Notice: Privacy Act Systems of Records

Federal Register / Vol. 72, No.
208 / Monday, October 29, 2007 / Notices 61131
Affected Public: Insured state FEDERAL DEPOSIT INSURANCE 1974, as amended, the FDIC has
nonmember banks. CORPORATION conducted a review of its Privacy Act
Estimated Number of Respondents: 6. systems of records and has determined
Privacy Act of 1974, as Amended; that it needs to introduce three new
Estimated Time per Response: 4 System of Records systems of records, and to revise twenty-
hours. three existing system of records notices.
AGENCY: Federal Deposit Insurance
Total Annual Burden: 24 hours. Corporation. The FDIC previously published one or
General Description of Collection: more of its existing system of records
ACTION: Notice of new and revised
notices at various times. These
This collection is associated with the systems of records. publications may be viewed at the
FDIC’s Management Official Interlocks
SUMMARY: The Federal Deposit FDIC’s Privacy Act Web page: http://
regulation, 12 CFR Part 348, which www.fdic.gov/about/privacy/.
implements the Depository Institution Insurance Corporation (‘‘FDIC’’)
proposes to add three new systems of The FDIC proposes to revise twenty-
Management Interlocks Act (DIMIA). three existing system of records notices.
records to its collection of systems of
DIMIA generally prohibits bank There are four types of revisions: (1)
records notices published pursuant to
management officials from serving the Privacy Act of 1974. These new Generalized edits to make it easier to
simultaneously with two unaffiliated systems of records are entitled: Office of read and understand through consistent
depository institutions or their holding the Chairman Correspondence Records; style, formatting, and manner of
companies but allows the FDIC to grant Congressional Correspondence Records; presentation; (2) minor, technical
exemptions on request in appropriate and, Legislative Information Tracking amendments necessitated by
circumstances. System Records. The FDIC also organizational changes within the FDIC;
proposes to revise twenty-three existing (3) minor revisions to clarify or more
Request for Comment accurately describe various system
systems of records to update various
Comments are invited on: (a) Whether system elements and to add routine use elements and to insure the use of
language recommended by the consistent language wherever possible;
the collection of information is
President’s Task Force on Identity Theft. and (4) elaboration of the FDIC’s routine
necessary for the proper performance of
We hereby publish this notice for uses for consistency with other FDIC
the FDIC’s functions, including whether notices, and to fulfill new requirements
the information has practical utility; (b) comment on the proposed actions.
DATES: Comments on the proposed
for routine uses including responding
the accuracy of the estimates of the to, preventing, minimizing, or
burden of the information collection, systems of records must be received on
or before November 28, 2007. The remedying, harm that may result from a
including the validity of the data breach or compromise.
methodology and assumptions used; (c) proposed systems of records will
The FDIC also proposes to add three
become effective 45 days following
ways to enhance the quality, utility, and new system of records notices to cover
publication in the Federal Register,
clarity of the information to be information maintained by new data
unless a superseding notice to the
collected; (d) ways to minimize the technology systems that collect, process,
contrary is published before that date.
burden of the information collection on or store personal information. The first
ADDRESSES: You may submit written
respondents, including through the use new system of records is designated as
comments by any of the following FDIC–30–64–0028 (Office of the
of automated collection techniques or methods:
other forms of information technology; Chairman Correspondence Records).
• Agency Web site: Located at http://
and (e) estimates of capital or start up This system of records will be used to
www.fdic.gov/regulations/laws/federal/
costs, and costs of operation, support the administration of
propose.html. Follow instructions for
maintenance and purchase of services to correspondence addressed to the FDIC,
submitting comments on this Web site.
provide the information. • E-mail: Send to Office of the Chairman. The second new
comments@fdic.gov. Include ‘‘Notice of system of records is designated as FDIC–
At the end of the comment period, the 30–64–0029 (Congressional
comments and recommendations New and Revised FDIC Systems of
Records’’ in the subject line. Correspondence Records). This system
received will be analyzed to determine of records will be used to document and
• Mail: Send to Fredrick L. Fisch,
the extent to which the collection respond to constituent and other
Supervisory Counsel, Attention:
should be modified prior to submission inquiries forwarded by Members of the
Comments, FDIC System of Records,
to OMB for review and approval. 550 17th Street, NW., Washington, DC U.S. Congress or Congressional staff.
Comments submitted in response to this 20429. The third new system of records is
notice also will be summarized or All submissions should refer to designated as FDIC–30–64–0030
included in the FDIC’s requests to OMB ‘‘Notice of New and Revised FDIC (Legislative Information Tracking
for renewal of these collections. All System of Records.’’ Comments may System Records). This system of records
comments will become a matter of also be inspected and photocopied in will be used to track Congressional
public record. the FDIC Public Information Center, inquiries and ensure that responses are
3501 North Fairfax Drive, Room E–1002, made in a timely manner. More detailed
Dated at Washington, DC, this 22nd day of
Arlington, Virginia 22226, between 9 information on the proposed new and
October, 2007.
a.m. and 5 p.m. (EST), Monday to revised systems of records may be
Federal Deposit Insurance Corporation. viewed in the complete text below.
Friday.
Robert E. Feldman,
FOR FURTHER INFORMATION CONTACT: Index of FDIC Privacy Act Systems of
Executive Secretary.
Fredrick L. Fisch, Supervisory Counsel, Records in This Publication
rfrederick on PROD1PC67 with NOTICES
[FR Doc. E7–21097 Filed 10–26–07; 8:45 am]

FOIA & Privacy Act Group, FDIC, 550 FDIC 30–64–0001 Attorney and
BILLING CODE 6714–01–P 17th Street, NW., Washington, DC Legal Intern Applicant Records
20429, (202) 898–6901. FDIC 30–64–0002 Financial
SUPPLEMENTARY INFORMATION: In Institution Investigative and
accordance with the Privacy Act of Enforcement Records
VerDate Aug<31>2005 15:25 Oct 26, 2007 Jkt 214001 PO 00000 Frm 00026 Fmt 4703 Sfmt 4703 E:\FR\FM\29OCN1.SGM 29OCN1
61132 Federal Register / Vol. 72, No. 208 / Monday, October 29, 2007 / Notices
FDIC 30–64–0003 Administrative CATEGORIES OF INDIVIDUALS COVERED BY THE (4) To appropriate Federal, State, local
and Personnel Action Records SYSTEM: authorities, and other entities when (a)
FDIC 30–64–0004 Changes in Applicants for the position of attorney it is suspected or confirmed that the
Financial Institution Control Ownership or legal intern with the Legal Division security or confidentiality of
Records of the FDIC. information in the system has been
FDIC 30–64–0005 Consumer compromised; (b) there is a risk of harm
CATEGORIES OF RECORDS IN THE SYSTEM:
Complaint and Inquiry Records to economic or property interests,
FDIC 30–64–0006 Employee Contains correspondence from the identity theft or fraud, or harm to the
Confidential Financial Disclosure applicants and individuals whose security or integrity of this system or
Records names were provided by the applicants other systems or programs that rely
FDIC 30–64–0007 Employee as references; applicants’ resumes; upon the compromised information; and
Training Information Records application forms; and in some (c) the disclosure is made to such
FDIC 30–64–0008 Chain Banking instances, comments of individuals who agencies, entities, and persons who are
Organizations Identification Records interviewed applicants; documents reasonably necessary to assist in efforts
FDIC 30–64–0009 Safety and relating to an applicant’s suitability or to respond to the suspected or
Security Incident Records eligibility; writing samples; and copies confirmed compromise and prevent,
FDIC 30–64–0010 Investigative Files of academic transcripts and class minimize, or remedy such harm;
of the Office of Inspector General ranking. (5) To appropriate Federal, State, and
FDIC 30–64–0011 Corporate local authorities in connection with
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Recruiting, Evaluating, and Electronic hiring or retaining an individual,
Referral System Section 9 of the Federal Deposit conducting a background security or
FDIC 30–64–0012 Financial Insurance Act (12 U.S.C. 1819). suitability investigation, adjudication of
Information Management Records PURPOSE:
liability, or eligibility for a license,
FDIC 30–64–0013 Insured Financial contract, grant, or other benefit;
The information in this system is used (6) To appropriate Federal, State, and
Institution Liquidation Records to evaluate the qualifications of
FDIC 30–64–0016 Professional local authorities, agencies, arbitrators,
individuals who apply for attorney or and other parties responsible for
Qualification Records for Municipal legal intern positions in the Legal
Securities Dealers, Municipal Securities processing any personnel actions or
Division. conducting administrative hearings or
Representatives and U.S. Government
Securities Brokers/Dealers ROUTINE USES OF RECORDS MAINTAINED IN THE corrective actions or grievances or
FDIC 30–64–0017 Employee SYSTEM, INCLUDING CATEGORIES OF USERS AND appeals, or if needed in the performance
Medical and Health Assessment Records THE PURPOSES OF SUCH USES: of other authorized duties;
FDIC 30–64–0018 Grievance In addition to those disclosures (7) To appropriate Federal agencies
Records generally permitted under 5 U.S.C. and other public authorities for use in
FDIC 30–64–0019 Potential Bidders 552a(b) of the Privacy Act, all or a records management inspections;
(8) To contractors, grantees,
List portion of the records or information
volunteers, and others performing or
FDIC 30–64–0020 Telephone Call contained in this system may be
working on a contract, service, grant,
Detail Records disclosed outside the FDIC as a routine
cooperative agreement, or project for the
FDIC 30–64–0021 Fitness Center use as follows:
Federal Government;
Records (1) To appropriate Federal, State, and (9) To officials of a labor organization
FDIC 30–64–0022 Freedom of local authorities responsible for when relevant and necessary to their
Information Act and Privacy Act investigating or prosecuting a violation duties of exclusive representation
Request Records of, or for enforcing or implementing a concerning personnel policies,
FDIC 30–64–0023 Affordable statute, rule, regulation, or order issued, practices, and matters affecting working
Housing Program Records when the information indicates a conditions; and
FDIC 30–64–0024 Unclaimed violation or potential violation of law, (10) To individuals or concerns whose
Deposit Account Records whether civil, criminal, or regulatory in names were supplied by the applicant
FDIC 30–64–0025 Beneficial nature, and whether arising by general as references and/or past or present
Ownership Filings (Securities Exchange statute or particular program statute, or employers in requesting information
Act) by regulation, rule, or order issued about the applicant.
FDIC 30–64–0028 Office of the pursuant thereto;
Chairman Correspondence Records (2) To a court, magistrate, or other POLICIES AND PRACTICES FOR STORING,
FDIC 30–64–0029 Congressional administrative body in the course of RETRIEVING, ACCESSING, RETAINING, AND
Correspondence Records presenting evidence, including DISPOSING OF RECORDS IN THE SYSTEM:
FDIC 30–64–0030 Legislative disclosures to counsel or witnesses in STORAGE:
Information Tracking System Records the course of civil discovery, litigation, Records are stored in paper format
or settlement negotiations or in within individual file folders in file
FDIC–30–64–0001 connection with criminal proceedings, cabinets.
SYSTEM NAME: when the FDIC is a party to the
Note: In the future all or some portion of
Attorney and Legal Intern Applicant proceeding or has a significant interest the records may be stored in electronic
Records. in the proceeding, to the extent that the media. These records will be: Stored on a
information is determined to be relevant secured computer server; password
SECURITY CLASSIFICATION: and necessary; protected; and accessible only by authorized

Unclassified but sensitive. (3) To a congressional office in personnel.
response to an inquiry made by the
SYSTEM LOCATION: congressional office at the request of the RETRIEVABILITY:
Legal Division, FDIC, 550 17th Street, individual who is the subject of the Individual file folders are indexed
NW., Washington, DC 20429. record; and retrieved by name. Records of
Federal Register / Vol. 72, No. 208 / Monday, October 29, 2007 / Notices 61133
unsuccessful applicants are indexed information to the FDIC under an U.S.C. 1815, 1816, 1817, 1818, 1819,
first by job position category and year express promise of confidentiality. 1828, 1829).
and then by name.
FDIC–30–64–0002 PURPOSE:
SAFEGUARDS: The information is maintained to
SYSTEM NAME:
Records are maintained in lockable support the FDIC’s regulatory and
Financial Institution Investigative and
metal file cabinets accessible only by supervisory functions by providing a
Enforcement Records.
authorized personnel. centralized system of information (1) for
SECURITY CLASSIFICATION: conducting and documenting
RETENTION AND DISPOSAL:
Unclassified but sensitive. investigations by the FDIC or other
Records of unsuccessful applicants financial supervisory or law
are retained two years after their SYSTEM LOCATION:
enforcement agencies regarding conduct
submission; records of successful Division of Supervision and within financial institutions by
applicants become a part of the Consumer Protection, FDIC, 550 17th directors, officers, employees, and
Personnel Records system of records Street, NW., Washington, DC 20429. customers, which may result in the
(FDIC 30–64–0015) and are retained two filing of suspicious activity reports or
CATEGORIES OF INDIVIDUALS COVERED BY THE
years after the applicant leaves the SYSTEM: criminal referrals, referrals to the FDIC
employ of the FDIC. Office of the Inspector General, or the
(1) Individuals who participate or
SYSTEM MANAGER(S) AND ADDRESS: have participated in the conduct of or initiation of administrative enforcement
who are or were connected with actions; and (2) to identify whether an
Assistant General Counsel, Legal individual is fit to serve as a financial
Division, FDIC, 550 17th Street, NW., financial institutions, such as directors,
officers, employees, and customers, and institution director, officer, employee or
Washington, DC 20429. controlling shareholder.
who have been named in suspicious
NOTIFICATION PROCEDURE: activity reports or administrative ROUTINE USES OF RECORDS MAINTAINED IN THE
Individuals wishing to determine if enforcement orders or agreements. SYSTEM, INCLUDING CATEGORIES OF USERS AND
they are named in this system of records Financial institutions include banks, THE PURPOSES OF SUCH USES:
or who are seeking access or savings and loan associations, credit In addition to those disclosures
amendment to records maintained in unions, other similar institutions, and generally permitted under 5 U.S.C.
this system of records must submit their their affiliates whether or not federally 552a(b) of the Privacy Act, all or a
request in writing to Privacy@FDIC.Gov insured and whether or not established portion of the records or information
or to the Legal Division, FOIA & Privacy or proposed. contained in this system may be
Act Group, FDIC, 550 17th Street, NW., (2) Individuals, such as directors, disclosed outside the FDIC as a routine
Washington, DC 20429, in accordance officers, employees, controlling use as follows:
with FDIC regulations at 12 CFR Part shareholders, or persons who are the (1) To appropriate Federal, State, and
310. Individuals requesting their records subject of background checks designed local authorities responsible for
must provide their name, address and a to uncover criminal activities bearing on investigating or prosecuting a violation
notarized statement attesting to their the individual’s fitness to be a director, of, or for enforcing or implementing a
identity. officer, employee, or controlling statute, rule, regulation, or order issued,
shareholder. when the information indicates a
RECORD ACCESS PROCEDURES:
CATEGORIES OF RECORDS IN THE SYSTEM: violation or potential violation of law,
See ‘‘Notification Procedure’’ above. whether civil, criminal, or regulatory in
Contains interagency or intra-agency
CONTESTING RECORD PROCEDURES: correspondence or memoranda; criminal nature, and whether arising by general
See ‘‘Notification Procedure’’ above. referral reports; suspicious activity statute or particular program statute, or
Individuals wishing to contest or amend reports; newspaper clippings; Federal, by regulation, rule, or order issued
information maintained in this system State, or local criminal law enforcement pursuant thereto;
should specify the information being agency investigatory reports, (2) To a court, magistrate, or other
contested, the reasons for contesting it, indictments and/or arrest and administrative body in the course of
and the proposed amendment to such conviction information; and presenting evidence, including
information in accordance with FDIC administrative enforcement orders or disclosures to counsel or witnesses in
regulations at 12 CFR Part 310. agreements. Note: Certain records the course of civil discovery, litigation,
contained in this system (principally or settlement negotiations or in
RECORD SOURCE CATEGORIES: criminal investigation reports prepared connection with criminal proceedings,
The information is obtained from the by the Federal Bureau of Investigation, when the FDIC is a party to the
applicants; references supplied by the Secret Service, and other federal law proceeding or has a significant interest
applicants; current and/or former enforcement agencies) are the property in the proceeding, to the extent that the
employers of the applicants; and FDIC of federal law enforcement agencies. information is determined to be relevant
employees who interviewed the Upon receipt of a request for such and necessary;
applicants. records, the FDIC will notify the (3) To a congressional office in
proprietary agency of the request and response to an inquiry made by the
EXEMPTIONS CLAIMED FOR THE SYSTEM: congressional office at the request of the
seek guidance with respect to
Pursuant to 12 CFR Part 310.13(b), disposition. The FDIC may forward the individual who is the subject of the
investigatory material compiled solely request to that agency for processing in record;
for the purpose of determining accordance with that agency’s (4) To appropriate Federal, State, local
suitability, eligibility, or qualifications regulations. authorities, and other entities when (a)
for FDIC employment may be withheld it is suspected or confirmed that the
from disclosure to the extent that AUTHORITY FOR MAINTENANCE OF THE SYSTEM: security or confidentiality of
disclosure of such material would reveal Sections 5, 6, 7, 8, 9, 18, and 19 of the information in the system has been
the identity of a source who furnished Federal Deposit Insurance Act (12 compromised; (b) there is a risk of harm
to economic or property interests, system to consumer reporting agencies RECORD SOURCE CATEGORIES:
identity theft or fraud, or harm to the as defined in the Fair Credit Reporting Financial institutions; financial
security or integrity of this system or Act (15 U.S.C. 1681a(f)) or the Federal institution supervisory or regulatory
other systems or programs that rely Claims Collection Act of 1966 (31 U.S.C. authorities; newspapers or other public
upon the compromised information; and 3701(a)(3)). records; witnesses; current or former
(c) the disclosure is made to such FDIC employees; criminal law
agencies, entities, and persons who are POLICIES AND PRACTICES FOR STORING,
enforcement and prosecuting
RETRIEVING, ACCESSING, RETAINING, AND
reasonably necessary to assist in efforts authorities.
DISPOSING OF RECORDS IN THE SYSTEM:
to respond to the suspected or
EXEMPTIONS CLAIMED FOR THE SYSTEM:
confirmed compromise and prevent, STORAGE:
minimize, or remedy such harm; Portions of the records in this system
Records are stored in electronic media
(5) To appropriate Federal, State, and of records were compiled for law
and in paper format within individual
local authorities in connection with enforcement purposes and are exempt
file folders.
hiring or retaining an individual, from disclosure under 12 CFR Part
conducting a background security or RETRIEVABILITY: 310.13 and 5 U.S.C. 552a(k)(2). Federal
suitability investigation, adjudication of criminal law enforcement investigatory
Records are indexed and retrieved by
liability, or eligibility for a license, reports maintained as part of this system
name of the individual.
contract, grant, or other benefit; may be the subject of exemptions
(6) To appropriate Federal, State, and SAFEGUARDS: imposed by the originating agency
local authorities, agencies, arbitrators, pursuant to 5 U.S.C. 552a(j)(2).
Electronic files are password
and other parties responsible for protected and accessible only by FDIC–30–64–0003
processing any personnel actions or authorized persons. File folders are
conducting administrative hearings or maintained in lockable metal file SYSTEM NAME:
corrective actions or grievances or cabinets. Administrative and Personnel Action
appeals, or if needed in the performance Records.
of other authorized duties; RETENTION AND DISPOSAL:
(7) To appropriate Federal agencies These records will be maintained
SECURITY CLASSIFICATION:
and other public authorities for use in until they become inactive, at which Unclassified but sensitive.
records management inspections; time they will be retired or destroyed in
(8) To contractors, grantees, SYSTEM LOCATION:
accordance with National Archives and Legal Division, Executive Secretary
Records Administration and FDIC Section, FDIC, 550 17th Street, NW.,
Records Retention and Disposition Washington, DC 20429.
Schedules. Disposal is by shredding or
Federal Government;
other appropriate disposal systems. CATEGORIES OF INDIVIDUALS COVERED BY THE
(9) To officials of a labor organization SYSTEM:
when relevant and necessary to their SYSTEM MANAGERS AND ADDRESS:
duties of exclusive representation Individuals who have been the subject
Director, Division of Supervision and of administrative actions or personnel
concerning personnel policies,
Consumer Protection, FDIC, 550 17th actions by the FDIC Board of Directors
practices, and matters affecting working
Street, NW., Washington, DC 20429. or by standing committees of the FDIC
conditions;
(10) To a financial institution affected and individuals who have been the
NOTIFICATION PROCEDURE:
by enforcement activities or reported subject of administrative actions by
Individuals wishing to determine if FDIC officials under delegated
criminal activities;
(11) To the Internal Revenue Service they are named in this system of records authority.
and appropriate State and local taxing or who are seeking access or
amendment to records maintained in CATEGORIES OF RECORDS IN THE SYSTEM:
authorities;
this system of records must submit their Minutes of the meetings of the FDIC
(12) To other Federal, State or foreign
request in writing to Privacy@FDIC.Gov Board of Directors or standing
financial institutions supervisory or
or to the Legal Division, FOIA & Privacy committees and orders of the Board of
regulatory authorities; and
Act Group, FDIC, 550 17th Street, NW., Directors, standing committees, or other
(13) To the Department of the
Washington, DC 20429, in accordance officials as well as annotations of entries
Treasury, federal debt collection
with FDIC regulations at 12 CFR Part into the minutes and orders.
centers, other appropriate federal
agencies, and private collection 310. Individuals requesting their records
contractors or other third Parties must provide their name, address and a
notarized statement attesting to their Sections 8, 9, and 19 of the Federal
authorized by law, for the purpose of Deposit Insurance Act (12 U.S.C. 1818,
collecting or assisting in the collection identity.
1819, 1829).
of delinquent debts owed to the FDIC. RECORD ACCESS PROCEDURES:
Disclosure of information contained in PURPOSE:
these records will be limited to the See ‘‘Notification Procedure’’ above. The system is maintained to record
individual’s name, Social Security CONTESTING RECORD PROCEDURES: the administrative and personnel
number, and other information actions taken by the FDIC Board of
necessary to establish the identity of the See ‘‘Notification Procedure’’ above. Directors, standing committees, or other
individual, and the existence, validity, Individuals wishing to contest or amend officials.
amount, status and history of the debt. information maintained in this system
should specify the information being ROUTINE USES OF RECORDS MAINTAINED IN THE
DISCLOSURE TO CONSUMER REPORTING contested, the reasons for contesting it, SYSTEM, INCLUDING CATEGORIES OF USERS AND
AGENCIES: and the proposed amendment to such THE PURPOSES OF SUCH USES:
Pursuant to 5 U.S.C. 552a(b)(12), information in accordance with FDIC In addition to those disclosures
disclosures may be made from this regulations at 12 CFR Part 310. generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a (8) To contractors, grantees, amendment to records maintained in
portion of the records or information volunteers, and others performing or this system of records must submit their
contained in this system may be working on a contract, service, grant, request in writing to Privacy@FDIC.Gov
disclosed outside the FDIC as a routine cooperative agreement, or project for the or to the Legal Division, FOIA & Privacy
use as follows: Federal Government; Act Group, FDIC, 550 17th Street, NW.,
(1) To appropriate Federal, State, and (9) To officials of a labor organization Washington, DC 20429, in accordance
local authorities responsible for when relevant and necessary to their with FDIC regulations at 12 CFR Part
investigating or prosecuting a violation duties of exclusive representation 310. Individuals requesting their records
of, or for enforcing or implementing a concerning personnel policies, must provide their name, address and a
statute, rule, regulation, or order issued, practices, and matters affecting working notarized statement attesting to their
when the information indicates a conditions; and identity.
violation or potential violation of law, (10) To the U.S. Office of Personnel
whether civil, criminal, or regulatory in RECORD ACCESS PROCEDURES:
Management, General Accounting
nature, and whether arising by general Office, the Office of Government Ethics, See ‘‘Notification Procedure’’ above.
statute or particular program statute, or the Merit Systems Protection Board, the CONTESTING RECORD PROCEDURES:
by regulation, rule, or order issued Office of Special Counsel, the Equal
pursuant thereto; See ‘‘Notification Procedure’’ above.
Employment Opportunity Commission,
(2) To a court, magistrate, or other Individuals wishing to contest or amend
or the Federal Labor Relations Authority
administrative body in the course of information maintained in this system
or its General Counsel of records or
presenting evidence, including should specify the information being
portions thereof determined to be
disclosures to counsel or witnesses in contested, the reasons for contesting it,
relevant and necessary to carrying out
the course of civil discovery, litigation, and the proposed amendment to such
their authorized functions, including
or settlement negotiations or in information in accordance with FDIC
but not limited to a request made in
connection with criminal proceedings, regulations at 12 CFR Part 310.
connection with the hiring or retention
when the FDIC is a party to the of an employee, the issuance of a RECORD SOURCE CATEGORIES:
proceeding or has a significant interest security clearance, the reporting of an Intra-agency records.
in the proceeding, to the extent that the investigation of an employee, the letting
information is determined to be relevant of a contract or issuance of a grant, EXEMPTIONS CLAIMED FOR THE SYSTEM:
and necessary; license, or other benefit by the None.
(3) To a congressional office in requesting agency, but only to the extent
response to an inquiry made by the FDIC–30–64–0004
that the information disclosed is
congressional office at the request of the necessary and relevant to the requesting SYSTEM NAME:
individual who is the subject of the agency’s decision on the matter. Changes in Financial Institution
record;
(4) To appropriate Federal, State, local POLICIES AND PRACTICES FOR STORING,
Control Ownership Records.
authorities, and other entities when (a) RETRIEVING, ACCESSING, RETAINING, AND SECURITY CLASSIFICATION:
it is suspected or confirmed that the DISPOSING OF RECORDS IN THE SYSTEM:
Unclassified but sensitive.
security or confidentiality of STORAGE:
information in the system has been SYSTEM LOCATION:
Records are stored in electronic
compromised; (b) there is a risk of harm media, microfilm, paper format within Division of Supervision and
to economic or property interests, individual file folders, minute book Consumer Protection, FDIC, 550 17th
identity theft or fraud, or harm to the ledgers and index cards. Street, NW., Washington, DC 20429.
security or integrity of this system or
other systems or programs that rely RETRIEVABILITY:
SYSTEM:
upon the compromised information; and Records are indexed and retrieved by
(1) Individuals who acquired or
(c) the disclosure is made to such name.
disposed of voting stock in an FDIC-
agencies, entities, and persons who are
SAFEGUARDS: insured financial institution resulting in
reasonably necessary to assist in efforts
Electronic files are password a change of financial institution control
protected and accessible only by or ownership; and
confirmed compromise and prevent,
authorized personnel. Paper format, (2) Individuals who filed or are
minimize, or remedy such harm;
index cards, and minute book ledgers included as a member of a group listed
(5) To appropriate Federal, State, and
are stored in lockable metal file cabinets in a ‘‘Notice of Acquisition of Control’’
local authorities in connection with
or vault accessible only by authorized of an FDIC-insured financial institution.
hiring or retaining an individual,
conducting a background security or personnel. A security copy of certain Note: The information is maintained only
suitability investigation, adjudication of microfilmed portions of the records is for the period 1989 to 1995. Commencing in
liability, or eligibility for a license, retained at another location. 1996 the records were no longer collected nor
maintained on an individual name or
contract, grant, or other benefit; RETENTION AND DISPOSAL: personal identifier basis and are not
(6) To appropriate Federal, State, and retrievable by individual name or personal
Permanent.
local authorities, agencies, arbitrators, identifier. Beginning in 1996, information
and other parties responsible for SYSTEM MANAGER(S) AND ADDRESS: concerning changes in financial institution
processing any personnel actions or Legal Division, Executive Secretary control is collected and maintained based
conducting administrative hearings or Section, FDIC, 550 17th Street, NW., upon the name of the FDIC-insured financial
corrective actions or grievances or Washington, DC 20429. institution or specialized number assigned to

