed as a routine use as specified in the published notice of the
system of records from which the record is derived; and (2) records
contained in this system that are subsequently transferred to OIG's
investigative function may be disclosed as a routine use as specified
in FDIC-30-64-0010, Investigative Files of the Office of Inspector
General.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
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 STORAGE OF RECORDS:
Records are stored in electronic media and in paper format within
individual file folders.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are indexed and retrieved by name, date received or closed,
and/or subject.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained five years. Disposal is by shredding or
other appropriate disposal methods. For records transferred from this
system to OIG investigative function, the retention period and manner
of destruction will be governed by the applicable investigative-records
retention schedule.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
The electronic system files are accessible only by authorized
personnel on a need-to-know basis. File folders are maintained in
lockable metal file cabinets and lockable offices accessible only by
authorized personnel. Employees authorized to have access to this
system include certain employees of the Inspector General's immediate
office, OIG's Office of General Counsel, the audit and/or investigative
function.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None. Records transferred from this system to the OIG investigative
function are subject to the exemptions claimed under FDIC-30-64-0010,
Investigative Files of the Office of Inspector General.
HISTORY:
80 FR 66981 (October 30, 2015).
SYSTEM NAME AND NUMBER:
Identity, Credential and Access Management Records, FDIC-30-64-
0035.
SECURITY CLASSIFICATION:
Unclassified.
[[Page 35231]]
SYSTEM LOCATION:
The Division of Administration, FDIC, 550 17th Street NW,
Washington, DC 20429, and FDIC Regional or area Offices. (See
www.fdic.gov/about/contact/directory or Appendix A for the location of
FDIC Regional Offices.) Duplicate systems may exist, in whole or in
part, at secure sites and on secure servers maintained by third-party
service providers for the FDIC.
SYSTEM MANAGER(S):
Chief, Security Operations, Security and Emergency Preparedness
Section, Corporate Services Branch, Division of Administration, 3501
Fairfax Dr., Arlington, VA 22226.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819);
Executive Order 9397, as amended; and Homeland Security Presidential
Directive (HSPD) 12, Policy for a Common Identification Standard for
Federal Employees and Contractors.
PURPOSE(S) OF THE SYSTEM:
The primary purpose of the system is to manage the safety and
security of FDIC resources, facilities, information technology systems,
and other Federal government agency facilities and systems, as well as
the occupants of those facilities.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system covers all FDIC employees, contractors, and other
individuals who have applied for, been issued, and/or used a Personal
Identity Verification (PIV) card for access to FDIC or other federal
facilities.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system includes all information submitted during application
for the PIV card and any resulting investigative and adjudicative
documentation required to establish and verify the identity and
background of each individual issued a PIV card. The system includes,
but is not limited to, the applicant's name, social security number,
date and place of birth, hair and eye color, height, weight, ethnicity,
status as Federal or contractor employee, employee ID number, email,
biometric identifiers including fingerprints, digital color photograph,
user access rights, and data from source documents used to positively
identify the applicant, including passport and Form I-9 documents.
Note: This system includes only records maintained by the FDIC.
Associated records are described and covered by GSA's HSPD-12 USAccess
government-wide system of records GSA/GOVT-7.
RECORD SOURCE CATEGORIES:
Information is provided by the individual to whom the record
pertains, those authorized by the subject individuals to furnish
information, and FDIC personnel records. Information regarding entry
and egress from FDIC facilities or access to information technology
systems is obtained from use of the PIV card.
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 the
Privacy Act, 5 U.S.C. 552a(b), all or a portion of the records or
information contained in this system may be disclosed outside the FDIC
as a routine use as follows:
(1) To appropriate Federal, State, local and foreign authorities
responsible for investigating or prosecuting a violation of, or for
enforcing or implementing a statute, rule, regulation, or order issued,
when the information indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto;
(2) To a court, magistrate, or other administrative body in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings, when the FDIC
is a party to the proceeding or has a significant interest in the
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a congressional office in response to an inquiry made by the
congressional office at the request of the individual who is the
subject of the record;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; the FDIC and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the FDIC's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(6) To appropriate Federal, State, and local authorities in
connection with hiring or retaining an individual, conducting a
background security or suitability investigation, adjudication of
liability, or eligibility for a license, contract, grant, or other
benefit;
(7) To appropriate Federal, State, and local authorities, agencies,
arbitrators, and other parties responsible for processing any personnel
actions or conducting administrative hearings or corrective actions or
grievances or appeals, or if needed in the performance of other
authorized duties;
(8) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(9) To officials of a labor organization when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting working
conditions;
(10) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC, the Office of Inspector General, or the Federal
Government for use in carrying out their obligations under such
contract, grant, agreement or project;
(11) To notify another Federal agency when, or verify whether, a
PIV card is no longer valid.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media and in paper format within
individual file folders.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are indexed and retrieved by name, social security number,
other ID number, PIV card serial number, and/or by any other unique
individual identifier.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained five years after employee separation from
the FDIC. PIV cards are destroyed by
[[Page 35232]]
shredding no later than 90 days after deactivation.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Electronic records are password protected and accessible only by
authorized personnel. Paper format records maintained in individual
file folders are stored in lockable file cabinets and/or in secured
vaults or warehouses and are accessible only by authorized personnel.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
[email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email [email protected]. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email [email protected]. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
80 FR 66981 (October 30, 2015).
Federal Deposit Insurance Corporation.
Dated at Washington, DC, on July 15, 2019.
Robert E. Feldman,
Executive Secretary.
[FR Doc. 2019-15280 Filed 7-19-19; 8:45 am]
BILLING CODE 6714-01-P