appeals, or if needed in the performance the FDIC-insured financial institution.
of other authorized duties; NOTIFICATION PROCEDURE:
(7) To appropriate Federal agencies Individuals wishing to determine if CATEGORIES OF RECORDS IN THE SYSTEM:
and other public authorities for use in they are named in this system of records Records include the name of proposed
records management inspections; or who are seeking access or acquirer; statement of assets and
liabilities of acquirer; statement of congressional office at the request of the authorized persons. File folders are
income and sources of income for each individual who is the subject of the maintained in lockable metal file
acquirer; statement of liabilities for each record; cabinets.
acquirer; name and location of the (4) To appropriate Federal, State, local
financial institution; number of shares authorities, and other entities when (a)
to be acquired and outstanding; date it is suspected or confirmed that the These records will be maintained
‘‘Change in Control Notice’’ or ‘‘Notice security or confidentiality of until they become inactive, at which
of Acquisition of Control’’ was filed; information in the system has been time they will be retired or destroyed in
name and location of the newspaper in compromised; (b) there is a risk of harm accordance with National Archives and
which the notice was published and to economic or property interests, Records Administration and FDIC
date of publication. For consummated identity theft or fraud, or harm to the Records Retention and Disposition
transactions, names of sellers/ security or integrity of this system or Schedules. Disposal is by shredding or
transferors; names of purchasers/ other systems or programs that rely other appropriate disposal systems.
transferees and number of shares owned upon the compromised information; and
SYSTEM MANAGER(S) AND ADDRESS:
after transaction; date of transaction on (c) the disclosure is made to such
institution’s books, number of shares agencies, entities, and persons who are Director, Division of Supervision and
acquired and outstanding. If stock of a reasonably necessary to assist in efforts Consumer Protection, FDIC, 550 17th
holding company is involved, the name to respond to the suspected or Street, NW., Washington, DC 20429.
and location of the holding company confirmed compromise and prevent, NOTIFICATION PROCEDURE:
and the institution(s) it controls. minimize, or remedy such harm;
(5) To appropriate Federal, State, and Individuals wishing to determine if
local authorities in connection with they are named in this system of records
Section 7(j) of the Federal Deposit hiring or retaining an individual, or who are seeking access or
Insurance Act (12 U.S.C. 1817(j)). conducting a background security or amendment to records maintained in
suitability investigation, adjudication of this system of records must submit their
PURPOSE: request in writing to Privacy@FDIC.Gov
liability, or eligibility for a license,
The system maintains information on contract, grant, or other benefit; or to the Legal Division, FOIA & Privacy
individuals involved in changes of (6) To appropriate Federal, State, and Act Group, FDIC, 550 17th Street, NW.,
control of FDIC-insured financial local authorities, agencies, arbitrators, Washington, DC 20429, in accordance
institutions for the period 1989 to 1995 and other parties responsible for with FDIC regulations at 12 CFR Part
and is used to support the FDIC’s processing any personnel actions or 310. Individuals requesting their records
regulatory and supervisory functions. conducting administrative hearings or must provide their name, address and a
corrective actions or grievances or notarized statement attesting to their
ROUTINE USES OF RECORDS MAINTAINED IN THE
appeals, or if needed in the performance identity.
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES: of other authorized duties; RECORD ACCESS PROCEDURES:
In addition to those disclosures (7) To appropriate Federal agencies
See ‘‘Notification Procedure’’ above.
generally permitted under 5 U.S.C. and other public authorities for use in
552a(b) of the Privacy Act, all or a records management inspections; CONTESTING RECORD PROCEDURES:
portion of the records or information (8) To contractors, grantees, See ‘‘Notification Procedure’’ above.
contained in this system may be volunteers, and others performing or Individuals wishing to contest or amend
disclosed outside the FDIC as a routine working on a contract, service, grant, information maintained in this system
use as follows: cooperative agreement, or project for the should specify the information being
(1) To appropriate Federal, State, and Federal Government; contested, the reasons for contesting it,
local authorities responsible for (9) To officials of a labor organization and the proposed amendment to such
investigating or prosecuting a violation when relevant and necessary to their information in accordance with FDIC
of, or for enforcing or implementing a duties of exclusive representation regulations at 12 CFR Part 310.
statute, rule, regulation, or order issued, concerning personnel policies,
when the information indicates a practices, and matters affecting working RECORD SOURCE CATEGORIES:
violation or potential violation of law, conditions; and Persons who acquired control of an
whether civil, criminal, or regulatory in (10) To other Federal or State FDIC-insured financial institution; the
nature, and whether arising by general financial institution supervisory insured financial institution or holding
statute or particular program statute, or authorities. company in which control changed;
by regulation, rule, or order issued POLICIES AND PRACTICES FOR STORING, filed ‘‘Change in Control Notice’’ form
pursuant thereto; RETRIEVING, ACCESSING, RETAINING, AND and ‘‘Notice of Acquisition of Control’’
(2) To a court, magistrate, or other DISPOSING OF RECORDS IN THE SYSTEM: form during the period 1989 to 1995;
administrative body in the course of federal and state financial institution
STORAGE:
presenting evidence, including supervisory authorities.
disclosures to counsel or witnesses in
and in paper format within individual EXEMPTIONS CLAIMED FOR THE SYSTEM:
the course of civil discovery, litigation,
file folders. None.
or settlement negotiations or in
connection with criminal proceedings, RETRIEVABILITY: FDIC–30–64–0005
when the FDIC is a party to the Records for the period 1989 to 1995
proceeding or has a significant interest are indexed and retrieved by name of SYSTEM NAME:
in the proceeding, to the extent that the the individual. Consumer Complaint and Inquiry
information is determined to be relevant Records.
and necessary; SAFEGUARDS:
(3) To a congressional office in Electronic files are password SECURITY CLASSIFICATION:
response to an inquiry made by the protected and accessible only by Unclassified but sensitive.
SYSTEM LOCATION: violation or potential violation of law, (10) To the insured depository
Division of Supervision and whether civil, criminal, or regulatory in institution which is the subject of the
Consumer Protection, FDIC, 550 17th nature, and whether arising by general complaint or inquiry when necessary to
Street, NW., Washington, DC 20429, and statute or particular program statute, or investigate or resolve the complaint or
FDIC regional offices for complaints or by regulation, rule, or order issued inquiry;
inquiries originating within or involving pursuant thereto; (11) To authorized third-party sources
an FDIC-insured depository institution (2) To a court, magistrate, or other during the course of the investigation in
located in an FDIC region. (See administrative body in the course of order to resolve the complaint or
Appendix A for a list of the FDIC presenting evidence, including inquiry. Information that may be
regional offices and their addresses.) disclosures to counsel or witnesses in disclosed under this routine use is
the course of civil discovery, litigation, limited to the name of the complainant
CATEGORIES OF INDIVIDUALS COVERED BY THE or settlement negotiations or in or inquirer and the nature of the
SYSTEM: connection with criminal proceedings, complaint or inquiry and such
Individuals who have submitted when the FDIC is a party to the additional information necessary to
complaints or inquiries concerning proceeding or has a significant interest investigate the complaint or inquiry;
activities or practices of FDIC-insured in the proceeding, to the extent that the and
depository institutions. information is determined to be relevant (12) To the Federal or State
and necessary; supervisory/regulatory authority that
(3) To a congressional office in has direct supervision over the insured
Contains correspondence and records response to an inquiry made by the depository institution that is the subject
of other communications between the congressional office at the request of the of the complaint or inquiry.
FDIC and the individual submitting a individual who is the subject of the
complaint or making an inquiry, record; POLICIES AND PRACTICES FOR STORING,
including copies of supporting (4) To appropriate Federal, State, local RETRIEVING, ACCESSING, RETAINING, AND
documents and contact information DISPOSING OF RECORDS IN THE SYSTEM:
authorities, and other entities when (a)
supplied by the individual. May contain it is suspected or confirmed that the STORAGE:
correspondence between the FDIC and security or confidentiality of Records are stored in electronic media
the FDIC-insured depository institution information in the system has been and in paper format within individual
in question and/or intra-agency or inter- compromised; (b) there is a risk of harm file folders.
agency memoranda or correspondence to economic or property interests,
concerning the complaint or inquiry. RETRIEVABILITY:
identity theft or fraud, or harm to the
security or integrity of this system or Electronic media and paper format are
other systems or programs that rely indexed and retrieved by unique
Section 9 of the Federal Deposit identification number which may be
upon the compromised information; and
Insurance Act (12 U.S.C. 1819) and cross referenced to the name of
(c) the disclosure is made to such
Section 202(f) of Title II of the Federal complainant or inquirer.
Trade Improvement Act (15 U.S.C.
reasonably necessary to assist in efforts SAFEGUARDS:
57a(f)).
PURPOSE: confirmed compromise and prevent,
protected and accessible only by
The system maintains correspondence minimize, or remedy such harm;
(5) To appropriate Federal, State, and authorized personnel. Paper format files
from individuals regarding complaints are maintained in lockable metal file
or inquiries concerning activities or local authorities in connection with
hiring or retaining an individual, cabinets accessible only to authorized
practices of FDIC-insured depository personnel.
institutions. The information is used to conducting a background security or
identify concerns of individuals, to suitability investigation, adjudication of RETENTION AND DISPOSAL:
manage correspondence received from liability, or eligibility for a license, These records will be maintained
individuals and to accurately respond to contract, grant, or other benefit; until they become inactive, at which
complaints, inquiries, views and (6) To appropriate Federal, State, and time they will be retired or destroyed in
concerns expressed by individuals. The local authorities, agencies, arbitrators, accordance with National Archives and
information in this system supports the and other parties responsible for Records Administration and FDIC
FDIC regulatory and supervisory processing any personnel actions or Records Retention and Disposition
functions. conducting administrative hearings or Schedules. Disposal is by shredding or
corrective actions or grievances or other appropriate disposal systems.
ROUTINE USES OF RECORDS MAINTAINED IN THE appeals, or if needed in the performance
SYSTEM, INCLUDING CATEGORIES OF USERS AND of other authorized duties; SYSTEM MANAGER(S) AND ADDRESS:
THE PURPOSES OF SUCH USES: (7) To appropriate Federal agencies Associate Director, Division of
In addition to those disclosures and other public authorities for use in Supervision and Consumer Protection ,
generally permitted under 5 U.S.C. records management inspections; FDIC, 550 17th Street, NW.,
552a(b) of the Privacy Act, all or a (8) To contractors, grantees, Washington, DC 20429, or the Regional
portion of the records or information volunteers, and others performing or Director, Division of Supervision and
contained in this system may be working on a contract, service, grant, Consumer Protection for records
disclosed outside the FDIC as a routine cooperative agreement, or project for the maintained in FDIC regional offices (See
use as follows: Federal Government; Appendix A for the location of FDIC
(1) To appropriate Federal, State, and (9) To officials of a labor organization Regional Offices).
local authorities responsible for when relevant and necessary to their
investigating or prosecuting a violation duties of exclusive representation NOTIFICATION PROCEDURE:
of, or for enforcing or implementing a concerning personnel policies, Individuals wishing to determine if
statute, rule, regulation, or order issued, practices, and matters affecting working they are named in this system of records
when the information indicates a conditions; or who are seeking access or
amendment to records maintained in interests in business enterprises and real conduct for Government employees
this system of records must submit their property; listings of creditors and contained in the Executive Orders,
request in writing to Privacy@FDIC.Gov outside employment; opinions and Federal Statutes and FDIC regulations
or to the Legal Division, FOIA & Privacy determinations of ethics counselors; and to determine if a conflict of interest
Act Group, FDIC, 550 17th Street, NW., information related to conflict of exists between employment of
Washington, DC 20429, in accordance interest determinations; and information individuals by the FDIC and their
with FDIC regulations at 12 CFR Part contained on the following forms: personal employment and financial
310. Individuals requesting their records (1) Confidential Financial Disclosure interests.
must provide their name, address and a Report—contains listing of personal and
notarized statement attesting to their family investment holdings, interests in
identity. business enterprises and real property, THE PURPOSES OF SUCH USES
creditors, and outside employment.
(2) Confidential Report of In addition to those disclosures
See ‘‘Notification Procedure’’ above. Indebtedness—contains information on generally permitted under 5 U.S.C.
extensions of credit to employees, 552a(b) of the Privacy Act, all or a
CONTESTING RECORD PROCEDURES:
including loans and credit cards, by portion of the records or information
See ‘‘Notification Procedure’’ above. contained in this system may be
Individuals wishing to contest or amend FDIC-insured depository institutions or
their subsidiaries; may also contain disclosed outside the FDIC as a routine
information maintained in this system use as follows:
should specify the information being memoranda and correspondence
contested, the reasons for contesting it, relating to requests for approval of
local authorities responsible for
and the proposed amendment to such certain loans extended by insured
investigating or prosecuting a violation
information in accordance with FDIC financial institutions or subsidiaries
of, or for enforcing or implementing a
regulations at 12 CFR Part 310. thereof.
(3) Confidential Report of Interest in statute, rule, regulation, or order issued,
RECORD SOURCE CATEGORIES: FDIC-Insured Depository Institution when the information indicates a
Securities—contains a brief description violation or potential violation of law,
The information is obtained from the
of an employee’s direct or indirect whether civil, criminal, or regulatory in
individual on whom the record is
interest in the securities of an FDIC- nature, and whether arising by general
maintained; FDIC-insured depository
insured depository institution or statute or particular program statute, or
institutions that are the subject of the
affiliate, including a depository by regulation, rule, or order issued
complaint; the appropriate agency,
institution holding company, and the pursuant thereto;
whether Federal or State, with
(2) To a court, magistrate, or other
supervisory authority over the date and manner of acquisition or
administrative body in the course of
institution; congressional offices that divestiture; a brief description of an
presenting evidence, including
may initiate the inquiry; and other employee’s direct or indirect continuing
parties providing information to the financial interest through a pension or
FDIC in an attempt to resolve the retirement plan, trust or other
complaint or inquiry. arrangement, including arrangements
connection with criminal proceedings,
resulting from any current or prior
EXEMPTIONS CLAIMED FOR THE SYSTEM: when the FDIC is a party to the
employment or business association,
None. proceeding or has a significant interest
with any FDIC-insured depository
in the proceeding, to the extent that the
FDIC–30–64–0006 institution, affiliate, or depository
information is determined to be relevant
institution holding company; and a
SYSTEM NAME: and necessary;
certification acknowledging that the (3) To a congressional office in
Employee Confidential Financial employee has read and understands the response to an inquiry made by the
Disclosure Records. rules governing the ownership of congressional office at the request of the
securities in FDIC-insured depository individual who is the subject of the
institutions. record;
Unclassified but sensitive. (4) Employee Certification and (4) To appropriate Federal, State, local
SYSTEM LOCATION: Acknowledgment of Standards of authorities, and other entities when (a)
Records are located in component Conduct Regulation—contains it is suspected or confirmed that the
divisions, offices and regional offices to employee’s certification and security or confidentiality of
which individuals covered by the acknowledgment that he or she has information in the system has been
system are assigned. Duplicate copies of received a copy of the Standards of compromised; (b) there is a risk of harm
the records are located in the Legal Ethical Conduct for Employees of the to economic or property interests,
Division, Executive Secretary Section, FDIC. identity theft or fraud, or harm to the
Ethics Unit, FDIC, 550 17th Street, NW., AUTHORITY FOR MAINTENANCE OF THE SYSTEM: security or integrity of this system or
Washington, DC 20429. (See Appendix other systems or programs that rely
Ethics in Government Act of 1978 (5
A for a list of the FDIC regional offices upon the compromised information; and
U.S.C. 7301 and App.); Section 9 and
and their addresses). (c) the disclosure is made to such
12(f) of the Federal Deposit Insurance
CATEGORIES OF INDIVIDUALS COVERED BY THE Act (12 U.S.C. 1819(a), 1822(f)); 26 agencies, entities, and persons who are
SYSTEM: U.S.C. 1043; Executive Order Nos. reasonably necessary to assist in efforts
Current and former officers and 12674 (as modified by 12731), 12565, to respond to the suspected or
employees, and special government and 11222; 5 CFR Part 2634, 2635, and confirmed compromise and prevent,
employees. 3201. minimize, or remedy such harm;
CATEGORIES OF RECORDS IN THE SYSTEM: PURPOSE: local authorities in connection with
Contains statements of personal and The records are maintained to assure hiring or retaining an individual,
family financial holdings and other compliance with the standards of conducting a background security or
suitability investigation, adjudication of amendment to records maintained in employee certifications on training

liability, or eligibility for a license, this system of records must submit their attended, employee certifications or
contract, grant, or other benefit; request in writing to Privacy@FDIC.Gov other information on educational
(6) To appropriate Federal, State, and or to the Legal Division, FOIA & Privacy degrees or professional memberships
local authorities, agencies, arbitrators, Act Group, FDIC, 550 17th Street, NW., and other similar information. The
and other parties responsible for Washington, DC 20429, in accordance Corporate University system does not
processing any personnel actions or with FDIC regulations at 12 CFR Part record or track educational degrees,
conducting administrative hearings or 310. Individuals requesting their records professional memberships, or similar
corrective actions or grievances or must provide their name, address and a information, and it is not used by the
appeals, or if needed in the performance notarized statement attesting to their FDIC to confirm continuing education
of other authorized duties; identity. requirements of employees.
(7) To appropriate Federal agencies
RECORD ACCESS PROCEDURES: AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
and other public authorities for use in
records management inspections; and See ‘‘Notification Procedure’’ above. Section 9 of the Federal Deposit
(8) To contractors, grantees, Insurance Act (12 U.S.C. 1819); Sections
CONTESTING RECORD PROCEDURES: 4(b) and 6(e) of the Inspector General
working on a contract, service, grant, See ‘‘Notification Procedure’’ above. Act of 1978, at amended (5 U.S.C. app).
cooperative agreement, or project for the Individuals wishing to contest or amend
PURPOSE:
Federal Government. information maintained in this system
should specify the information being The system is used to record and
POLICIES AND PRACTICES FOR STORING, contested, the reasons for contesting it, manage comprehensive training
RETRIEVING, ACCESSING, RETAINING, AND and the proposed amendment to such information that is available to
DISPOSING OF RECORDS IN THE SYSTEM: information in accordance with FDIC employees, training administrators, and
STORAGE: regulations at 12 CFR Part 310. management. The system is also used to
schedule training events, enroll
Records are stored in electronic media RECORD SOURCE CATEGORIES: students, and launch online training.
and in paper format within individual The system is utilized for reporting
The information is obtained from the
file folders. purposes and to maintain records for
individual or a person or entity
RETRIEVABILITY: designated by the individual; FDIC applicable continuing education
Records are indexed and retrieved by employees designated as Ethics requirements.
name of individual. Electronic media Counselors or Deputy Ethics ROUTINE USES OF RECORDS MAINTAINED IN THE
and paper format do not index the Counselors; other employees or SYSTEM, INCLUDING CATEGORIES OF USERS AND
names of prospective employees who individuals to whom the FDIC has THE PURPOSES OF SUCH USES:
are not selected for employment. provided information in connection In addition to those disclosures
with evaluating the records maintained. generally permitted under 5 U.S.C.
SAFEGUARDS:
552a(b) of the Privacy Act, all or a
Electronic files are password portion of the records or information
protected and accessible only by None.
contained in this system may be
authorized personnel. Paper format disclosed outside the FDIC as a routine
FDIC–30–64–0007
copies are maintained in lockable file use as follows:
cabinets. SYSTEM NAME: (1) To appropriate Federal, State, and
Employee Training Information local authorities responsible for
Records. investigating or prosecuting a violation
Records concerning prospective
employees who are not selected for of, or for enforcing or implementing a
employment are retained for one year statute, rule, regulation, or order issued,
Unclassified but sensitive. when the information indicates a
and then destroyed, except that
documents needed in an ongoing SYSTEM LOCATION: violation or potential violation of law,
investigation will be retained until no FDIC Corporate University, 3501 whether civil, criminal, or regulatory in
longer needed in the investigation. All North Fairfax Drive, Arlington, VA nature, and whether arising by general
other records are retained for six years 22226, and FDIC Office of Inspector statute or particular program statute, or
and then destroyed. Entries maintained General, 3501 North Fairfax Drive, by regulation, rule, or order issued
in electronic media are deleted, except Arlington, VA 22226. pursuant thereto;
(2) To a court, magistrate, or other
that paper format documents and
CATEGORIES OF INDIVIDUALS COVERED BY THE administrative body in the course of
electronic media entries needed in an
SYSTEM: presenting evidence, including
ongoing investigation will be retained
All current and former employees and disclosures to counsel or witnesses in
until no longer needed for the
any non-FDIC employees that have the course of civil discovery, litigation,
investigation. Disposal is by shredding
attended training conducted or or settlement negotiations or in
or other appropriate disposal systems.
sponsored by the FDIC. connection with criminal proceedings,
SYSTEM MANAGER(S) AND ADDRESS: when the FDIC is a party to the
CATEGORIES OF RECORDS IN THE SYSTEM: proceeding or has a significant interest
Ethics Program Manager, Executive
Secretary Section, Legal Division, FDIC, Contains the training history of an in the proceeding, to the extent that the
550 17th Street, NW., Washington, DC individual while employed by the FDIC. information is determined to be relevant
20429. Records may include schedule of and necessary;

employee’s training classes and other (3) To a congressional office in
NOTIFICATION PROCEDURE: educational programs attended, dates of response to an inquiry made by the
Individuals wishing to determine if attendance, tuition fees and expenses. congressional office at the request of the
they are named in this system of records The system used by the Office of individual who is the subject of the
or who are seeking access or Inspector General may also contain record;
(4) To appropriate Federal, State, local DISCLOSURE TO CONSUMER REPORTING information maintained in this system
authorities, and other entities when (a) AGENCIES: should specify the information being
it is suspected or confirmed that the Pursuant to 5 U.S.C. 552a(b)(12), contested, the reasons for contesting it,
security or confidentiality of disclosures may be made from this and the proposed amendment to such
information in the system has been system to consumer reporting agencies information in accordance with FDIC
compromised; (b) there is a risk of harm as defined in the Fair Credit Reporting regulations at 12 CFR Part 310.
to economic or property interests, Act (15 U.S.C. 1681a(f)) or the Federal
RECORD SOURCE CATEGORIES:
identity theft or fraud, or harm to the Claims Collection Act of 1966 (31 U.S.C.
security or integrity of this system or 3701(a)(3)). The information is obtained from the
other systems or programs that rely employee about whom the record is
POLICIES AND PRACTICES FOR STORING, maintained; training administrators; and
upon the compromised information; and RETRIEVING, ACCESSING, RETAINING, AND
(c) the disclosure is made to such the training facility or institution
agencies, entities, and persons who are attended.
STORAGE:
reasonably necessary to assist in efforts EXEMPTIONS CLAIMED FOR THE SYSTEM:
to respond to the suspected or Records are stored in electronic media
and in paper format within individual None.
minimize, or remedy such harm; file folders. FDIC–30–64–0008
(5) To appropriate Federal, State, and RETRIEVABILITY: SYSTEM NAME:
local authorities in connection with Electronic media are accessible by Chain Banking Organizations
hiring or retaining an individual, FDIC Employee ID number or name. A Identification Records.
conducting a background security or small number of archived historical
suitability investigation, adjudication of records are accessible only by social SECURITY CLASSIFICATION:
liability, or eligibility for a license, security number, with no associated Unclassified but sensitive.
contract, grant, or other benefit; name recorded. File folders are indexed
SYSTEM LOCATION:
(6) To appropriate Federal, State, and and retrieved by name of individual.
Division of Supervision and
local authorities, agencies, arbitrators, SAFEGUARDS: Consumer Protection, FDIC, 550 17th
and other parties responsible for Street, NW., Washington, DC 20429, and
processing any personnel actions or FDIC regional offices. (See Appendix A
conducting administrative hearings or for a list of the FDIC regional offices and
authorized personnel. Paper records
corrective actions or grievances or their addresses.)
within individual file folders are
appeals, or if needed in the performance
maintained in lockable metal file
of other authorized duties; CATEGORIES OF INDIVIDUALS COVERED BY THE
cabinets accessible only by authorized SYSTEM:
(7) To appropriate Federal agencies personnel.
and other public authorities for use in Individuals who directly, indirectly,
records management inspections; RETENTION AND DISPOSAL: or in concert with others, own or control
Permanent retention. two or more insured depository
(8) To contractors, grantees, institutions.
volunteers, and others performing or SYSTEM MANAGER(S) AND ADDRESSES:
working on a contract, service, grant, Assistant Chief Learning Officer, CATEGORIES OF RECORDS IN THE SYSTEM:
cooperative agreement, or project for the Corporate University, FDIC, 3501 North Contains the names of and contact
Federal Government; Fairfax Drive, Arlington, VA 22226; information for individuals who, either
(9) To officials of a labor organization Deputy Assistant Inspector General for alone or in concert with others, own or
when relevant and necessary to their Management, Office of Inspector control two or more insured depository
duties of exclusive representation General, FDIC, 3501 North Fairfax institutions as well as the insured
concerning personnel policies, Drive, Arlington, VA 22226. depository institutions names, locations,
practices, and matters affecting working stock certificate numbers, total asset
NOTIFICATION PROCEDURE: size, and percentage of outstanding
conditions;
Individuals wishing to determine if stock owned by the controlling
(10) To educational institutions for they are named in this system of records individual or group of individuals;
purposes of enrollment and verification or who are seeking access or charter types and, if applicable, name of
of employee attendance and amendment to records maintained in intermediate holding entity and
performance; this system of records must submit their percentage of holding company held by
(11) To vendors, professional request in writing to Privacy@FDIC.Gov controlling individual or group.
licensing boards or other appropriate or to the Legal Division, FOIA & Privacy
third parties, for the purpose of AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Act Group, FDIC, 550 17th Street, NW.,
verification, confirmation, and Washington, DC 20429, in accordance Sections 7(j) and 9 of the Federal
substantiation of training or licensing with FDIC regulations at 12 CFR Part Deposit Insurance Act (12 U.S.C.
requirements; 310. Individuals requesting their records 1817(j), 1819).
(12) To the U.S. Office of Personnel must provide their name, address and a PURPOSE:
Management for purposes of tracking notarized statement attesting to their
This system identifies and maintains
and analyzing training and related identity.
information of possible linked FDIC-
information of FDIC employees; and
RECORD ACCESS PROCEDURES: insured depository institutions or

(13) To other Federal Offices of See ‘‘Notification Procedure’’ above. holding companies which, due to their
Inspector General or other entities for common ownership, present a
purposes of conducting quality CONTESTING RECORD PROCEDURES: concentration of resources that could be
assessments or peer reviews of the OIG See ‘‘Notification Procedure’’ above. susceptible to common risks. The
or any of its components. Individuals wishing to contest or amend information in this system is used to
support the FDIC’s regulatory and processing any personnel actions or or who are seeking access or
supervisory functions. conducting administrative hearings or amendment to records maintained in
corrective actions or grievances or this system of records must submit their
appeals, or if needed in the performance request in writing to Privacy@FDIC.Gov
THE PURPOSES OF SUCH USES:
of other authorized duties; or to the Legal Division, FOIA & Privacy
(7) To appropriate Federal agencies Act Group, FDIC, 550 17th Street, NW.,
In addition to those disclosures and other public authorities for use in Washington, DC 20429, in accordance
generally permitted under 5 U.S.C. records management inspections; with FDIC regulations at 12 CFR Part
552a(b) of the Privacy Act, all or a (8) To contractors, grantees, 310. Individuals requesting their records
portion of the records or information volunteers, and others performing or must provide their name, address and a
contained in this system may be working on a contract, service, grant, notarized statement attesting to their
disclosed outside the FDIC as a routine cooperative agreement, or project for the identity.
use as follows: Federal Government;
(1) To appropriate Federal, State, and (9) To officials of a labor organization RECORD ACCESS PROCEDURES:
local authorities responsible for when relevant and necessary to their See ‘‘Notification Procedure’’ above.
investigating or prosecuting a violation duties of exclusive representation
of, or for enforcing or implementing a concerning personnel policies, CONTESTING RECORD PROCEDURES:
statute, rule, regulation, or order issued, practices, and matters affecting working See ‘‘Notification Procedure’’ above.
when the information indicates a conditions; and Individuals wishing to contest or
violation or potential violation of law, (10) To other Federal or State amend information maintained in this
whether civil, criminal, or regulatory in financial institution supervisory system should specify the information
nature, and whether arising by general authorities for: (a) Coordination of being contested, the reasons for
statute or particular program statute, or examining resources when the chain contesting it, and the proposed
by regulation, rule, or order issued banking organization is composed of amendment to such information in
pursuant thereto; insured depository institutions subject accordance with FDIC regulations at 12
(2) To a court, magistrate, or other to multiple supervisory jurisdictions; CFR Part 310.
administrative body in the course of (b) coordination of evaluations and
presenting evidence, including analysis of the condition of the RECORD SOURCE CATEGORIES:
disclosures to counsel or witnesses in consolidated chain organization; and (c) Examination reports and related
the course of civil discovery, litigation, coordination of supervisory, corrective materials; regulatory filings; and Change
or settlement negotiations or in or enforcement actions. in Financial Institution Control Notices
connection with criminal proceedings, filed pursuant to 12 U.S.C. 1817(j).
POLICIES AND PRACTICES FOR STORING,
when the FDIC is a party to the RETRIEVING, ACCESSING, RETAINING AND
proceeding or has a significant interest EXEMPTIONS CLAIMED FOR THE SYSTEM:
in the proceeding, to the extent that the None.
STORAGE:
and necessary; Records are stored in electronic FDIC–30–64–0009
(3) To a congressional office in media.
SYSTEM NAME:
response to an inquiry made by the RETRIEVABILITY:
congressional office at the request of the Safety and Security Incident Records.
Indexed and retrieved by name of
individual who is the subject of the controlling individual(s) or assigned SECURITY CLASSIFICATION:
record; identification number. Unclassified but sensitive.
(4) To appropriate Federal, State, local
authorities, and other entities when (a) SAFEGUARDS: SYSTEM LOCATION:
it is suspected or confirmed that the Electronic files are password FDIC, Division of Administration, 550
security or confidentiality of protected and accessible only by 17th Street, NW., Washington, DC
information in the system has been authorized personnel. 20429, and the FDIC regional or area
compromised; (b) there is a risk of harm offices. (See Appendix A for a list of the
to economic or property interests, FDIC regional offices and their
identity theft or fraud, or harm to the Records are maintained in electronic
media. Certain records are archived in addresses.)
other systems or programs that rely off-line storage and all records are CATEGORIES OF INDIVIDUALS COVERED BY THE
upon the compromised information; and periodically updated to reflect changes. SYSTEM:
(c) the disclosure is made to such These records will be maintained until To the extent not covered by any
agencies, entities, and persons who are they become inactive, at which time other system, this system covers current
reasonably necessary to assist in efforts they will be retired or destroyed in and past FDIC employees, contractors,
to respond to the suspected or accordance with National Archives and volunteers, visitors, and others involved
confirmed compromise and prevent, Records Administration and FDIC in the investigation of accidents,
minimize, or remedy such harm; Records Retention and Disposition injuries, criminal conduct, and related
(5) To appropriate Federal, State, and Schedules. Disposal is by shredding or civil matters involving the FDIC.
local authorities in connection with other appropriate disposal systems.
hiring or retaining an individual, CATEGORIES OF RECORDS IN THE SYSTEM:
conducting a background security or Director, Division of Supervision and This system contains investigative
suitability investigation, adjudication of Consumer Protection, FDIC, 550 17th reports, correspondence and other
liability, or eligibility for a license, Street, NW., Washington, DC 20429. communications that may include,
contract, grant, or other benefit; without limitation, name, home and
(6) To appropriate Federal, State, and NOTIFICATION PROCEDURE: office address and phone numbers,
local authorities, agencies, arbitrators, Individuals wishing to determine if physical characteristics, and vehicle
and other parties responsible for they are named in this system of records information.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM: (5) To appropriate Federal, State, and or to the Legal Division, FOIA & Privacy
Section 9 of the Federal Deposit local authorities in connection with Act Group, FDIC, 550 17th Street, NW.,
Insurance Act (12 U.S.C. 1819). hiring or retaining an individual, Washington, DC 20429, in accordance
conducting a background security or with FDIC regulations at 12 CFR Part
PURPOSE(S):
suitability investigation, adjudication of 310. Individuals requesting their records
This system of records is used to liability, or eligibility for a license, must provide their name, address and a
support the administration and contract, grant, or other benefit; notarized statement attesting to their
maintenance of a safety and security (6) To appropriate Federal, State, and identity.
incident investigation, tracking and local authorities, agencies, arbitrators,
reporting system involving FDIC RECORD ACCESS PROCEDURES:
and other parties responsible for
facilities, property, personnel, processing any personnel actions or See ‘‘Notification Procedure’’ above.
contractors, volunteers, or visitors. conducting administrative hearings or CONTESTING RECORD PROCEDURES:
corrective actions or grievances or See ‘‘Notification Procedure’’ above.
SYSTEM, INCLUDING CATEGORIES OF USERS AND appeals, or if needed in the performance Individuals wishing to contest or amend
THE PURPOSES OF SUCH USES: of other authorized duties; information maintained in this system
In addition to those disclosures (7) To appropriate Federal agencies of records should specify the
generally permitted under 5 U.S.C. and other public authorities for use in information being contested, their
552a(b) of the Privacy Act, all or a records management inspections; reasons for contesting it, and the
(8) To contractors, grantees, proposed amendment to such
portion of the records or information
volunteers, and others performing or information in accordance with FDIC
working on a contract, service, grant, regulations at 12 CFR Part 310.
disclosed outside the FDIC as a routine
use as follows: RECORD SOURCE CATEGORIES:
(1) To appropriate Federal, State, and Federal Government; and
(9) To officials of a labor organization The sources of records in this category
when relevant and necessary to their include current FDIC employees,
duties of exclusive representation contractors, members of the public,
concerning personnel policies, witnesses, law enforcement officials,
statute, rule, regulation, or order issued, medical providers, and other parties
when the information indicates a providing information to the FDIC to
conditions.
violation or potential violation of law, facilitate an inquiry or resolve the
whether civil, criminal, or regulatory in POLICIES AND PRACTICES FOR STORING,
complaint.
nature, and whether arising by general RETRIEVING, ACCESSING, RETAINING, AND
statute or particular program statute, or DISPOSING OF RECORDS IN THE SYSTEM: EXEMPTIONS CLAIMED FOR THE SYSTEM:
by regulation, rule, or order issued STORAGE: Certain records contained within this
pursuant thereto; Records are stored in electronic media system of records may be exempted
(2) To a court, magistrate, or other and paper format within individual file from certain provisions of the Privacy
administrative body in the course of folders. Act (5 U.S.C. 552a) pursuant to 5 U.S.C.
presenting evidence, including 552a(c)(3), (d)(5), (e)(1), (e)(4)(G), (H),
disclosures to counsel or witnesses in RETRIEVABILITY: and (I), (f) and (k).
the course of civil discovery, litigation, Records are indexed and retrieved by
or settlement negotiations or in FDIC–30–64–0010
name, date, or case number.
connection with criminal proceedings, SYSTEM NAME:
SAFEGUARDS:
when the FDIC is a party to the Investigative Files of the Office of
proceeding or has a significant interest Electronic records are password-
Inspector General.
in the proceeding, to the extent that the protected and accessible only by
information is determined to be relevant authorized personnel. Paper records are SECURITY CLASSIFICATION:
and necessary; maintained in lockable metal file Unclassified but sensitive.
(3) To a congressional office in cabinets accessible only to authorized
SYSTEM LOCATION:
response to an inquiry made by the personnel.
congressional office at the request of the FDIC Office of Inspector General
RETENTION AND DISPOSAL: (OIG), 3501 North Fairfax Drive,
individual who is the subject of the
Paper records and electronic media Arlington, VA 22226. In addition,
record;
(4) To appropriate Federal, State, local are retained for five years after their records are maintained in OIG field
creation in accordance with the FDIC offices. OIG field office locations can be
Records Retention and Disposition obtained by contacting the Assistant
it is suspected or confirmed that the
Schedule. Disposal is by shredding or Inspector General for Investigations at
security or confidentiality of
other appropriate disposal systems. said address.
information in the system has been
compromised; (b) there is a risk of harm SYSTEM MANAGER(S) AND ADDRESS: CATEGORIES OF INDIVIDUALS COVERED BY THE
to economic or property interests, Associate Director, Division of SYSTEM:
identity theft or fraud, or harm to the Administration, FDIC, 550 17th Street, Current and former FDIC employees
security or integrity of this system or NW., Washington, DC 20429. and individuals involved in or
other systems or programs that rely associated with FDIC programs and
upon the compromised information; and NOTIFICATION PROCEDURE: operations including contractors,
(c) the disclosure is made to such Individuals wishing to determine if subcontractors, vendors and other
agencies, entities, and persons who are they are named in this system of records individuals associated with
reasonably necessary to assist in efforts or who are seeking access or investigative inquiries and investigative
to respond to the suspected or amendment to records maintained in cases, including, but not limited to,
confirmed compromise and prevent, this system of records must submit their witnesses, complainants, suspects and
minimize, or remedy such harm; request in writing to Privacy@FDIC.Gov those contacting the OIG Hotline.
CATEGORIES OF RECORDS IN THE SYSTEM: 552a(b) of the Privacy Act, all or a necessary to assist in the conduct of the
Investigative files, including portion of the records or information investigation;
memoranda, computer-generated contained in this system may be (7) To third-party sources during the
background information, disclosed outside the FDIC as a routine course of an investigation only such
correspondence, electronic case use as follows: information as determined to be
management and tracking files, reports (1) To the appropriate Federal, State, necessary and pertinent to the
of investigations with related exhibits, local, foreign or international agency or investigation in order to obtain
statements, affidavits, records or other authority responsible for investigating information or assistance relating to an
pertinent documents, reports from or to or prosecuting a violation of or for audit, trial, hearing, or any other
other law enforcement bodies, enforcing or implementing a statute, authorized activity of the OIG;
pertaining to violations or potential rule, regulation, or order, when the (8) To a congressional office in
violations of criminal laws, fraud, record, either by itself or in combination response to a written inquiry made by
waste, and abuse with respect to with other information, indicates a the congressional office at the request of
administration of FDIC programs and violation or potential violation of law, the individual to whom the records
operations, and violations of employee or contract, whether civil, criminal, or pertain;
and contractor Standards of Conduct as regulatory in nature, and whether (9) To a Federal, State, or local agency
arising by general statute or particular maintaining civil, criminal, or other
set forth in section 12(f) of the Federal
program statute, or by regulation, rule, relevant enforcement information or
Deposit Insurance Act (12 U.S.C.
or order issued pursuant thereto; other pertinent information, such as
1822(f)), 12 CFR Parts 336, 366, and 5
(2) To a court, magistrate, alternative current licenses, if necessary for the
CFR Parts 2634, 2635, and 3201.
dispute resolution mediator or FDIC to obtain information concerning
Records in this system may contain
administrative tribunal in the course of the hiring or retention of an employee,
personally identifiable information such
presenting evidence, including the issuance of a security clearance, the
as names, social security numbers, dates
disclosures to counsel or witnesses in letting of a contract, or the issuance of
of birth and addresses.
the course of civil discovery, litigation, a license, grant, or other benefit;
AUTHORITY FOR MAINTENANCE OF THE SYSTEM: or settlement negotiations or in (10) To a Federal agency responsible
Section 9 of the Federal Deposit connection with criminal proceedings for considering suspension or
Insurance Act (12 U.S.C. 1819); the when the FDIC or OIG is a party to the debarment action where such record is
Inspector General Act of 1978, as proceeding or has a significant interest determined to be necessary and
amended (5 U.S.C. app.). in the proceeding and the information is relevant;
determined to be relevant and (11) To a consultant, person or entity
PURPOSE: necessary; who contracts or subcontracts with the
Pursuant to the Inspector General Act, (3) To the FDIC’s or another Federal FDIC or OIG, to the extent necessary for
the system is maintained for the agency’s legal representative, including the performance of the contract or
purposes of (1) conducting and the U.S. Department of Justice or other subcontract. The recipient of the records
documenting investigations by the OIG retained counsel, when the FDIC, OIG or shall be required to comply with the
or other investigative agencies regarding any employee thereof is a party to requirements of the Privacy Act of 1974,
FDIC programs and operations in order litigation or administrative proceeding as amended (5 U.S.C. 552a);
to determine whether employees or or has a significant interest in the (12) To a governmental, public or
other individuals have been or are litigation or proceeding; professional or self-regulatory licensing
engaging in waste, fraud and abuse with (4) To appropriate Federal, State, local organization when such record
respect to the FDIC’s programs or authorities, and other entities when (a) indicates, either by itself or in
operations and reporting the results of it is suspected or confirmed that the combination with other information, a
investigations to other Federal agencies, security or confidentiality of violation or potential violation of
other public authorities or professional information in the system has been professional standards, or reflects on the
organizations which have the authority compromised; (b) there is a risk of harm moral, educational, or professional
to bring criminal or civil or to economic or property interests, qualifications of an individual who is
administrative actions, or to impose identity theft or fraud, or harm to the licensed or who is seeking to become
other disciplinary sanctions; (2) security or integrity of this system or licensed;
documenting the outcome of OIG other systems or programs that rely (13) To the U.S. Office of Personnel
investigations; (3) maintaining a record upon the compromised information; and Management, Government
of the activities which were the subject (c) the disclosure is made to such Accountability Office, Office of
of investigations; (4) reporting agencies, entities, and persons who are Government Ethics, Merit Systems
investigative findings to other FDIC reasonably necessary to assist in efforts Protection Board, Office of Special
components or divisions for their use in to respond to the suspected or Counsel, Equal Employment
operating and evaluating their programs confirmed compromise and prevent, Opportunity Commission, Department
or operations, and in the imposition of minimize, or remedy such harm; of Justice, Office of Management and
civil or administrative sanctions; and (5) (5) To a grand jury agent pursuant Budget or the Federal Labor Relations
acting as a repository and source for either to a Federal or State grand jury Authority of records or portions thereof
information necessary to fulfill the subpoena or to a prosecution request determined to be relevant and necessary
reporting requirements of the Inspector that such record be released for the to carrying out their authorized
General Act or those of other federal purpose of its introduction to a grand functions, including but not limited to
instrumentalities. jury; a request made in connection with
(6) To the subjects of an investigation hiring or retaining an employee,

ROUTINE USES OF RECORDS MAINTAINED IN THE and their representatives during the rendering advice requested by OIG,
SYSTEM, INCLUDING CATEGORIES OF USERS AND course of an investigation and to any issuing a security clearance, reporting
PURPOSES OF SUCH USES: other person or entity that has or may an investigation of an employee,
In addition to those disclosures have information relevant or pertinent reporting an investigation of prohibited
generally permitted under 5 U.S.C. to the investigation to the extent personnel practices, letting a contract or
issuing a grant, license, or other benefit offices accessible only by authorized EXEMPTIONS CLAIMED FOR THE SYSTEM:
by the requesting agency, but only to the personnel. This system of records, to the extent
extent that the information disclosed is that it consists of information compiled
necessary and relevant to the requesting for the purpose of criminal
agency’s decision on the matter; Data maintained in file folders is investigations, has been exempted from
(14) To the Department of the retained for ten years and then the requirements of subsections (c)(3)
Treasury, federal debt collection destroyed by shredding. The retention and (4); (d); (e)(1), (2) and (3); (e)(4)(G)
centers, other appropriate federal period for electronic system data is ten and (H); (e)(5); (e)(8); (e)(12); (f); (g); and
agencies, and private collection years. However, the manner of (h) of the Privacy Act pursuant to 5
contractors or other third parties disposing of electronic system records U.S.C. 552a(j)(2). In addition, this
authorized by law, for the purpose of has not been determined. This system of records, to the extent that it
collecting or assisting in the collection determination will depend on expected consists of investigatory material
of delinquent debts owed to the FDIC or future guidance from legislation or from compiled: (A) For other law
to obtain information in the course of an the National Archives and Records enforcement purposes (except where an
investigation (to the extent permitted by Administration. Until that individual has been denied any right,
law). Disclosure of information determination is made, electronic privilege, or benefit for which he or she
contained in these records will be system records may be retained would otherwise be entitled to or
limited to the individual’s name, Social indefinitely. eligible for under Federal law, so long
Security number, and other information as the disclosure of such information
necessary to establish the identity of the would not reveal the identity of a source
individual, and the existence, validity, Deputy Assistant Inspector General who furnished information to the FDIC
amount, status and history of the debt; for Investigations, FDIC Office of under an express promise that his or her
and Inspector General, 3501 North Fairfax identity would be kept confidential); or
(15) To other Federal Offices of Drive, Arlington, VA 22226. (B) solely for purposes of determining
Inspector General or other entities for suitability, eligibility, or qualifications
the purpose of conducting quality for Federal civilian employment or
assessments or peer reviews of the OIG, Individuals wishing to determine if Federal contracts, the release of which
or its investigative components, or for they are named in this system of records would reveal the identity of a source
statistical purposes. or who are seeking access or who furnished information to the FDIC
amendment to records maintained in on a confidential basis, has been
Note: In addition to the foregoing, a record
which is contained in this system and
this system of records must submit their exempted from the requirements of
derived from another FDIC system of records request in writing to Privacy@FDIC.Gov subsections (c)(3); (d); (e)(1); (e)(4)(G)
may be disclosed as a routine use as specified or to the Legal Division, FOIA & Privacy and (H); and (f) of the Privacy Act
in the published notice of the system of Act Group, FDIC, 550 17th Street, NW., pursuant to 5 U.S.C. 552a(k)(2) and
records from which the record is derived. Washington, DC 20429, in accordance (k)(5), respectively.
with FDIC regulations at 12 CFR Part
DISCLOSURE TO CONSUMER REPORTING 310. Individuals requesting their records FDIC–30–64–0011
AGENCIES: must provide their name, address and a
SYSTEM NAME:
Pursuant to 5 U.S.C. 552a(b)(12), notarized statement attesting to their
disclosures may be made from this identity. Corporate Recruiting, Evaluating and
system to consumer reporting agencies Electronic Referral System.
Note: This system contains records that are
as defined in the Fair Credit Reporting exempt under 5 U.S.C. 552a(j)(2), (k)(2) and SECURITY CLASSIFICATION:
Act (15 U.S.C. 1681a(f)) or the Federal (k)(5). See ‘‘Exemptions Claimed for the Unclassified but sensitive.
Claims Collection Act of 1966 (31 U.S.C. System’’ below.
3701(a)(3)). SYSTEM LOCATION:
RECORD ACCESS PROCEDURES: Human Resources Branch, Division of
RETRIEVING, ACCESSING, RETAINING AND See ‘‘Notification Procedure’’ above. Administration, FDIC, 3501 North
DISPOSING OF RECORDS IN THE SYSTEM: Fairfax Drive, Arlington, VA 22226.
STORAGE: CATEGORIES OF INDIVIDUALS COVERED BY THE
See ‘‘Notification Procedure’’ above. SYSTEM:
Records are stored in electronic media Individuals wishing to contest or amend
and in paper format within individual information maintained in this system Individuals filing applications for
file folders. should specify the information being employment with the FDIC in response
contested, the reasons for contesting it, to advertised position vacancy
RETRIEVABILITY: announcements.
and the proposed amendment to such
information in accordance with FDIC CATEGORIES OF RECORDS IN THE SYSTEM:
name of individual, unique
regulations at 12 CFR Part 310. Position vacancy announcement
investigation number assigned, referral
number, social security number, or Note: This system contains records that are information such as position title, series
investigative subject matter. exempt under 5 U.S.C. 552a(j)(2), (k)(2) and and grade level(s), office and duty
(k)(5). See ‘‘Exemptions Claimed for the location, opening and closing date of the
SAFEGUARDS: System’’ below. announcement, and dates of referral and
The electronic system files are return of lists of qualified candidates;
accessible only by authorized personnel applicant personal data such as name,

and are safeguarded with user Current and former employees of the address, other contact information,
passwords and authentication, network/ FDIC, other government employees, social security number, sex, veterans’
database permission, and software private individuals, vendors, preference and federal competitive
controls. File folders are maintained in contractors, subcontractors, witnesses status; and applicant qualification and
lockable metal file cabinets and lockable and informants. processing information such as
qualifications, grade level eligibility, to respond to the suspected or NOTIFICATION PROCEDURE:

reason for ineligibility, referral status, confirmed compromise and prevent, Individuals wishing to determine if
and dates of notification. minimize, or remedy such harm; they are named in this system of records
(5) To appropriate Federal, State, and or who are seeking access or
local authorities in connection with amendment to records maintained in
Section 9 of the Federal Deposit hiring or retaining an individual, this system of records must submit their
Insurance Act (12 U.S.C. 1819); 5 U.S.C. conducting a background security or request in writing to Privacy@FDIC.Gov
1104. suitability investigation, adjudication of or to the Legal Division, FOIA & Privacy
PURPOSE:
liability, or eligibility for a license, Act Group, FDIC, 550 17th Street, NW.,
contract, grant, or other benefit; Washington, DC 20429, in accordance
The records are collected and (6) To appropriate Federal, State, and with FDIC regulations at 12 CFR Part
maintained to monitor and track local authorities, agencies, arbitrators, 310. Individuals requesting their records
individuals filing employment and other parties responsible for must provide their name, address and a
applications with the FDIC and to assess processing any personnel actions or notarized statement attesting to their
recruiting goals and objectives. conducting administrative hearings or identity.
ROUTINE USES OF RECORDS MAINTAINED IN THE corrective actions or grievances or
appeals, or if needed in the performance RECORD ACCESS PROCEDURES:
PURPOSES OF SUCH USES: of other authorized duties; See ‘‘Notification Procedure’’ above.
In addition to those disclosures (7) To appropriate Federal agencies
generally permitted under 5 U.S.C. and other public authorities for use in
records management inspections; See ‘‘Notification Procedure’’ above.
(8) To contractors, grantees, Individuals wishing to contest or amend
volunteers, and others performing or information maintained in this system
working on a contract, service, grant, should specify the information being
disclosed outside the FDIC as a routine
cooperative agreement, or project for the contested, the reasons for contesting it,
use as follows:
Federal Government; and and the proposed amendment to such
(9) To officials of a labor organization information in accordance with FDIC
when relevant and necessary to their regulations at 12 CFR Part 310.
of, or for enforcing or implementing a duties of exclusive representation RECORD SOURCE CATEGORIES:
statute, rule, regulation, or order issued, concerning personnel policies,
Information originates from position
when the information indicates a practices, and matters affecting working
vacancy announcements, applications
violation or potential violation of law, conditions.
for employment submitted by
whether civil, criminal, or regulatory in POLICIES AND PRACTICES FOR STORING, individuals, and the applicant
nature, and whether arising by general RETRIEVING, ACCESSING, RETAINING, AND qualification and processing system.
statute or particular program statute, or DISPOSING OF RECORDS IN THE SYSTEM:
by regulation, rule, or order issued EXEMPTIONS CLAIMED FOR THE SYSTEM:
STORAGE:
pursuant thereto; None.
(2) To a court, magistrate, or other Records are stored in electronic
administrative body in the course of media. FDIC–30–64–0012
presenting evidence, including RETRIEVABILITY: SYSTEM NAME:
Indexed and retrieved by name and Financial Information Management
social security number of individual Records.
connection with criminal proceedings, applicant.
when the FDIC is a party to the SAFEGUARDS: Unclassified but sensitive.
proceeding or has a significant interest Electronic files are password
in the proceeding, to the extent that the SYSTEM LOCATION:
information is determined to be relevant authorized personnel. Network servers Division of Finance, FDIC, 3501 North
and necessary; are located in a locked room with Fairfax Drive, Arlington, VA 22226.
(3) To a congressional office in physical access limited to only Records concerning garnishments,
response to an inquiry made by the authorized personnel. attachments, wage assignments and
congressional office at the request of the related records concerning FDIC
individual who is the subject of the RETENTION AND DISPOSAL: employees are located with the General
record; These records will be maintained Counsel, Legal Division, FDIC, 550 17th
(4) To appropriate Federal, State, local until they become inactive, at which Street NW., Washington, DC 20429.
authorities, and other entities when (a) time they will be retired or destroyed in
it is suspected or confirmed that the CATEGORIES OF INDIVIDUALS COVERED BY THE
accordance with National Archives and SYSTEM:
security or confidentiality of Records Administration and FDIC
information in the system has been Records Retention and Disposition Current and former employees,
compromised; (b) there is a risk of harm Schedules. Disposal is by shredding or current and former vendors and
to economic or property interests, other appropriate disposal systems. contractors providing goods and/or
identity theft or fraud, or harm to the services to the FDIC, current and former
FDIC customers, and individuals who
security or integrity of this system or SYSTEM MANAGER(S) AND ADDRESS:

other systems or programs that rely Assistant Director, Information were depositors or claimants of failed
upon the compromised information; and Systems and Services Section, Human financial institutions for which the FDIC
(c) the disclosure is made to such Resources Branch, Division of was appointed receiver.
agencies, entities, and persons who are Administration, FDIC, 3501 North Note: Only records reflecting personal
reasonably necessary to assist in efforts Fairfax Drive, Arlington, VA 22226. information are subject to the Privacy Act.
This system also contains records concerning receiver include name, address, and it is suspected or confirmed that the
failed financial institution receiverships, payment amount; tax ID numbers or security or confidentiality of
corporations, other business entities, and social security numbers are also information in the system has been
organizations whose records are not subject
to the Privacy Act.
included for depositors or claimants compromised; (b) there is a risk of harm
when an informational tax return must to economic or property interests,
be filed. The records also include identity theft or fraud, or harm to the
general ledger and detailed trial security or integrity of this system or
This system contains (1) employee
balances and supporting data. other systems or programs that rely
payroll, benefit, and disbursement-
related records; (2) contractor and upon the compromised information; and
vendor invoices and other accounts (c) the disclosure is made to such
Sections 9 and 10(a) of the Federal agencies, entities, and persons who are
payable records; (3) customer records Deposit Insurance Act (12 U.S.C. 1819
related to accounts receivable; (4) reasonably necessary to assist in efforts
and 1820(a)). to respond to the suspected or
payment records for individuals who
were depositors or claimants of failed PURPOSE:
financial institutions for which the FDIC minimize, or remedy such harm;
The records are maintained for the (5) To appropriate Federal, State, and
was appointed receiver; and (5) FDIC and the failed financial institution
accounting and financial management local authorities in connection with
receiverships managed by the FDIC. The hiring or retaining an individual,
records. The payroll and/or records are used to manage and account
disbursement records include conducting a background security or
for financial transactions and financial suitability investigation, adjudication of
employees’ mailing addresses and home activities of the FDIC. The records and
addresses; financial institution account liability, or eligibility for a license,
associated databases and subsystems contract, grant, or other benefit;
information; social security number and provide a data source for the production
unique employee identification number; (6) To appropriate Federal, State, and
of reports and documentation for
rate and amount of pay; tax exemptions; local authorities, agencies, arbitrators,
internal and external management
tax deductions for employee payments; and other parties responsible for
reporting associated with the financial
and corporate payments information for processing any personnel actions or
operations of the FDIC.
tax reporting. Records relating to conducting administrative hearings or
employee claims for reimbursement of ROUTINE USES OF RECORDS MAINTAINED IN THE corrective actions or grievances or
official travel expenses include travel SYSTEM, INCLUDING CATEGORIES OF USERS AND appeals, or if needed in the performance
authorizations, vouchers showing THE PURPOSES OF SUCH USES: of other authorized duties;
amounts claimed, exceptions taken as a In addition to those disclosures (7) To appropriate Federal agencies
result of audit, and amounts paid. Other generally permitted under 5 U.S.C. and other public authorities for use in
records maintained on employees 552a(b) of the Privacy Act, all or a records management inspections;
include reimbursement claims for portion of the records or information (8) To contractors, grantees,
relocation expenses consisting of contained in this system may be volunteers, and others performing or
authorizations, advances, vouchers of disclosed outside the FDIC as a routine working on a contract, service, grant,
amounts claimed and amounts paid; use as follows: cooperative agreement, or project for the
reimbursement for educational expenses (1) To appropriate Federal, State, and Federal Government;
or professional membership dues and local authorities responsible for (9) To officials of a labor organization
licensing fees; awards, bonuses, and investigating or prosecuting a violation when relevant and necessary to their
buyout payments; Life-Cycle and other of, or for enforcing or implementing a duties of exclusive representation
reimbursements/payments; advances or statute, rule, regulation, or order issued, concerning personnel policies,
other funds owed to the FDIC; and when the information indicates a practices, and matters affecting working
garnishments, attachments, wage violation or potential violation of law, conditions;
assignments or related records. Copies whether civil, criminal, or regulatory in (10) To auditors employed by the U.S.
of receipts/invoices provided to the nature, and whether arising by general Government Accountability Office;
FDIC for reimbursement from statute or particular program statute, or (11) To the Internal Revenue Service
employees may contain credit card or by regulation, rule, or order issued and appropriate State and local taxing
other identifying account information. pursuant thereto; authorities;
Records on individuals who are not (2) To a court, magistrate, or other (12) To vendors, carriers, or other
employees of the FDIC consist of all administrative body in the course of appropriate third parties by the FDIC
documents relating to the purchase of presenting evidence, including Office of Inspector General for the
goods and/or services from those disclosures to counsel or witnesses in purpose of verification, confirmation, or
individuals including contractual the course of civil discovery, litigation, substantiation during the performance
documents, vendor addresses and or settlement negotiations or in of audits or investigations; and
financial institution account connection with criminal proceedings, (13) To the Department of the
information, vendor invoice statements; when the FDIC is a party to the Treasury, federal debt collection
amounts paid, and vendor tax proceeding or has a significant interest centers, other appropriate federal
identification number. Copies of in the proceeding, to the extent that the agencies, and private collection
documentation supporting vendor information is determined to be relevant contractors or other third parties
invoice statements may contain and necessary; authorized by law, for the purpose of
identifying data, such as account (3) To a congressional office in collecting or assisting in the collection
number. Customer information is also response to an inquiry made by the of delinquent debts owed to the FDIC.
captured as necessary for the collection congressional office at the request of the Disclosure of information contained in
of accounts receivable. Payment records individual who is the subject of the these records will be limited to the
for individuals who were depositors or record; individual’s name, Social Security
claimants of failed financial institutions (4) To appropriate Federal, State, local number, and other information
for which the FDIC was appointed authorities, and other entities when (a) necessary to establish the identity of the
individual, and the existence, validity, CONTESTING RECORD PROCEDURES: related documents and correspondence.
amount, status and history of the debt. See ‘‘Notification Procedure’’ above. It also contains FDIC asset files,
Individuals wishing to contest or amend including judgments obtained,
DISCLOSURE TO CONSUMER REPORTING
information maintained in this system restitution orders and loan deficiencies
AGENCIES:
should specify the information being arising from the liquidation of the
Pursuant to 5 U.S.C. 552a(b)(12), contested, the reasons for contesting it, obligor’s loan asset(s) and associated
disclosures may be made from this and the proposed amendment to such collateral, if any; information relating to
system to consumer reporting agencies information in accordance with FDIC the obligor’s financial condition such as
as defined in the Fair Credit Reporting regulations at 12 CFR Part 310. financial statements, income tax returns,
Act (15 U.S.C. 1681a(f)) or the Federal asset or collateral verifications or
Claims Collection Act of 1966 (31 U.S.C. RECORD SOURCE CATEGORIES: searches, appraisals, and potential
3701(a)(3)). The information is obtained from the sources of repayment. FDIC asset files
individual upon whom the record is also include intra-or inter-agency
RETRIEVING, ACCESSING, RETAINING, AND maintained; other government agencies; memoranda, notes relating to the
DISPOSING OF RECORDS IN THE SYSTEM: contractors; or from another FDIC office liquidation of the loan obligation or
maintaining the records in the asset, correspondence and any other
STORAGE:
performance of their duties. Where an documents related to the liquidation of
Records are stored in electronic media employee is subject to a tax lien, a the loan obligation or asset. FDIC’s
and paper format in file folders. bankruptcy, an attachment, or a wage receivership claims files may include all
RETRIEVABILITY: garnishment, information also is information related to claims filed with
obtained from the appropriate taxing or the receivership estate by a failed
Electronic media are indexed and financial institution’s landlords,
judicial authority.
retrievable by social security number or creditors, service providers or other
specialized identifying number; paper EXEMPTIONS CLAIMED FOR THE SYSTEM: obligees or claimants. Note: Records
format records are generally indexed None. held by the FDIC as receiver are a part
and retrieved by name of this system only to the extent that the
FDIC–30–64–0013
SAFEGUARDS: state law governing the receivership is
Electronic files are password SYSTEM NAME: not inconsistent or does not otherwise
protected and accessible only by Insured Financial Institution establish specific requirements.
authorized personnel. Paper format Liquidation Records. AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
records are maintained in secure areas. Sections 9, 11, and 13 of the Federal
Deposit Insurance Act (12 U.S.C. 1819,
Unclassified but sensitive. 1821, and 1823) and applicable State
Financial records are retained by the
SYSTEM LOCATION: laws governing the liquidation of assets
FDIC for ten years in electronic format and wind-up of the affairs of failed
and then transferred to the Federal Division of Resolutions and
Receiverships, FDIC, 550 17th Street, financial institutions.
Records Center or destroyed. Disposal is
by shredding or other appropriate NW., Washington, DC 20429; and Field PURPOSE:
disposal systems. Operations Branch, Division of The records are maintained to: (a)
Resolutions and Receiverships, FDIC, Identify and manage loan obligations
SYSTEM MANAGER(S) AND ADDRESS: 1910 Pacific Avenue, Dallas, Texas and assets acquired from failed FDIC-
Director, Division of Finance, FDIC, 75201. insured financial institutions for which
3501 North Fairfax Drive, Arlington, VA the FDIC was appointed receiver of
22226. For records about FDIC liquidator or FDIC-insured financial
SYSTEM:
employees concerning garnishments, institutions that were provided
attachments, wage assignments and Individuals who were obligors or
assistance by the FDIC; (b) identify,
related records, the system manager is obligees of FDIC-insured financial
manage and discharge the obligations to
the General Counsel, Legal Division, institutions for which the FDIC was
creditors, obligees and other claimants
FDIC, 550 17th Street, NW., appointed receiver or liquidator of
of FDIC-insured financial institutions
Washington, DC 20429. FDIC-insured financial institutions that for which the FDIC was appointed
were provided assistance by the FDIC receiver or liquidator of FDIC-insured
NOTIFICATION PROCEDURE: and the FDIC is acting as liquidator, financial institutions that were provided
Individuals wishing to determine if receiver or conservator of certain of the assistance by the FDIC; and (c) assist
they are named in this system of records financial institution’s assets. Note: Only with financial and management
or who are seeking access or records reflecting personal information reporting. The records support the
amendment to records maintained in are subject to the Privacy Act. This liquidation and receivership functions
this system of records must submit their system also contains records concerning of the FDIC required by applicable
request in writing to Privacy@FDIC.Gov failed financial institution Federal and State statutes.
or to the Legal Division, FOIA & Privacy receiverships, corporations, other
Act Group, FDIC, 550 17th Street, NW., business entities, and organizations ROUTINE USES OF RECORDS MAINTAINED IN THE
Washington, DC 20429, in accordance whose records are not subject to the SYSTEM, INCLUDING CATEGORIES OF USERS AND
Privacy Act. THE PURPOSES OF SUCH USE:
310. Individuals requesting their records In addition to those disclosures
CATEGORIES OF RECORDS IN THE SYSTEM: generally permitted under 5 U.S.C.

must provide their name, address and a
notarized statement attesting to their This system contains the individual’s 552a(b) of the Privacy Act, all or a
identity. files held by the closed financial portion of the records or information
institution or assisted financial contained in this system may be
RECORD ACCESS PROCEDURES: institution, which files may include the disclosed outside the FDIC as a routine
See ‘‘Notification Procedure’’ above. loan or contractual agreement and use as follows:
(1) To appropriate Federal, State, and connection with the fulfillment of a representatives, insurance carrier(s) or
local authorities responsible for claim filed with the FDIC as receiver or underwriters of bankers’ blanket bonds
investigating or prosecuting a violation liquidator. Third party contractors or other financial institution bonds for
of, or for enforcing or implementing a include, but are not limited to, asset failed or assisted FDIC-insured financial
statute, rule, regulation, or order issued, marketing contractors; loan servicers; institutions in conjunction with claims
when the information indicates a appraisers; environmental contractors; made by the FDIC or litigation instituted
violation or potential violation of law, attorneys retained by the FDIC; by the FDIC or others on behalf of the
whether civil, criminal, or regulatory in collection agencies; auditing or FDIC against former officers, directors,
nature, and whether arising by general accounting firms retained to assist in an accountants, lawyers, consultants,
statute or particular program statute, or audit or investigation of FDIC’s appraisers, or underwriters of bankers’
by regulation, rule, or order issued liquidation activities; grantees, blanket bonds or other financial
pursuant thereto; volunteers, and others performing or institution bonds of a failed or assisted
(2) To a court, magistrate, or other working on a contract, service, grant, FDIC-insured financial institution.
administrative body in the course of cooperative agreement, or project for the
presenting evidence, including FDIC; DISCLOSURE TO CONSUMER REPORTING
disclosures to counsel or witnesses in (9) To officials of a labor organization AGENCIES:
the course of civil discovery, litigation, when relevant and necessary to their Pursuant to 5 U.S.C. 552a(b)(12),
or settlement negotiations or in duties of exclusive representation disclosures may be made from this
connection with criminal proceedings, concerning personnel policies, system to consumer reporting agencies
when the FDIC is a party to the practices, and matters affecting working as defined in the Fair Credit Reporting
proceeding or has a significant interest conditions; Act (15 U.S.C. 1681a(f)) or the Federal
in the proceeding, to the extent that the (10) To prospective purchaser(s) of Claims Collection Act of 1966 (31 U.S.C.
information is determined to be relevant the individual’s obligation(s), including 3701(a)(3)).
and necessary; judgments and loan deficiencies, for the
(3) To a congressional office in POLICIES AND PRACTICES FOR STORING,
purpose of informing the prospective
response to an inquiry made by the purchaser(s) about the nature and
congressional office at the request of the quality of the loan obligation(s) to be
individual who is the subject of the purchased; STORAGE:
record; (11) To Federal or State agencies, such Records are stored in electronic media
(4) To appropriate Federal, State, local as the Internal Revenue Service or State and in paper format within individual
authorities, and other entities when (a) taxation authorities, in the performance file folders.
it is suspected or confirmed that the of their governmental duties, such as
security or confidentiality of obtaining information regarding income, RETRIEVABILITY:
information in the system has been including the reporting of income Records are indexed by financial
compromised; (b) there is a risk of harm resulting from a compromise or write-off institution number, name of failed or
to economic or property interests, of a loan obligation; assisted insured institution, and by
identity theft or fraud, or harm to the (12) To participants in the loan name of individual.
security or integrity of this system or obligation in order to fulfill any
SAFEGUARDS:
other systems or programs that rely contractual or incidental responsibilities
upon the compromised information; and in connection with the loan Electronic files are password
(c) the disclosure is made to such participation agreement; protected and accessible only by
agencies, entities, and persons who are (13) To the Department of the authorized personnel. Paper format
reasonably necessary to assist in efforts Treasury, federal debt collection records maintained in individual file
to respond to the suspected or centers, other appropriate federal folders are stored in lockable file
confirmed compromise and prevent, agencies, and private collection cabinets and/or in secured vaults or
minimize, or remedy such harm; contractors or other third parties warehouses and are accessible only by
(5) To appropriate Federal, State, and authorized by law, for the purpose of authorized personnel.
local authorities in connection with collecting or assisting in the collection
hiring or retaining an individual, of delinquent debts owed to the FDIC.
conducting a background security or Disclosure of information contained in Credit/loan files or files concerning
suitability investigation, adjudication of these records will be limited to the the obligees of the failed or assisted
liability, or eligibility for a license, individual’s name, Social Security financial institution are maintained
contract, grant, or other benefit; number, and other information until the receivership claim, loan
(6) To appropriate Federal, State, and necessary to establish the identity of the obligation, judgment, loan deficiency or
local authorities, agencies, arbitrators, individual, and the existence, validity, other asset or liability is sold or
and other parties responsible for amount, status and history of the debt. otherwise disposed of, or for the period
processing any personnel actions or (14) To Federal or State agencies or to of time provided under applicable
conducting administrative hearings or financial institutions where information Federal or State laws pursuant to which
corrective actions or grievances or is relevant to an application or request the FDIC liquidates the assets,
appeals, or if needed in the performance by the individual for a loan, grant, discharges the liabilities or processes
of other authorized duties; financial benefit, or other entitlement; the claims. FDIC asset files will be
(7) To appropriate Federal agencies (15) To Federal or State examiners for maintained until they become inactive,
and other public authorities for use in the purposes of examining borrowing at which time they will be retired or
records management inspections; relationships in operating financial destroyed in accordance with National
(8) To contractors or entities institutions that may be related to an Archives and Records Administration
performing services for the FDIC in obligation of an individual covered by and FDIC Records Retention and
connection with the liquidation of an this system; and Disposition Schedules. Disposal is by
individual’s obligation(s), including (16) To the individual, the shredding or other appropriate disposal
judgments and loan deficiencies or in individual’s counsel or other systems.
SYSTEM MANAGER(S) AND ADDRESS: SYSTEM LOCATION: of, or for enforcing or implementing a
Division of Resolutions and Division of Supervision and statute, rule, regulation, or order issued,
Receiverships, FDIC, 550 17th Street, Consumer Protection, Risk Management when the information indicates a
NW., Washington, DC 20429; and Policy and Exam Oversight Branch, violation or potential violation of law,
Deputy Director, Field Operations FDIC, 550 17th Street, NW., whether civil, criminal, or regulatory in
Branch, FDIC, 1910 Pacific Avenue, Washington, DC 20429. nature, and whether arising by general
Dallas, Texas 75201. statute or particular program statute, or
CATEGORIES OF INDIVIDUALS COVERED BY THE by regulation, rule, or order issued
NOTIFICATION PROCEDURE: SYSTEM:
pursuant thereto;
Individuals wishing to determine if (1) Persons who are or seek to be (2) To a court, magistrate, or other
they are named in this system of records associated with municipal securities administrative body in the course of
or who are seeking access or brokers or municipal securities dealers presenting evidence, including
amendment to records maintained in which are FDIC-insured, state-chartered disclosures to counsel or witnesses in
this system of records must submit their financial institutions (including insured the course of civil discovery, litigation,
request in writing to Privacy@FDIC.Gov state-licensed branches of foreign or settlement negotiations or in
or to the Legal Division, FOIA & Privacy financial institutions), not members of connection with criminal proceedings,
Act Group, FDIC, 550 17th Street, NW., the Federal Reserve System, or are when the FDIC is a party to the
Washington, DC 20429, in accordance subsidiaries, departments, or divisions proceeding or has a significant interest
with FDIC regulations at 12 CFR Part of such financial institutions; in the proceeding, to the extent that the
(2) Persons who are or seek to be information is determined to be relevant
310. Individuals requesting their records
persons associated with U.S. and necessary;
must provide their name, address and a
Government securities dealers or (3) To a congressional office in
notarized statement attesting to their
brokers which are FDIC-insured state- response to an inquiry made by the
identity.
chartered financial institutions, other congressional office at the request of the
RECORD ACCESS PROCEDURES: than members of the Federal Reserve individual who is the subject of the
See ‘‘Notification Procedure’’ above. System. record;
CONTESTING RECORD PROCEDURES: authorities, and other entities when (a)
The records contain identifying it is suspected or confirmed that the
See ‘‘Notification Procedure’’ above. information, detailed educational and
Individuals wishing to contest or amend security or confidentiality of
employment histories, examination information in the system has been
information maintained in this system information, disciplinary information, if
should specify the information being compromised; (b) there is a risk of harm
any, and information concerning the to economic or property interests,
contested, the reasons for contesting it, termination of employment of
and the proposed amendment to such identity theft or fraud, or harm to the
individuals covered by the system. security or integrity of this system or
information in accordance with FDIC Identifying information includes name,
regulations at 12 CFR Part 310. other systems or programs that rely
address, date and place of birth, and upon the compromised information; and
RECORD SOURCE CATEGORIES: may include social security number. (c) the disclosure is made to such
Information is obtained from the AUTHORITY FOR MAINTENANCE OF THE SYSTEM: agencies, entities, and persons who are
individual on whom the record is Sections 15B(c), 15C, and 23 of the reasonably necessary to assist in efforts
maintained; appraisers retained by the Securities Exchange Act of 1934 (15 to respond to the suspected or
originating financial institution or the U.S.C. 78o–4, 78o–5, and 78q and 78w); confirmed compromise and prevent,
FDIC; investigative and/or research and Section 9 of the Federal Deposit minimize, or remedy such harm;
companies; credit bureaus and/or (5) To appropriate Federal, State, and
Insurance Act (12 U.S.C. 1819).
services; loan servicers; court records; local authorities in connection with
references named by the individual; PURPOSE: hiring or retaining an individual,
attorneys or accountants retained by the The records are maintained to comply conducting a background security or
originating financial institution or the with the registration requirements of suitability investigation, adjudication of
FDIC; participants in the obligation(s) of municipal securities dealers, municipal liability, or eligibility for a license,
the individual; officers and employees securities representatives, and U.S. contract, grant, or other benefit;
of the failed or assisted financial Government securities brokers or (6) To appropriate Federal, State, and
institution; congressional offices that dealers and associated persons local authorities, agencies, arbitrators,
may initiate an inquiry; and other contained in the Securities Exchange and other parties responsible for
parties providing services to the FDIC in Act of 1934 and to support the FDIC’s processing any personnel actions or
its capacity as liquidator or receiver. regulatory and supervisory functions. conducting administrative hearings or
corrective actions or grievances or
EXEMPTIONS CLAIMED FOR THE SYSTEM: ROUTINE USES OF RECORDS MAINTAINED IN THE appeals, or if needed in the performance
SYSTEM, INCLUDING CATEGORIES OF USERS AND of other authorized duties;
None. PURPOSES OF SUCH USE: (7) To appropriate Federal agencies
FDIC–30–64–0016 In addition to those disclosures and other public authorities for use in
generally permitted under 5 U.S.C. records management inspections;
SYSTEM NAME: 552a(b) of the Privacy Act, all or a (8) To contractors, grantees,
Professional Qualification Records for portion of the records or information volunteers, and others performing or
Municipal Securities Dealers, Municipal contained in this system may be working on a contract, service, grant,
Securities Representatives, and U.S. disclosed outside the FDIC as a routine cooperative agreement, or project for the
Government Securities Brokers/Dealers. use as follows: Federal Government;
(1) To appropriate Federal, State, and (9) To officials of a labor organization
SECURITY CLASSIFICATION: local authorities responsible for when relevant and necessary to their
Unclassified but sensitive. investigating or prosecuting a violation duties of exclusive representation
concerning personnel policies, RETRIEVABILITY: EXEMPTIONS CLAIMED FOR THE SYSTEM:

practices, and matters affecting working Indexed by name and dealer None.
conditions; registration number or FDIC financial
(10) To the appropriate Federal, State, FDIC–30–64–0017
institution certificate number.
local, or foreign agency or authority or SYSTEM NAME:
SAFEGUARDS:
to the appropriate self-regulatory Employee Medical and Health
organization, as defined in section Electronic files are password
Assessment Records.
3(a)(26) of the Securities Exchange Act protected and accessible only by
of 1934 (15 U.S.C. 78c (a)(26)), to the authorized personnel. Paper format SECURITY CLASSIFICATION:
extent disclosure is determined to be records are stored in file folders in Unclassified but sensitive.
necessary and pertinent for investigating lockable metal file cabinets accessible
only by authorized personnel. SYSTEM LOCATION:
or prosecuting a violation of or for
enforcing or implementing a statute, Health Unit, Corporate Services
rule, regulation, or order, when the Branch, Division of Administration,
These records will be maintained FDIC, located at the following
information by itself or together with
until they become inactive, at which addresses: 550 17th Street, NW.,
additional information indicates a
time they will be retired or destroyed in Washington, DC 20429, and 3501 North
violation or potential violation of law,
accordance with National Archives and Fairfax Drive, Arlington, VA 22226; and
whether civil, criminal, or regulatory in
Records Administration and FDIC Health Units located in FDIC regional
nature, and whether arising by general
Records Retention and Disposition offices. (See Appendix A for a list of the
statute or particular program statute, or
Schedules. Disposal is by shredding or FDIC regional offices and their
regulation, rule or order issued pursuant
other appropriate disposal systems. addresses.)
thereto;
(11) To assist in any proceeding in SYSTEM MANAGER(S) AND ADDRESS: CATEGORIES OF INDIVIDUALS COVERED BY THE
which the Federal securities or banking Examination Specialist, Risk SYSTEM:
laws are in issue or a proceeding Management Policy and Exam Oversight All current and former FDIC
involving the propriety of a disclosure Branch, Division of Supervision and employees and other individuals who
of information contained in this system, Consumer Protection, FDIC, 550 17th seek information, treatment, medical
in which the FDIC or one of its past or Street, NW., Washington, DC 20429. accommodations, or participate in
present employees is a party, to the health screening programs administered
extent that the information is relevant to NOTIFICATION PROCEDURE:
by the FDIC.
the proceeding; Individuals wishing to determine if
(12) To a Federal, State, local, or they are named in this system of records CATEGORIES OF RECORDS IN THE SYSTEM:
foreign governmental authority or a self- or who are seeking access or Medical records of the employee,
regulatory organization if necessary in amendment to records maintained in including name, age, height, weight,
order to obtain information relevant to this system of records must submit their history of certain medical conditions,
an FDIC inquiry concerning a person request in writing to Privacy@FDIC.Gov health screening records; dates of visits
who is or seeks to be associated with a or to the Legal Division, FOIA & Privacy to the FDIC Health Unit, diagnoses, and
municipal securities dealer as a Act Group, FDIC, 550 17th Street, NW., treatments administered; ergonomic
municipal securities principal or Washington, DC 20429, in accordance reviews and assessments; and the name
representative or a U.S. Government with FDIC regulations at 12 CFR Part and telephone number of the person to
securities broker or a U.S. Government 310. Individuals requesting their records contact in the event of a medical
securities dealer; must provide their name, address and a emergency involving the employee.
(13) To a Federal, State, local, or notarized statement attesting to their Note: In addition to the FDIC system of
foreign governmental authority or a self- identity. records, the United States Office of Personnel
regulatory organization in connection RECORD ACCESS PROCEDURES:
Management maintains a government-wide
with the issuance of a license or other system of records (known as OPM/GOVT–
benefit to the extent that the information See ‘‘Notification Procedure’’ above. 10).
is relevant and necessary; and CONTESTING RECORD PROCEDURES:
(14) To a registered dealer, registered AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
broker, registered municipal securities Section 9 of the Federal Deposit
Individuals wishing to contest or amend
dealer, U.S. Government securities Insurance Act (12 U.S.C. 1819).
information maintained in this system
dealer, U.S. Government securities should specify the information being PURPOSE:
broker, or an insured financial contested, the reasons for contesting it,
institution that is a past or present The records are collected and
and the proposed amendment to such maintained to identify potential health
employer of an individual that is the information in accordance with FDIC
subject of a record, or to which such issues and concerns of an individual
regulations at 12 CFR Part 310. and to identify and collect information
individual has applied for employment,
for purposes of identity verification or RECORD SOURCE CATEGORIES: with respect to medical conditions
for purposes of investigating the reported by an individual to the FDIC
Individuals on whom the records are
qualifications of the subject individual. Health Unit and to identify necessary
maintained, municipal securities
contacts in the event of a medical
dealers and U.S. Government securities
POLICIES AND PRACTICES FOR STORING, emergency involving the covered
dealers and brokers (as such dealers are
RETRIEVING, ACCESSING, RETAINING, AND individual.

described in ‘‘Categories of Individuals
Covered by the System’’ above), and ROUTINE USES OF RECORDS MAINTAINED IN THE
STORAGE: Federal, State, local, and foreign SYSTEM, INCLUDING CATEGORIES OF USERS AND
Records are stored in electronic media governmental authorities and self- THE PURPOSES OF SUCH USES:
and in paper format within individual regulatory organizations or agencies In addition to those disclosures
file folders. which regulate the securities industry. generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a (8) To contractors, grantees, Records Administration and FDIC
portion of the records or information volunteers, and others performing or Records Retention and Disposition
contained in this system may be working on a contract, service, grant, Schedules. Disposal is by shredding or
disclosed outside the FDIC as a routine cooperative agreement, or project for the other appropriate disposal systems.
use as follows: Federal Government;
(1) To appropriate Federal, State, and SYSTEM MANAGER(S) AND ADDRESS:
(9) To officials of a labor organization
local authorities responsible for when relevant and necessary to their Health, Safety and Environmental
investigating or prosecuting a violation duties of exclusive representation Program Manager, Corporate Services
of, or for enforcing or implementing a concerning personnel policies, Branch, Division of Administration,
statute, rule, regulation, or order issued, practices, and matters affecting working FDIC, 3501 North Fairfax Drive,
when the information indicates a conditions; Arlington, VA 22226.
violation or potential violation of law, (10) To the appropriate Federal, State NOTIFICATION PROCEDURE:
whether civil, criminal, or regulatory in or local agency when necessary to
nature, and whether arising by general Individuals wishing to determine if
adjudicate a claim (filed by or on behalf
statute or particular program statute, or they are named in this system of records
of the individual) under the Federal
by regulation, rule, or order issued or who are seeking access or
Employees Compensation Act (the
pursuant thereto; amendment to records maintained in
FECA) as codified in 5 U.S.C. 8101–
(2) To a court, magistrate, or other this system of records must submit their
8193, or a retirement, insurance or
administrative body in the course of request in writing to Privacy@FDIC.Gov
health benefit program;
presenting evidence, including or to the Legal Division, FOIA & Privacy
(11) To a Federal, State, or local
disclosures to counsel or witnesses in Act Group, FDIC, 550 17th Street, NW.,
agency to the extent necessary to
the course of civil discovery, litigation, Washington, DC 20429, in accordance
comply with laws governing reporting
or settlement negotiations or in with FDIC regulations at 12 CFR Part
of communicable disease;
connection with criminal proceedings, 310. Individuals requesting their records
(12) To health or life insurance
when the FDIC is a party to the must provide their name, address and a
carriers contracting with the FDIC to
proceeding or has a significant interest notarized statement attesting to their
provide life insurance or to provide
in the proceeding, to the extent that the identity.
health benefits plan, such information
information is determined to be relevant necessary to verify eligibility for RECORD ACCESS PROCEDURES:
and necessary; payment of a claim for life or health
(3) To a congressional office in See ‘‘Notification Procedure’’ above.
benefits;
response to an inquiry made by the (13) To a Health Unit or occupational CONTESTING RECORD PROCEDURES:
congressional office at the request of the safety and health contractors, including See ‘‘Notification Procedure’’ above.
individual who is the subject of the contract nurses, industrial hygienists, Individuals wishing to contest or amend
record; and others retained for the purpose of information maintained in this system
performing any function associated with should specify the information being
the operation of the Health Unit; and contested, the reasons for contesting it,
it is suspected or confirmed that the (14) To the person designated on the and the proposed amendment to such
security or confidentiality of appropriate form as the individual to information in accordance with FDIC
information in the system has been contact in the event of a medical regulations at 12 CFR Part 310.
compromised; (b) there is a risk of harm emergency of the employee.
to economic or property interests, RECORD SOURCE CATEGORIES:
identity theft or fraud, or harm to the POLICIES AND PRACTICES FOR STORING, The records are compiled by the
security or integrity of this system or RETRIEVING, ACCESSING, RETAINING, AND employee and contractor personnel
other systems or programs that rely DISPOSING OF RECORDS IN THE SYSTEM:
during the course of a visit to the Health
upon the compromised information; and STORAGE: Unit for treatment. Records are also
(c) the disclosure is made to such The records are stored in electronic created as a result of the individual’s
agencies, entities, and persons who are media and in paper format within participation in a health screening
reasonably necessary to assist in efforts individual file folders. program, and are used to assist in the
to respond to the suspected or performance of accident/incident
confirmed compromise and prevent, RETRIEVABILITY: investigations, or if the individual
minimize, or remedy such harm; Records are indexed and retrieved by requests an ergonomic assessment or
(5) To appropriate Federal, State, and name. health or medical accommodation. The
local authorities in connection with employee supplies the information
hiring or retaining an individual, SAFEGUARDS:
contained in the emergency contact
conducting a background security or Electronic files are password sheet.
suitability investigation, adjudication of protected and accessible only by
liability, or eligibility for a license, authorized personnel. Paper format EXEMPTIONS CLAIMED FOR THE SYSTEM:
contract, grant, or other benefit; records are stored in lockable metal file None.
(6) To appropriate Federal, State, and cabinets. Access is limited to authorized
local authorities, agencies, arbitrators, FDIC–30–64–0018
employees, authorized employees of the
and other parties responsible for contractor or contract nurses SYSTEM NAME:
processing any personnel actions or responsible for servicing the records in Grievance Records.
conducting administrative hearings or the performance of their duties.
corrective actions or grievances or SECURITY CLASSIFICATION:

appeals, or if needed in the performance RETENTION AND DISPOSAL:
Unclassified but sensitive.
of other authorized duties; These records will be maintained
(7) To appropriate Federal agencies until they become inactive, at which SYSTEM LOCATION:
and other public authorities for use in time they will be retired or destroyed in Human Resources Branch, Division of
records management inspections; accordance with National Archives and Administration, FDIC, 3501 North
Fairfax Drive, Arlington, VA 22226. investigating or prosecuting a violation duties of exclusive representation
Records at the regional level generated of, or for enforcing or implementing a concerning personnel policies,
through grievance procedures statute, rule, regulation, or order issued, practices, and matters affecting working
negotiated with recognized labor when the information indicates a conditions; and
organizations are located in the FDIC violation or potential violation of law, (10) To any source during the course
regional office where originated (See whether civil, criminal, or regulatory in of an investigation only such
Appendix A for a list of the FDIC nature, and whether arising by general information as determined to be
regional offices and their addresses). For statute or particular program statute, or necessary and pertinent to process a
non-headquarters employees, duplicate by regulation, rule, or order issued grievance, to the extent necessary to
copies may be maintained by the pursuant thereto; identify the individual, inform the
Human Resources Branch, Division of (2) To a court, magistrate, or other source of the purpose(s) of the request
Administration, Arlington, VA for the administrative body in the course of and identify the type of information
purpose of coordinating grievance and presenting evidence, including requested.
arbitration proceedings. disclosures to counsel or witnesses in
the course of civil discovery, litigation, POLICIES AND PRACTICES FOR STORING,
CATEGORIES OF INDIVIDUALS COVERED BY THE RETRIEVING, ACCESSING, RETAINING, AND
SYSTEM: DISPOSING OF RECORDS IN THE SYSTEM:
connection with criminal proceedings,
Current or former FDIC employees when the FDIC is a party to the STORAGE:
who have submitted grievances in proceeding or has a significant interest The records are stored in electronic
accordance with part 771 of the United in the proceeding, to the extent that the media and in paper format within
States Office of Personnel Management’s information is determined to be relevant individual file folders.
regulations (5 CFR Part 771) or a and necessary;
negotiated grievance procedure. RETRIEVABILITY:
(3) To a congressional office in
response to an inquiry made by the Records are indexed and retrieved by
CATEGORIES OF RECORDS IN THE SYSTEM: name.
congressional office at the request of the
The system contains records relating individual who is the subject of the
to grievances filed by FDIC employees SAFEGUARDS:
record; Electronic files are password
under Part 771 of the United States (4) To appropriate Federal, State, local
Office of Personnel Management’s protected and accessible only by
regulations, or under 5 U.S.C. 7121. authorized personnel. Paper format
Case files contain documents related to records are stored in lockable metal file
the grievance including statements of cabinets. Access is limited to authorized
witnesses, reports of interviews and employees, authorized employees of the
compromised; (b) there is a risk of harm
hearings, examiner’s findings and contractor or contract nurses
to economic or property interests,
recommendations, a copy of the final responsible for servicing the records in
decision, and related correspondence the performance of their duties.
and exhibits. This system includes files other systems or programs that rely RETENTION AND DISPOSAL:
and records of internal grievance upon the compromised information; and These records will be maintained
procedures that FDIC may establish (c) the disclosure is made to such until they become inactive, at which
through negotiations with recognized agencies, entities, and persons who are time they will be retired or destroyed in
labor organizations. reasonably necessary to assist in efforts accordance with National Archives and
AUTHORITY FOR MAINTENANCE OF THE SYSTEM: to respond to the suspected or Records Administration and FDIC
Section 9 of the Federal Deposit confirmed compromise and prevent, Records Retention and Disposition
Insurance Act (12 U.S.C. 1819) 5 U.S.C. minimize, or remedy such harm; Schedules. Disposal is by shredding or
(5) To appropriate Federal, State, and other appropriate disposal systems.
7121; 5 CFR Part 771.
PURPOSE: hiring or retaining an individual, SYSTEM MANAGER(S) AND ADDRESS:
The information contained in this conducting a background security or Director of Personnel, Human
system is used to make determinations suitability investigation, adjudication of Resources Branch, Division of
and document decisions made on filed liability, or eligibility for a license, Administration, FDIC, 3501 North
grievances and settle matters of contract, grant, or other benefit; Fairfax Drive, Arlington, VA 22226. The
dissatisfaction or concern of covered (6) To appropriate Federal, State, and appropriate FDIC Regional Director for
individuals. Information from this local authorities, agencies, arbitrators, records maintained in FDIC regional
system may be used for preparing and other parties responsible for offices (see Appendix A for a list of the
statistical summary or management processing any personnel actions or FDIC regional offices and their
reports. conducting administrative hearings or addresses).
SYSTEM, INCLUDING CATEGORIES OF USERS AND of other authorized duties; Individuals wishing to determine if
THE PURPOSES OF SUCH USES: (7) To appropriate Federal agencies they are named in this system of records
In addition to those disclosures and other public authorities for use in or who are seeking access or
generally permitted under 5 U.S.C. records management inspections; amendment to records maintained in
552a(b) of the Privacy Act, all or a (8) To contractors, grantees, this system of records must submit their
portion of the records or information volunteers, and others performing or request in writing to Privacy@FDIC.Gov
contained in this system may be working on a contract, service, grant, or to the Legal Division, FOIA & Privacy
disclosed outside the FDIC as a routine cooperative agreement, or project for the Act Group, FDIC, 550 17th Street, NW.,
use as follows: Federal Government; Washington, DC 20429, in accordance
(1) To appropriate Federal, State, and (9) To officials of a labor organization with FDIC regulations at 12 CFR part
local authorities responsible for when relevant and necessary to their 310. Individuals requesting their records
must provide their name, address and a purchasers of assets (primarily loans suitability investigation, adjudication of
notarized statement attesting to their and owned real estate) from the FDIC. liability, or eligibility for a license,
identity. The information is utilized by the FDIC contract, grant, or other benefit;
in the marketing of assets, to identify (6) To appropriate Federal, State, and
potential purchasers and to solicit bids local authorities, agencies, arbitrators,
See ‘‘Notification Procedure’’ above. for assets. The information in this and other parties responsible for
CONTESTING RECORD PROCEDURES: system is used to support the FDIC’s processing any personnel actions or
liquidation/receivership functions. conducting administrative hearings or
Individuals wishing to contest or amend ROUTINE USES OF RECORDS MAINTAINED IN THE
appeals, or if needed in the performance
information maintained in this system SYSTEM, INCLUDING CATEGORIES OF USERS AND
of other authorized duties;
should specify the information being THE PURPOSES OF SUCH USES:
contested, the reasons for contesting it, In addition to those disclosures and other public authorities for use in
and the proposed amendment to such generally permitted under 5 U.S.C. records management inspections;
information in accordance with FDIC 552a(b) of the Privacy Act, all or a (8) To contractors, grantees,
regulations at 12 CFR part 310. portion of the records or information volunteers, and others performing or
contained in this system may be working on a contract, service, grant,
disclosed outside the FDIC as a routine cooperative agreement, or project for the
Information in this system is use as follows:
provided: (1) By the individual on Federal Government;
(1) To appropriate Federal, State, and (9) To officials of a labor organization
whom the record is maintained; (2) by local authorities responsible for
testimony of witnesses; (3) by agency when relevant and necessary to their
investigating or prosecuting a violation duties of exclusive representation
officials; and (4) from related of, or for enforcing or implementing a
correspondence from organizations or concerning personnel policies,
statute, rule, regulation, or order issued, practices, and matters affecting working
persons. when the information indicates a conditions; and
EXEMPTIONS CLAIMED FOR THE SYSTEM: violation or potential violation of law, (10) To other Federal or State agencies
None. whether civil, criminal, or regulatory in and to contractors to assist in the
nature, and whether arising by general marketing and sale of loans, real estate,
FDIC–30–64–0019 statute or particular program statute, or or other assets held by the FDIC.
by regulation, rule, or order issued
SYSTEM NAME:
pursuant thereto; POLICIES AND PRACTICES FOR STORING,
Potential Bidders List. (2) To a court, magistrate, or other RETRIEVING, ACCESSING, RETAINING AND
administrative body in the course of DISPOSING OF RECORDS IN THE SYSTEM:
Unclassified but sensitive. presenting evidence, including STORAGE:
disclosures to counsel or witnesses in Records are stored in electronic media
SYSTEM LOCATION: the course of civil discovery, litigation, and paper format in file folders.
Division of Resolutions and or settlement negotiations or in
connection with criminal proceedings, RETRIEVABILITY:
Receiverships, FDIC, 550 17th Street,
NW., Washington, DC 20429; and Field when the FDIC is a party to the Electronic media and paper format are
Operations Branch, Division of proceeding or has a significant interest indexed and retrieved by name of
Resolutions and Receiverships, FDIC, in the proceeding, to the extent that the prospective purchaser or unique
1910 Pacific Avenue, Dallas, Texas information is determined to be relevant identification number assigned to the
75201. and necessary; prospective purchaser.
CATEGORIES OF INDIVIDUALS COVERED BY THE SAFEGUARDS:
SYSTEM:
congressional office at the request of the Electronic files are password
Individuals who have purchased or individual who is the subject of the protected and accessible only by
submitted written notice of an interest record; authorized personnel. Hard copy
in purchasing loans, owned real estate (4) To appropriate Federal, State, local printouts are maintained in lockable
or other assets from the FDIC. authorities, and other entities when (a) metal file cabinets or offices.
it is suspected or confirmed that the RETENTION AND DISPOSAL:
Contains the individual’s name, These records will be maintained
address, telephone number and until they become inactive, at which
electronic mail address, if available; time they will be retired or destroyed in
information as to the kind or category accordance with National Archives and
and general geographic location of loans Records Administration and FDIC
or owned real estate that the individual Records Retention and Disposition
other systems or programs that rely
may be interested in purchasing; and Schedules. Disposal is by shredding or
upon the compromised information; and
information relating to whether any bids other appropriate disposal systems.
have been submitted on prior loan sales. agencies, entities, and persons who are SYSTEM MANAGER(S) AND ADDRESS:
AUTHORITY FOR MAINTENANCE OF THE SYSTEM: reasonably necessary to assist in efforts Director, Division of Resolutions and
Sections 9, 11 and 13 of the Federal to respond to the suspected or Receiverships, FDIC, 550 17th Street,
Deposit Insurance Act (12 U.S.C. 1819, confirmed compromise and prevent, NW., Washington DC 20429.
1821 and 1823). minimize, or remedy such harm;
(5) To appropriate Federal, State, and NOTIFICATION PROCEDURE:
PURPOSE: local authorities in connection with Individuals wishing to determine if
The system collects, identifies and hiring or retaining an individual, they are named in this system of records
maintains information about potential conducting a background security or or who are seeking access or
amendment to records maintained in AUTHORITY FOR MAINTENANCE OF THE SYSTEM: to respond to the suspected or
this system of records must submit their Section 9 of the Federal Deposit confirmed compromise and prevent,
request in writing to Privacy@FDIC.Gov Insurance Act (12 U.S.C. 1819). minimize, or remedy such harm;
or to the Legal Division, FOIA & Privacy (5) To appropriate Federal, State, and
PURPOSES:
Act Group, FDIC, 550 17th Street, NW., local authorities in connection with
Washington, DC 20429, in accordance The records in this system are hiring or retaining an individual,
with FDIC regulations at 12 CFR Part maintained to identify and make a conducting a background security or
310. Individuals requesting their records record of all telephone calls placed to or suitability investigation, adjudication of
must provide their name, address and a from FDIC telephones and enable the liability, or eligibility for a license,
notarized statement attesting to their FDIC to analyze call detail information contract, grant, or other benefit;
identity. for verifying call usage; to determine
responsibility for placement of specific
RECORD ACCESS PROCEDURES: local authorities, agencies, arbitrators,
long distance calls; and for detecting
See ‘‘Notification Procedure’’ above. possible abuse of the FDIC-provided
processing any personnel actions or
long distance telephone network.
CONTESTING RECORD PROCEDURES: conducting administrative hearings or
See ‘‘Notification Procedure’’ above. ROUTINE USES OF RECORDS MAINTAINED IN THE corrective actions or grievances or
Individuals wishing to contest or amend
SYSTEM, INCLUDING CATEGORIES OF USERS AND appeals, or if needed in the performance
THE PURPOSES OF SUCH USES: of other authorized duties;
information maintained in this system
should specify the information being In addition to those disclosures (7) To appropriate Federal agencies
contested, the reasons for contesting it, generally permitted under 5 U.S.C. and other public authorities for use in
and the proposed amendment to such 552a(b) of the Privacy Act, all or a records management inspections;
information in accordance with FDIC portion of the records or information (8) To contractors, grantees,
regulations at 12 CFR Part 310. contained in this system may be volunteers, and others performing or
disclosed outside the FDIC as a routine working on a contract, service, grant,
RECORD SOURCE CATEGORIES: use as follows: cooperative agreement, or project for the
Information is obtained from the (1) To appropriate Federal, State, and Federal Government;
individual about whom the record is local authorities responsible for
(9) To officials of a labor organization
maintained. investigating or prosecuting a violation
when relevant and necessary to their
duties of exclusive representation
EXEMPTIONS CLAIMED FOR THE SYSTEM: statute, rule, regulation, or order issued,
concerning personnel policies,
None. when the information indicates a
violation or potential violation of law,
FDIC–30–64–0020 conditions;
nature, and whether arising by general (10) To current and former FDIC
SYSTEM NAME: employees and other individuals
Telephone Call Detail Records. by regulation, rule, or order issued currently or formerly provided
pursuant thereto; telephone services by the FDIC to
(2) To a court, magistrate, or other determine their individual
Unclassified but sensitive. responsibility for telephone calls;
SYSTEM LOCATION: presenting evidence, including (11) To a telecommunications
disclosures to counsel or witnesses in company providing telecommunications
Division of Information Technology, support to permit servicing the account;
FDIC, 3501 North Fairfax Drive, the course of civil discovery, litigation,
or settlement negotiations or in and
Arlington, VA 22226.
connection with criminal proceedings, (12) To the Department of the
CATEGORIES OF INDIVIDUALS COVERED BY THE when the FDIC is a party to the Treasury, federal debt collection
SYSTEM: proceeding or has a significant interest centers, other appropriate federal
Individuals assigned telephone in the proceeding, to the extent that the agencies, and private collection
numbers and authorization codes by the information is determined to be relevant contractors or other third parties
FDIC, including current and former and necessary; authorized by law, for the purpose of
FDIC employees and contractor (3) To a congressional office in collecting or assisting in the collection
personnel, who make local and long response to an inquiry made by the of delinquent debts owed to the FDIC.
distance telephone calls and individuals congressional office at the request of the Disclosure of information contained in
who receive telephone calls placed from individual who is the subject of the these records will be limited to the
or charged to FDIC telephones. record; individual’s name, Social Security
(4) To appropriate Federal, State, local number, and other information
CATEGORIES OF RECORDS IN THE SYSTEM: authorities, and other entities when (a) necessary to establish the identity of the
Records, including telephone number, it is suspected or confirmed that the individual, and the existence, validity,
location, dates and duration of security or confidentiality of amount, status and history of the debt.
telephone call, relating to use of FDIC information in the system has been
telephones to place or receive long compromised; (b) there is a risk of harm DISCLOSURE TO CONSUMER REPORTING
AGENCIES:
distance and local calls; records of any to economic or property interests,
charges billed to FDIC telephones; identity theft or fraud, or harm to the Pursuant to 5 U.S.C. 552a(b)(12),
records indicating assignment of security or integrity of this system or disclosures may be made from this
telephone numbers to individuals other systems or programs that rely system to consumer reporting agencies
covered by the system; and the results upon the compromised information; and as defined in the Fair Credit Reporting
of administrative inquiries to determine (c) the disclosure is made to such Act (15 U.S.C. 1681a(f)) or the Federal
responsibility for the placement of agencies, entities, and persons who are Claims Collection Act of 1966 (31 U.S.C.
specific local or long distance calls. reasonably necessary to assist in efforts 3701(a)(3)).
POLICIES AND PRACTICES FOR STORING, SECURITY CLASSIFICATION: proceeding or has a significant interest
RETRIEVING, ACCESSING, RETAINING, AND Unclassified but sensitive. in the proceeding, to the extent that the
DISPOSING OF RECORDS IN THE SYSTEM: information is determined to be relevant
SYSTEM LOCATION:
STORAGE: and necessary;
Records are stored in electronic Fitness Centers, Corporate Services
media. Branch, Division of Administration,
FDIC, 3501 North Fairfax Drive,
RETRIEVABILITY: Arlington, VA 22226, and 550 17th congressional office at the request of the
Street, NW., Washington, DC 20429. individual who is the subject of the
Records are indexed and retrieved by record;
telephone number and office location. CATEGORIES OF INDIVIDUALS COVERED BY THE (4) To appropriate Federal, State, local
SAFEGUARDS: SYSTEM:
Electronic files are password FDIC employees who apply for it is suspected or confirmed that the
protected and accessible only by membership and participate in the security or confidentiality of
authorized personnel. Fitness Centers. information in the system has been
CATEGORIES OF RECORDS IN THE SYSTEM: compromised; (b) there is a risk of harm
Contains the individual’s name, to economic or property interests,
Records are destroyed after the close identity theft or fraud, or harm to the
of the fiscal year in which they are gender, age; fitness assessment results;
identification of certain medical security or integrity of this system or
audited or after three years from the other systems or programs that rely
date the record was created, whichever conditions; and the name and phone
number of the individual’s personal upon the compromised information; and
occurs first. (c) the disclosure is made to such
physician and emergency contact.
SYSTEM MANAGER AND ADDRESS: agencies, entities, and persons who are
Associate Director, Division of AUTHORITY FOR MAINTENANCE OF THE SYSTEM: reasonably necessary to assist in efforts
Information Technology, 3501 North Section 9 of the Federal Deposit to respond to the suspected or
Fairfax Drive, Arlington, VA 22226. Insurance Act (12 U.S.C. 1819). confirmed compromise and prevent,
minimize, or remedy such harm;
NOTIFICATION PROCEDURE: PURPOSE:
Individuals wishing to determine if The records are collected and
they are named in this system of records maintained to control access to the
hiring or retaining an individual,
or who are seeking access or fitness center; to enable the Fitness
conducting a background security or
amendment to records maintained in Centers’ contractor to identify any
suitability investigation, adjudication of
this system of records must submit their potential health issues or concerns and
the fitness level of an individual; and to liability, or eligibility for a license,
request in writing to Privacy@FDIC.Gov contract, grant, or other benefit;
or to the Legal Division, FOIA & Privacy identify necessary contacts in the event
Act Group, FDIC, 550 17th Street, NW., of a medical emergency while the (6) To appropriate Federal, State, and
Washington, DC 20429, in accordance individual is participating in a fitness local authorities, agencies, arbitrators,
with FDIC regulations at 12 CFR Part activity. and other parties responsible for
310. Individuals requesting their records processing any personnel actions or
must provide their name, address and a conducting administrative hearings or
notarized statement attesting to their corrective actions or grievances or
PURPOSES OF SUCH USES:
identity. appeals, or if needed in the performance
In addition to those disclosures of other authorized duties;
RECORD ACCESS PROCEDURES: generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a (7) To appropriate Federal agencies
See ‘‘Notification Procedure’’ above. and other public authorities for use in
CONTESTING RECORD PROCEDURES: contained in this system may be records management inspections;
See ‘‘Notification Procedure’’ above. disclosed outside the FDIC as a routine (8) To contractors, grantees,
Individuals wishing to contest or amend use as follows: volunteers, and others performing or
information maintained in this system (1) To appropriate Federal, State, and working on a contract, service, grant,
should specify the information being local authorities responsible for cooperative agreement, or project for the
contested, the reasons for contesting it, investigating or prosecuting a violation Federal Government;
and the proposed amendment to such of, or for enforcing or implementing a (9) To officials of a labor organization
information in accordance with FDIC statute, rule, regulation, or order issued, when relevant and necessary to their
regulations at 12 CFR Part 310. when the information indicates a duties of exclusive representation
violation or potential violation of law, concerning personnel policies,
RECORD SOURCE CATEGORIES: whether civil, criminal, or regulatory in practices, and matters affecting working
Telephone assignment records; call nature, and whether arising by general conditions;
detail listings; results of administrative statute or particular program statute, or
inquiries relating to assignment of by regulation, rule, or order issued (10) To the individuals listed as
responsibility for placement of specific pursuant thereto; emergency contacts or the individual’s
long distance and local calls. (2) To a court, magistrate, or other personal physician, in the event of a
administrative body in the course of medical emergency; and
presenting evidence, including (11) To a Health Unit or occupational

None. disclosures to counsel or witnesses in safety and health contractors, including
FDIC–30–64–0021 the course of civil discovery, litigation, contract nurses, industrial hygienists,
or settlement negotiations or in and others retained for the purpose of
SYSTEM NAME: connection with criminal proceedings, performing any function associated with
Fitness Center Records. when the FDIC is a party to the the operation of the Fitness Centers.
POLICIES AND PRACTICES FOR STORING, RECORD SOURCE CATEGORIES: Freedom of Information Act and Privacy Act,
RETRIEVING, ACCESSING, RETAINING AND Information is principally obtained and information about individuals from any
DISPOSING OF RECORDS: of these other systems may become part of
from the individual who has applied for
STORAGE:
this system of records.
membership and Fitness Center
Records are stored in paper format personnel. Some information may be
within individual file folders. provided by the individual’s personal
Information recorded on index cards is physician. Section 9 of the Federal Deposit
stored in a card file box. Insurance Act (12 U.S.C. 1819);
EXEMPTIONS CLAIMED FOR THE SYSTEM: Freedom of Information Act (5 U.S.C.
RETRIEVABILITY: None. 552), the Privacy Act of 1974 (5 U.S.C
Individual file folders and cards are 552a), 12 CFR 309 and 310.
indexed and retrieved by name. FDIC–30–64–0022
PURPOSES:
SAFEGUARDS: SYSTEM NAME:
The records maintained in this system
Records are maintained in lockable Freedom of Information Act and are collected to process requests made
metal file cabinets. Access is limited to Privacy Act Request Records. under the provisions of the Freedom of
authorized employees of the contractor Information Act and the Privacy Act.
responsible for servicing the records in The records are also used by the FDIC
the performance of their duties. Note: In Unclassified but sensitive.
to prepare reports to the Office of
the future, all or some portion of the SYSTEM LOCATIONS: Management and Budget, the
records may be stored in electronic Department of Justice, and Congress
Legal Division, FOIA & Privacy Act
media. These records will be indexed required by the Freedom of Information
Group, FDIC, 550 17th Street, NW.,
and retrieved by name and will be Act or the Privacy Act.
Washington, DC 20429. In addition,
password protected and accessible only
records may be maintained at the
by authorized personnel. ROUTINE USES OF RECORDS MAINTAINED IN THE
division or office level in the FDIC SYSTEM, INCLUDING CATEGORIES OF USERS AND
RETENTION AND DISPOSAL: Washington office or at FDIC Regional THE PURPOSES OF SUCH USES:
These records will be maintained offices (see Appendix A for a list of the
In addition to those disclosures
until they become inactive, at which FDIC regional offices and their
generally permitted under 5 U.S.C.
time they will be retired or destroyed in addresses).
accordance with National Archives and portion of the records or information
Records Administration and FDIC SYSTEM: contained in this system may be
Records Retention and Disposition disclosed outside the FDIC as a routine
Schedules. Disposal is by shredding or Individuals who have submitted
requests for information pursuant to the use as follows:
other appropriate disposal systems. (1) To appropriate Federal, State, and
Freedom of Information Act; individuals
SYSTEM MANAGER(S) AND ADDRESS: who have submitted requests for records local authorities responsible for
Health, Safety and Environmental about themselves under the provisions investigating or prosecuting a violation
Program Manager, Acquisition and of the Privacy Act of 1974, and of, or for enforcing or implementing a
Corporate Services Branch, Division of individuals filing an administrative statute, rule, regulation, or order issued,
Administration, FDIC, 3501 North appeal of a denial, in whole or part, of when the information indicates a
Fairfax Drive, Arlington, VA 22226. any such requests. violation or potential violation of law,
NOTIFICATION PROCEDURE: CATEGORIES OF RECORDS IN THE SYSTEM: nature, and whether arising by general
Individuals wishing to determine if Contains names and addresses of statute or particular program statute, or
they are named in this system of records individuals making written requests for by regulation, rule, or order issued
or who are seeking access or access to information; written requests pursuant thereto;
amendment to records maintained in for amendment of records made (2) To a court, magistrate, or other
this system of records must submit their pursuant to the Privacy Act; administrative body in the course of
request in writing to Privacy@FDIC.Gov correspondence to or from the requester; presenting evidence, including
or to the Legal Division, FOIA & Privacy correspondence to or from a person disclosures to counsel or witnesses in
Act Group, FDIC, 550 17th Street, NW., writing on the requester’s behalf; the course of civil discovery, litigation,
Washington, DC 20429, in accordance internal FDIC memoranda; memoranda or settlement negotiations or in
with FDIC regulations at 12 CFR Part to or from other Federal agencies having connection with criminal proceedings,
310. Individuals requesting their records a substantial interest in the when the FDIC is a party to the
must provide their name, address and a determination of the request; responses proceeding or has a significant interest
notarized statement attesting to their to requests (including for example in the proceeding, to the extent that the
identity. acknowledgment letters, fee estimate information is determined to be relevant
RECORD ACCESS PROCEDURES: letters, and final determinations); and necessary;
See ‘‘Notification Procedure’’ above. administrative appeals of denials of (3) To a congressional office in
access to records; administrative response to an inquiry made by the
CONTESTING RECORD PROCEDURES: appeals of denials of requests for congressional office at the request of the
See ‘‘Notification Procedure’’ above. amendment of records made pursuant to individual who is the subject of the
Individuals wishing to contest or amend the Privacy Act. These records may record;
information maintained in this system contain personal information retrieved (4) To appropriate Federal, State, local
should specify the information being in response to a request. authorities, and other entities when (a)
contested, the reasons for contesting it, Note: Freedom of Information Act and it is suspected or confirmed that the
and the proposed amendment to such Privacy Act case records may contain security or confidentiality of
information in accordance with FDIC inquiries and requests regarding any of the information in the system has been
regulations at 12 CFR Part 310. FDIC’s other systems of records subject to the compromised; (b) there is a risk of harm
to economic or property interests, DISCLOSURE TO CONSUMER REPORTING NOTIFICATION PROCEDURE:

identity theft or fraud, or harm to the AGENCIES: Individuals wishing to determine if
security or integrity of this system or Pursuant to 5 U.S.C. 552a(b)(12), they are named in this system of records
other systems or programs that rely disclosures may be made from this or who are seeking access or
upon the compromised information; and system to consumer reporting agencies amendment to records maintained in
(c) the disclosure is made to such as defined in the Fair Credit Reporting this system of records must submit their
agencies, entities, and persons who are Act (15 U.S.C. 1681a(f)) or the Federal request in writing to Privacy@FDIC.Gov
reasonably necessary to assist in efforts Claims Collection Act of 1966 (31 U.S.C. or to the Legal Division, FOIA & Privacy
to respond to the suspected or 3701(a)(3)). Act Group, FDIC, 550 17th Street, NW.,
confirmed compromise and prevent, Washington, DC 20429, in accordance
minimize, or remedy such harm; POLICIES AND PRACTICES FOR STORING, with FDIC regulations at 12 CFR Part
RETRIEVING, ACCESSING, RETAINING, AND 310. Individuals requesting their records
DISPOSING OF RECORDS IN THE SYSTEM: must provide their name, address and a
hiring or retaining an individual, STORAGE: notarized statement attesting to their
conducting a background security or identity.
suitability investigation, adjudication of and paper format within individual file RECORD ACCESS PROCEDURES:
liability, or eligibility for a license, folders. See ‘‘Notification Procedure’’ above.
contract, grant, or other benefit;
RETRIEVABILITY: CONTESTING RECORD PROCEDURES:
local authorities, agencies, arbitrators, See ‘‘Notification Procedure’’ above.
Electronic media and paper format
and other parties responsible for Individuals wishing to contest or amend
records are indexed and retrieved by the
processing any personnel actions or information maintained in this system
requester’s name or by unique log
conducting administrative hearings or should specify the information being
number assigned to the request. Records
corrective actions or grievances or contested, the reasons for contesting it,
sometimes are retrieved by reference to
appeals, or if needed in the performance and the proposed amendment to such
the name of the requester’s firm, if any,
of other authorized duties; information in accordance with FDIC
or the subject matter of the request.
regulations at 12 CFR Part 310.
and other public authorities for use in SAFEGUARDS: RECORD SOURCE CATEGORIES:
records management inspections; Electronic files are password Requesters and persons acting on
(8) To contractors, grantees, protected and accessible only by behalf of requesters, FDIC offices and
volunteers, and others performing or authorized personnel. File folders are divisions, other Federal agencies having
working on a contract, service, grant, maintained in lockable metal file a substantial interest in the
cooperative agreement, or project for the cabinets. determination of the request, and
Federal Government; employees processing the requests.
(9) To officials of a labor organization EXEMPTIONS CLAIMED FOR THE SYSTEM:
when relevant and necessary to their Records for Freedom of Information
The FDIC has claimed exemptions for
duties of exclusive representation Act requests which are granted,
several of its other systems of records
concerning personnel policies, withdrawn or closed for non-
under 5 U.S.C. 552a(k)(1), (k)(2), and
practices, and matters affecting working compliance or similar reason, are
(k)(5) and 12 CFR Part 310.13. During
conditions; destroyed two years after the date of the
the processing of a Freedom of
reply. Records for all other Freedom of
(10) To another Federal government Information Act or Privacy Act request,
Information Act requests (e.g., requests
agency having a substantial interest in exempt records from these other
denied in part, requests denied in full,
the determination of the request or for systems of records may become part of
and requests for which no responsive
the purpose of consulting with that the case record in this system of records.
information was located) are destroyed
agency as to the propriety of access or To the extent that exempt records from
six years after the date of the reply,
correction of the record in order to other FDIC systems of records are
unless the denial is appealed, in which
complete the processing of requests; entered or become part of this system,
case the request and related
(11) To a third party authorized in the FDIC has claimed the same
documentation are destroyed six years
writing to receive such information by exemptions, and any such records
after the final agency determination or
the individual about whom the compiled in this system of records from
three years after final adjudication by
information pertains; and any other system of records continues to
the courts, whichever is later. Records
be subject to any exemption(s)
(12) To the Department of the maintained for control purposes are
applicable for the records as they have
Treasury, federal debt collection destroyed six years after the last entry.
in the primary systems of records of
centers, other appropriate federal Records maintained for processing
which they are a part.
agencies, and private collection Privacy Act requests are disposed of in
contractors or other third parties accordance with established disposition FDIC–30–64–0023
authorized by law, for the purpose of schedules for individual records, or five
years after the date of the disclosure was SYSTEM NAME:
collecting or assisting in the collection
of delinquent debts owed to the FDIC. made, whichever is later. Disposal is by Affordable Housing Program Records.
Disclosure of information contained in shredding or other appropriate disposal SECURITY CLASSIFICATION:
systems.
these records will be limited to the Unclassified but sensitive.

individual’s name, Social Security
SYSTEM MANAGER AND ADDRESS: SYSTEM LOCATION:
number, and other information
necessary to establish the identity of the Legal Division, FOIA & Privacy Act Division of Resolutions and
individual, and the existence, validity, Group, FDIC, 550 17th Street, NW., Receiverships, FDIC, 1910 Pacific
amount, status and history of the debt. Washington, DC 20429. Avenue, Dallas, Texas 75201.
CATEGORIES OF INDIVIDUALS COVERED BY THE statute or particular program statute, or Housing and Urban Development
SYSTEM: by regulation, rule, or order issued Agency, the Farm Service Agency, and
Purchasers and prospective pursuant thereto; the Veterans Administration), or state
purchasers of residential properties (2) To a court, magistrate, or other and local government housing agencies
offered for sale through the FDIC’s administrative body in the course of where information is determined to be
Affordable Housing Program. Note: To presenting evidence, including relevant to an application or request for
be considered a prospective purchaser disclosures to counsel or witnesses in a loan, grant, financial benefit, or other
for purposes of this record system, the the course of civil discovery, litigation, type of assistance or entitlement.
individual must have: (1) Completed or settlement negotiations or in
connection with criminal proceedings, POLICIES AND PRACTICES FOR STORING,
and signed an FDIC ‘‘Certification of
Income Eligibility;’’ and (2) delivered when the FDIC is a party to the
the form to an authorized representative proceeding or has a significant interest
of the FDIC’s Affordable Housing in the proceeding, to the extent that the STORAGE:
Program. information is determined to be relevant Records are stored in electronic media
and necessary; and in paper format within individual
CATEGORIES OF RECORDS IN THE SYSTEM: (3) To a congressional office in file folders.
Contains the purchaser’s or response to an inquiry made by the
prospective purchaser’s income congressional office at the request of the RETRIEVABILITY:
qualification form and substantiating individual who is the subject of the Electronic media and paper format are
documents (such as personal financial record; accessible by name of purchaser or
statements, income tax returns, asset or (4) To appropriate Federal, State, local prospective purchaser and by address of
collateral verifications, appraisals, and authorities, and other entities when (a) the property purchased.
sources of income); copies of sales it is suspected or confirmed that the
SAFEGUARDS:
contracts, deeds, or other recorded security or confidentiality of
instruments; intra-agency forms, information in the system has been Electronic files are password
memoranda, or notes related to the compromised; (b) there is a risk of harm protected and accessible only by
property and purchaser’s participation to economic or property interests, authorized personnel. File folders are
in the FDIC’s Affordable Housing identity theft or fraud, or harm to the maintained in lockable metal file
Program; correspondence; and other security or integrity of this system or cabinets accessible only by authorized
documents related to the FDIC’s other systems or programs that rely personnel.
Affordable Housing Program. upon the compromised information; and RETENTION AND DISPOSAL:
AUTHORITY FOR MAINTENANCE OF THE SYSTEM: These records will be maintained
Sections 9, 11, 13, and 40 of the until they become inactive, at which
reasonably necessary to assist in efforts
Federal Deposit Insurance Act (12 time they will be retired or destroyed in
U.S.C. 1819, 1821, 1823, 1831q). accordance with National Archives and
Records Administration and FDIC
PURPOSE: minimize, or remedy such harm;
(5) To appropriate Federal, State, and Records Retention and Disposition
The records are collected and Schedules. Disposal is by shredding or
maintained to determine and verify local authorities in connection with
hiring or retaining an individual, other appropriate disposal systems.
eligibility of individuals’ to participate
in the FDIC Affordable Housing Program conducting a background security or SYSTEM MANAGER(S) AND ADDRESS:
and to monitor compliance by suitability investigation, adjudication of Deputy Director, Field Operations
individuals with purchaser income liability, or eligibility for a license, Branch, Division of Resolutions and
restrictions. The information in the contract, grant, or other benefit; Receiverships, FDIC, 1910 Pacific
system supports the FDIC’s liquidation (6) To appropriate Federal, State, and Avenue, Dallas, Texas 75201.
of qualifying residential housing units local authorities, agencies, arbitrators,
and the FDIC’s goal to provide home and other parties responsible for NOTIFICATION PROCEDURE:
ownership for low-income and processing any personnel actions or Individuals wishing to determine if
moderate-income families. conducting administrative hearings or they are named in this system of records
corrective actions or grievances or or who are seeking access or
ROUTINE USES OF RECORDS MAINTAINED IN THE appeals, or if needed in the performance amendment to records maintained in
SYSTEM, INCLUDING CATEGORIES OF USERS AND of other authorized duties; this system of records must submit their
THE PURPOSES OF SUCH USES: (7) To appropriate Federal agencies request in writing to Privacy@FDIC.Gov
In addition to those disclosures and other public authorities for use in or to the Legal Division, FOIA & Privacy
generally permitted under 5 U.S.C. records management inspections; Act Group, FDIC, 550 17th Street, NW.,
552a(b) of the Privacy Act, all or a (8) To contractors, grantees, Washington, DC 20429, in accordance
portion of the records or information volunteers, and others performing or with FDIC regulations at 12 CFR Part
contained in this system may be working on a contract, service, grant, 310. Individuals requesting their records
disclosed outside the FDIC as a routine cooperative agreement, or project for the must provide their name, address and a
use as follows: Federal Government; notarized statement attesting to their
(1) To appropriate Federal, State, and (9) To officials of a labor organization identity.
local authorities responsible for when relevant and necessary to their
investigating or prosecuting a violation duties of exclusive representation RECORD ACCESS PROCEDURES:
of, or for enforcing or implementing a concerning personnel policies, See ‘‘Notification Procedure’’ above.
statute, rule, regulation, or order issued, practices, and matters affecting working
when the information indicates a conditions; and CONTESTING RECORD PROCEDURES:
violation or potential violation of law, (10) To mortgage companies, financial See ‘‘Notification Procedure’’ above.
whether civil, criminal, or regulatory in institutions, federal agencies (such as Individuals wishing to contest or amend
nature, and whether arising by general the Federal Housing Administration, the information maintained in this system
should specify the information being 552a(b) of the Privacy Act, all or a (8) To officials of a labor organization
contested, the reasons for contesting it, portion of the records or information when relevant and necessary to their
and the proposed amendment to such contained in this system may be duties of exclusive representation
information in accordance with FDIC disclosed outside the FDIC as a routine concerning personnel policies,
regulations at 12 CFR Part 310. use as follows: practices, and matters affecting working
(1) To appropriate Federal, State, and conditions;
RECORD SOURCE CATEGORIES: local authorities responsible for (9) To contractors, grantees,
Information is obtained from the investigating or prosecuting a violation volunteers, and others performing or
individual seeking to participate in the of, or for enforcing or implementing a working on a contract, service, grant,
FDIC’s Affordable Housing Program. statute, rule, regulation, or order issued, cooperative agreement, or project for the
Information pertaining to an individual when the information indicates a Federal Government; and
may, in some cases, be supplemented violation or potential violation of law,
with reports from credit bureaus and/or (10) To the appropriate State agency
similar credit reporting services. accepting custody of unclaimed insured
nature, and whether arising by general
deposits;
by regulation, rule, or order issued POLICIES AND PRACTICES FOR STORING,
None. pursuant thereto; RETRIEVING, ACCESSING, RETAINING, AND
FDIC–30–64–0024 (2) To a court, magistrate, or other DISPOSING OF RECORDS IN THE SYSTEM:
SYSTEM NAME: presenting evidence, including STORAGE:
Unclaimed Deposit Account Records. disclosures to counsel or witnesses in Records are stored in electronic media
the course of civil discovery, litigation, and in paper format.
Unclassified but sensitive. connection with criminal proceedings, RETRIEVABILITY:
SYSTEM LOCATION: when the FDIC is a party to the Electronic media and paper format are
Division of Resolutions and proceeding or has a significant interest indexed and retrieved by depository
Receiverships, Field Operations Branch, in the proceeding, to the extent that the institution name, depositor name,
FDIC, 1910 Pacific Avenue, Dallas, information is determined to be relevant depositor social security number, or
Texas 75201. and necessary; deposit account number.
CATEGORIES OF INDIVIDUALS COVERED BY THE response to an inquiry made by the SAFEGUARDS:
SYSTEM: congressional office at the request of the
Individuals identified as deposit individual who is the subject of the
account owners of unclaimed insured record;
(4) To appropriate Federal, State, local authorized personnel. Hard copy
deposits of a closed insured depository printouts are maintained in lockable
institution for which the FDIC was authorities, and other entities when
(a) it is suspected or confirmed that the metal file cabinets accessible only to
appointed receiver after January 1, 1989. authorized personnel.
CATEGORIES OF RECORDS IN THE SYSTEM: information in the system has been RETENTION AND DISPOSAL:
Deposit account records, including compromised; (b) there is a risk of harm
signature cards, last known home to economic or property interests, If the appropriate State has accepted
address, social security number, name identity theft or fraud, or harm to the custody of unclaimed deposits, a record
of insured depository institution, security or integrity of this system or of the unclaimed deposits will be
relating to unclaimed insured deposits other systems or programs that rely retained by the FDIC during the custody
or insured transferred deposits from upon the compromised information; and period of ten years. Such records will
closed insured depository institutions (c) the disclosure is made to such subsequently be destroyed in
for which the FDIC was appointed agencies, entities, and persons who are accordance with the FDIC’s records
receiver after January 1, 1989. reasonably necessary to assist in efforts retention policy in effect at the time of
to respond to the suspected or return of any deposits to the FDIC from
AUTHORITY FOR MAINTENANCE OF THE SYSTEM: the State. If the appropriate State has
Sections 9, 11, and 12 of the Federal minimize, or remedy such harm; declined to accept custody of the
Deposit Insurance Act (12 U.S.C. 1819, (5) To appropriate Federal, State, and unclaimed deposits of the closed
1821, and 1822). local authorities in connection with insured depository institution, the FDIC
hiring or retaining an individual, will retain the unclaimed deposit
PURPOSE:
conducting a background security or records and upon termination of the
The information in this system is used receivership of the closed insured
to process inquiries and claims of suitability investigation, adjudication of
liability, or eligibility for a license, depository institution, the records will
individuals with respect to unclaimed be retired or destroyed in accordance
insured deposit accounts of closed contract, grant, or other benefit;
(6) To appropriate Federal, State, and with National Archives and Records
insured depository institutions for Administration and FDIC Records
which the FDIC was appointed receiver local authorities, agencies, arbitrators,
and other parties responsible for Retention and Disposition Schedules.
after January 1, 1989, and to assist in Disposal is by shredding or other
complying with the requirements of the processing any personnel actions or
conducting administrative hearings or appropriate disposal systems.
Unclaimed Deposits Amendments Act.

SYSTEM, INCLUDING CATEGORIES OF USERS AND of other authorized duties; Assistant Director, Field Operations
PURPOSES OF SUCH USES: (7) To appropriate Federal agencies Branch, Division of Resolutions and
In addition to those disclosures and other public authorities for use in Receiverships, FDIC, 550 17th Street,
generally permitted under 5 U.S.C. records management inspections; NW., Washington, DC 20429.
NOTIFICATION PROCEDURE: Securities and Exchange Commission disclosed outside the FDIC as a routine
Individuals wishing to determine if Rule 16a–8. use as follows:
they are named in this system of records (1) To appropriate Federal, State, and
CATEGORIES OF RECORDS IN THE SYSTEM: local authorities responsible for
or who are seeking access or
amendment to records maintained in Reporting persons submit investigating or prosecuting a violation
this system of records must submit their electronically or on paper reports on of, or for enforcing or implementing a
request in writing to Privacy@FDIC.Gov any of the following three forms: ‘‘Initial statute, rule, regulation, or order issued,
or to the Legal Division, FOIA & Privacy Statement of Beneficial Ownership of when the information indicates a
Act Group, FDIC, 550 17th Street, NW., Securities,’’ ‘‘Statement of Changes in violation or potential violation of law,
Washington, DC 20429, in accordance Beneficial Ownership of Securities’’ and whether civil, criminal, or regulatory in
with FDIC regulations at 12 CFR Part ‘‘Annual Statement of Beneficial nature, and whether arising by general
310. Individuals requesting their records Ownership of Securities.’’ Reporting statute or particular program statute, or
must provide their name, address and a persons are required to use these forms by regulation, rule, or order issued
notarized statement attesting to their to disclose ownership and transactional pursuant thereto;
identity. information relative to their beneficial (2) To a court, magistrate, or other
ownership of securities of FDIC-insured administrative body in the course of
RECORD ACCESS PROCEDURES: depository institutions with securities presenting evidence, including
See ‘‘Notification Procedure’’ above. registered under the Securities disclosures to counsel or witnesses in
Exchange Act of 1934. Under section the course of civil discovery, litigation,
403 of the Sarbanes-Oxley Act of 2002, or settlement negotiations or in
See ‘‘Notification Procedure’’ above. these forms must be submitted in connection with criminal proceedings,
Individuals wishing to contest or amend electronic form and must be made when the FDIC is a party to the
information maintained in this system available to the public on a Federal proceeding or has a significant interest
should specify the information being agency’s external internet Web site. The in the proceeding, to the extent that the
contested, the reasons for contesting it, forms require disclosure of the name of information is determined to be relevant
and the proposed amendment to such the financial institution, relationship of and necessary;
information in accordance with FDIC reporting person to the financial (3) To a congressional office in
regulations at 12 CFR Part 310. institution, reporting person’s name and response to an inquiry made by the
street address, date of form or congressional office at the request of the
amendment, and filer’s signature and individual who is the subject of the
Information originates from deposit record;
records of closed insured depository date. A description of the securities’
terms and transactional information (4) To appropriate Federal, State, local
institutions. Records of unclaimed authorities, and other entities when (a)
transferred deposits are provided to the including transaction date, type of
transaction, amount of securities it is suspected or confirmed that the
FDIC from assuming depository security or confidentiality of
institutions to which the FDIC acquired or disposed, price, aggregate
amount of securities beneficially owned, information in the system has been
transferred deposits upon closing of the compromised; (b) there is a risk of harm
depository institution. and form and nature of beneficial
ownership must also be disclosed on the to economic or property interests,
EXEMPTIONS CLAIMED FOR THE SYSTEM: forms. identity theft or fraud, or harm to the
None. security or integrity of this system or
AUTHORITY FOR MAINTENANCE OF THE SYSTEM: other systems or programs that rely
FDIC–30–64–0025 Sections 12(i) and 16(a) of the upon the compromised information; and
Securities Exchange Act of 1934 (c) the disclosure is made to such
SYSTEM NAME:
(respectively, 15 U.S.C. 78l(i) and agencies, entities, and persons who are
Beneficial Ownership Filings reasonably necessary to assist in efforts
(Securities Exchange Act). 78p(a)).
PURPOSE: confirmed compromise and prevent,
Unclassified but sensitive. In accordance with Section 16(a) of minimize, or remedy such harm;
the Securities Exchange Act of 1934, as (5) To appropriate Federal, State, and
SYSTEM LOCATION: amended by section 403 of the local authorities in connection with
Division of Supervision and Sarbanes-Oxley Act of 2002, this hiring or retaining an individual,
Consumer Protection, FDIC, 550 17th information is being made available to conducting a background security or
Street NW., Washington, DC 20429. the public on the FDIC’s external suitability investigation, adjudication of
internet Web site in order to facilitate liability, or eligibility for a license,
CATEGORIES OF INDIVIDUALS COVERED BY THE contract, grant, or other benefit;
the more efficient transmission,
SYSTEM: (6) To appropriate Federal, State, and
dissemination, analysis, storage and
(1) Any director or officer of an FDIC- retrieval of insider ownership and local authorities, agencies, arbitrators,
insured depository institution with a transaction information in a manner that and other parties responsible for
class of equity securities registered will benefit investors, filers and processing any personnel actions or
pursuant to section 12 of the Securities financial institution regulatory agencies. conducting administrative hearings or
Exchange Act of 1934, and (2) Any corrective actions or grievances or
person who is directly or indirectly the ROUTINE USES OF RECORDS MAINTAINED IN THE appeals, or if needed in the performance
beneficial owner of greater than 10% of SYSTEM, INCLUDING CATEGORIES OF USERS AND of other authorized duties;
a class of equity securities issued by an (7) To officials of a labor organization

FDIC-insured depository institution that In addition to those disclosures when relevant and necessary to their
are registered under section 12 of the generally permitted under 5 U.S.C. duties of exclusive representation
Securities Exchange Act of 1934; 552a(b) of the Privacy Act, all or a concerning personnel policies,
including any trust, trustee, beneficiary portion of the records or information practices, and matters affecting working
or settlor required to report pursuant to contained in this system may be conditions;
(8) To appropriate Federal agencies with FDIC regulations at 12 CFR Part AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
and other public authorities for use in 310. Individuals requesting their records Section 9 of the Federal Deposit
records management inspections; must provide their name, address and a Insurance Act (12 U.S.C. 1819).
(9) To contractors, grantees, notarized statement attesting to their
volunteers, and others performing or PURPOSE(S):
identity.
working on a contract, service, grant, This system of records is used to
cooperative agreement, or project for the RECORD ACCESS PROCEDURES: respond to correspondence addressed to
Federal Government; and See ‘‘Notification Procedure’’ above. the FDIC, Office of the Chairman.
(10) To the appropriate governmental
CONTESTING RECORD PROCEDURES: ROUTINE USES OF RECORDS MAINTAINED IN THE
or self-regulatory organizations when SYSTEM, INCLUDING CATEGORIES OF USERS AND
relevant to the organization’s regulatory See ‘‘Notification Procedure’’ above.
or supervisory responsibilities or if the Individuals wishing to contest or amend
information maintained in this system In addition to those disclosures
information is relevant to a known or
should specify the information being generally permitted under 5 U.S.C.
suspected violation of a law or licensing
contested, the reasons for contesting it, 552a(b) of the Privacy Act, all or a
standard within that organization’s
and the proposed amendment to such portion of the records or information
jurisdiction.
information in accordance with FDIC contained in this system may be
POLICIES AND PRACTICES FOR STORING, regulations at 12 CFR Part 310. disclosed outside the FDIC as a routine
RETRIEVING, ACCESSING, RETAINING AND use as follows:
DISPOSING OF RECORDS IN THE SYSTEM: RECORD SOURCE CATEGORIES: (1) To appropriate Federal, State, and
STORAGE: Information originates from (1) any local authorities responsible for
Records are stored in electronic media director or officer of an FDIC-insured investigating or prosecuting a violation
or on paper format in file folders. depository institution with a class of of, or for enforcing or implementing a
equity securities registered pursuant to statute, rule, regulation, or order issued,
RETRIEVABILITY: section 12 of the Securities Exchange when the information indicates a
Electronically filed reports are Act of 1934; and (2) any beneficial violation or potential violation of law,
indexed and retrieved by the name of owner of greater than 10% of an FDIC- whether civil, criminal, or regulatory in
the reporting party. Paper-filed reports insured depository institution with a nature, and whether arising by general
are indexed by the name of the class of equity securities registered statute or particular program statute, or
depository institution issuing the under the Securities Exchange Act of by regulation, rule, or order issued
securities being reported, with sub- 1934, including any trust, trustee, pursuant thereto;
indexing by the filer’s name. beneficiary or settlor required to report (2) To a court, magistrate, or other
pursuant to SEC Rule 16a–8. administrative body in the course of
SAFEGUARDS:
Access to the information in this EXEMPTIONS CLAIMED FOR THE SYSTEM: disclosures to counsel or witnesses in
electronic system of records is None. the course of civil discovery, litigation,
unrestricted. The filing and amendment or settlement negotiations or in
of electronic records is restricted to FDIC–30–64–0028 connection with criminal proceedings,
authorized users who have been issued when the FDIC is a party to the
SYSTEM NAME:
non-transferable user IDs and proceeding or has a significant interest
passwords. Office of the Chairman in the proceeding, to the extent that the
Correspondence Records. information is determined to be relevant
SECURITY CLASSIFICATION: and necessary;
These records will be maintained for
fifteen years from the date of filing, at Unclassified but sensitive.
which time they will be retired or
SYSTEM LOCATION: congressional office at the request of the
destroyed in accordance with National
FDIC, Office of Legislative Affairs, 550 individual who is the subject of the
Archives and Records Administration
17th Street, NW., Washington, DC record;
and FDIC Records Retention and (4) To appropriate Federal, State, local
Disposition Schedules. Disposal is by 20429.
shredding or other appropriate disposal CATEGORIES OF INDIVIDUALS COVERED BY THE it is suspected or confirmed that the
systems. SYSTEM: security or confidentiality of
SYSTEM MANAGER(S) AND ADDRESS: Individuals who correspond to, or information in the system has been
Chief, Accounting & Securities receive correspondence from, the Office compromised; (b) there is a risk of harm
Disclosure Section, Division of of the Chairman; and individuals who to economic or property interests,
Supervision and Consumer Protection, are the subject of correspondence to or identity theft or fraud, or harm to the
FDIC, 550 17th Street, NW., from the Office of the Chairman. security or integrity of this system or
Washington, DC 20429. other systems or programs that rely
CATEGORIES OF RECORDS IN THE SYSTEM: upon the compromised information; and
NOTIFICATION PROCEDURE: Contains correspondence, (c) the disclosure is made to such
Individuals wishing to determine if memoranda, E-mail, and other agencies, entities, and persons who are
they are named in this system of records communications with the Office of the reasonably necessary to assist in efforts
or who are seeking access or Chairman that may include, without to respond to the suspected or
amendment to records maintained in limitation, name and contact confirmed compromise and prevent,
this system of records must submit their information supplied by the individual minimize, or remedy such harm;
request in writing to Privacy@FDIC.Gov as well as information concerning (5) To appropriate Federal, State, and
or to the Legal Division, FOIA & Privacy subject matter, internal office local authorities in connection with
Act Group, FDIC, 550 17th Street, NW., assignments, processing, and final hiring or retaining an individual,
Washington, DC 20429, in accordance response or other disposition. conducting a background security or
suitability investigation, adjudication of request in writing to Privacy@FDIC.Gov PURPOSE(S):

liability, or eligibility for a license, or to the Legal Division, FOIA & Privacy This system of records is used to
contract, grant, or other benefit; Act Group, FDIC, 550 17th Street, NW., document and respond to constituent
(6) To appropriate Federal, State, and Washington, DC 20429, in accordance and other inquiries forwarded by
local authorities, agencies, arbitrators, with FDIC regulations at 12 CFR Part Members of the U.S. Congress or
and other parties responsible for 310. Individuals requesting their records Congressional staff.
processing any personnel actions or must provide their name, address and a
conducting administrative hearings or notarized statement attesting to their ROUTINE USES OF RECORDS MAINTAINED IN THE
corrective actions or grievances or identity. SYSTEM, INCLUDING CATEGORIES OF USERS AND
appeals, or if needed in the performance THE PURPOSES OF SUCH USES:
RECORD ACCESS PROCEDURES: In addition to those disclosures
of other authorized duties;
(7) To appropriate Federal agencies See ‘‘Notification Procedure’’ above. generally permitted under 5 U.S.C.
and other public authorities for use in CONTESTING RECORD PROCEDURES:
records management inspections; portion of the records or information
(8) To contractors, grantees, See ‘‘Notification Procedure’’ above. contained in this system may be
volunteers, and others performing or Individuals wishing to contest or amend disclosed outside the FDIC as a routine
working on a contract, service, grant, information maintained in this system use as follows:
cooperative agreement, or project for the of records should specify the (1) To appropriate Federal, State, and
Federal Government; information being contested, their local authorities responsible for
(9) To an insured depository reasons for contesting it, and the investigating or prosecuting a violation
institution which is the subject of an proposed amendment to such of, or for enforcing or implementing a
inquiry or complaint when necessary to information in accordance with FDIC statute, rule, regulation, or order issued,
investigate or resolve the inquiry or regulations at 12 CFR Part 310. when the information indicates a
complaint; and RECORD SOURCE CATEGORIES: violation or potential violation of law,
(10) To the primary Federal or State whether civil, criminal, or regulatory in
Information maintained in this system
financial regulator of an insured nature, and whether arising by general
is obtained from individuals who
depository institution that is the subject statute or particular program statute, or
submit correspondence to the FDIC for
of an inquiry or complaint. by regulation, rule, or order issued
response, and FDIC personnel.
pursuant thereto;
EXEMPTIONS CLAIMED FOR THE SYSTEM: (2) To a court, magistrate, or other
DISPOSING OF RECORDS IN THE SYSTEM: None. administrative body in the course of
STORAGE:
FDIC–30–64–0029 disclosures to counsel or witnesses in
Records are stored in electronic media the course of civil discovery, litigation,
SYSTEM NAME:
and paper format within individual file or settlement negotiations or in
folders. Congressional Correspondence
Records. connection with criminal proceedings,
RETRIEVABILITY: when the FDIC is a party to the
Records are indexed and retrieved by SECURITY CLASSIFICATION: proceeding or has a significant interest
name, date, and subject. Unclassified but sensitive. in the proceeding, to the extent that the
SAFEGUARDS: SYSTEM LOCATION: and necessary;
Electronic records are password- FDIC, Office of Legislative Affairs, 550 (3) To a congressional office in
protected and accessible only by 17th Street, NW., Washington, DC response to an inquiry made by the
authorized personnel. Paper records are 20429. congressional office at the request of the
maintained in lockable metal file individual who is the subject of the
cabinets accessible only to authorized SYSTEM:
record;
personnel. (4) To appropriate Federal, State, local
Current and former Members of the
RETENTION AND DISPOSAL: U.S. Congress and Congressional staff;
These records will be maintained and individuals whose inquiries relating
until they become inactive, at which to FDIC activities are forwarded by
time they will be retired or destroyed in Members of Congress or Congressional
accordance with National Archives and staff to the FDIC for response.
Records Administration and FDIC identity theft or fraud, or harm to the
Records Retention and Disposition security or integrity of this system or
Schedules. Disposal is by shredding or Contains correspondence from
Members of the U.S. Congress or other systems or programs that rely
other appropriate disposal systems. upon the compromised information; and
Congressional staff making inquiries or
SYSTEM MANAGER(S) AND ADDRESS: transmitting inquiries, correspondence (c) the disclosure is made to such
Office of Legislative Affairs, FDIC, 550 or documents from constituents that agencies, entities, and persons who are
17th Street, NW., Washington, DC may include, without limitation, name reasonably necessary to assist in efforts
20429. and contact information as well as to respond to the suspected or
information concerning subject matter, confirmed compromise and prevent,
NOTIFICATION PROCEDURE: minimize, or remedy such harm;

internal office assignments, processing,
Individuals wishing to determine if and final response or other disposition. (5) To appropriate Federal, State, and
they are named in this system of records local authorities in connection with
or who are seeking access or AUTHORITY FOR MAINTENANCE OF THE SYSTEM: hiring or retaining an individual,
amendment to records maintained in Section 9 of the Federal Deposit conducting a background security or
this system of records must submit their Insurance Act (12 U.S.C. 1819). suitability investigation, adjudication of
liability, or eligibility for a license, SYSTEM MANAGER(S) AND ADDRESS: information supplied by the individual
contract, grant, or other benefit; Office of Legislative Affairs, FDIC, 550 as well as information related to the
(6) To appropriate Federal, State, and 17th Street, NW., Washington, DC inquiry that was developed by FDIC
local authorities, agencies, arbitrators, 20429. staff.
NOTIFICATION PROCEDURE: AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
processing any personnel actions or
conducting administrative hearings or Individuals wishing to determine if Section 9 of the Federal Deposit
corrective actions or grievances or they are named in this system of records Insurance Act (12 U.S.C. 1819).
appeals, or if needed in the performance or who are seeking access or
PURPOSE(S):
of other authorized duties; amendment to records maintained in
this system of records must submit their This system of records is used to
(7) To appropriate Federal agencies respond to inquiries regarding FDIC’s
and other public authorities for use in request in writing to Privacy@FDIC.Gov
or to the Legal Division, FOIA & Privacy views on proposed legislation, facilitate
records management inspections; Congressional briefings, and coordinate
Act Group, FDIC, 550 17th Street, NW.,
(8) To contractors, grantees, preparation of FDIC responses to
Washington, DC 20429, in accordance
volunteers, and others performing or constituent inquiries.
cooperative agreement, or project for the ROUTINE USES OF RECORDS MAINTAINED IN THE
must provide their name, address and a SYSTEM, INCLUDING CATEGORIES OF USERS AND
Federal Government;
notarized statement attesting to their THE PURPOSES OF SUCH USES:
(9) To an insured depository identity.
institution which is the subject of an In addition to those disclosures
inquiry or complaint when necessary to RECORD ACCESS PROCEDURES: generally permitted under 5 U.S.C.
investigate or resolve the inquiry or See ‘‘Notification Procedure’’ above. 552a(b) of the Privacy Act, all or a
complaint; portion of the records or information
(10) To the primary Federal or State CONTESTING RECORD PROCEDURES: contained in this system may be
financial regulator of an insured See ‘‘Notification Procedure’’ above. disclosed outside the FDIC as a routine
depository institution that is the subject Individuals wishing to contest or amend use as follows:
of an inquiry or complaint; and information maintained in this system (1) To appropriate Federal, State, and
of records should specify the local authorities responsible for
(11) To authorized third-party sources
information being contested, their investigating or prosecuting a violation
during the course of the investigation in
reasons for contesting it, and the of, or for enforcing or implementing a
order to resolve the inquiry or
proposed amendment to such statute, rule, regulation, or order issued,
complaint. Information that may be
information in accordance with FDIC when the information indicates a
disclosed under this routine use is
regulations at 12 CFR Part 310. violation or potential violation of law,
limited to the name of the inquirer or
complainant and the nature of the RECORD SOURCE CATEGORIES: nature, and whether arising by general
inquiry or complaint and such Information maintained in this system statute or particular program statute, or
additional information necessary to is obtained from individuals who by regulation, rule, or order issued
investigate the inquiry or complaint. submit correspondence to the FDIC for pursuant thereto;
POLICIES AND PRACTICES FOR STORING, response, and FDIC personnel. (2) To a court, magistrate, or other
RETRIEVING, ACCESSING, RETAINING, AND administrative body in the course of
DISPOSING OF RECORDS IN THE SYSTEM: presenting evidence, including
None. disclosures to counsel or witnesses in
STORAGE:
FDIC–30–64–0030 the course of civil discovery, litigation,
Records are stored in electronic media or settlement negotiations or in
and paper format within individual file SYSTEM NAME: connection with criminal proceedings,
folders. Legislative Information Tracking when the FDIC is a party to the
System Records. proceeding or has a significant interest
RETRIEVABILITY:
in the proceeding, to the extent that the
Records are indexed and retrieved by SECURITY CLASSIFICATION:
name, date, and subject. Unclassified but sensitive. and necessary;
SYSTEM LOCATION:
SAFEGUARDS:
Electronic records are password- FDIC, Office of Legislative Affairs, 550 congressional office at the request of the
protected and accessible only by 17th Street, NW., Washington, DC individual who is the subject of the
authorized personnel. Paper records are 20429. record;
maintained in lockable metal file CATEGORIES OF INDIVIDUALS COVERED BY THE (4) To appropriate Federal, State, local
cabinets accessible only to authorized SYSTEM: authorities, and other entities when (a)
personnel. Current and former Members of the it is suspected or confirmed that the
U.S. Congress and Congressional staff; security or confidentiality of
RETENTION AND DISPOSAL: information in the system has been
and individuals who contact, or are
These records will be maintained contacted by the FDIC Office of compromised; (b) there is a risk of harm
until they become inactive, at which Legislative Affairs. to economic or property interests,
time they will be retired or destroyed in identity theft or fraud, or harm to the
accordance with National Archives and CATEGORIES OF RECORDS IN THE SYSTEM: security or integrity of this system or
Records Administration and FDIC Contains memoranda, e-mail and other systems or programs that rely
Records Retention and Disposition other communications with the Office of upon the compromised information; and
Schedules. Disposal is by shredding or Legislative Affairs that may include (c) the disclosure is made to such
other appropriate disposal systems. without limitation, name and contact agencies, entities, and persons who are
reasonably necessary to assist in efforts Records Administration and FDIC FDIC San Francisco Regional Office,
to respond to the suspected or Records Retention and Disposition 25 Jessie Street at Ecker Square, Suite
confirmed compromise and prevent, Schedules. Disposal is by shredding or 2300, San Francisco, CA 94105–2780.
minimize, or remedy such harm; other appropriate disposal systems. Dated at Washington, DC, this 16th day of
(5) To appropriate Federal, State, and October, 2007.
local authorities in connection with By order of the Board of Directors.
hiring or retaining an individual, Director, Office of Legislative Affairs,
FDIC, 550 17th Street, NW., Robert E. Feldman,
conducting a background security or
Washington, DC 20429. Executive Secretary.
suitability investigation, adjudication of
liability, or eligibility for a license, [FR Doc. E7–21167 Filed 10–26–07; 8:45 am]
contract, grant, or other benefit; BILLING CODE 6714–01–P
Individuals wishing to determine if
(6) To appropriate Federal, State, and they are named in this system of records
local authorities, agencies, arbitrators, or who are seeking access or
and other parties responsible for amendment to records maintained in FEDERAL FINANCIAL INSTITUTIONS
processing any personnel actions or this system of records must submit their EXAMINATION COUNCIL
conducting administrative hearings or request in writing to Privacy@FDIC.Gov
corrective actions or grievances or Appraisal Subcommittee; 60 Day
or to the Legal Division, FOIA & Privacy Notice of Intent To Request Clearance
appeals, or if needed in the performance Act Group, FDIC, 550 17th Street, NW.,
of other authorized duties; for Extension of Collection of
Washington, DC 20429, in accordance Information; Opportunity for Public
(7) To appropriate Federal agencies with FDIC regulations at 12 CFR Part
and other public authorities for use in Comment
records management inspections; must provide their name, address and a AGENCY: Appraisal Subcommittee,
(8) To contractors, grantees, notarized statement attesting to their Federal Financial Institutions
volunteers, and others performing or identity. Examination Council.
working on a contract, service, grant, ACTION: Notice of intent to request from
cooperative agreement, or project for the RECORD ACCESS PROCEDURES:
the Office of Management and Budget
Federal Government; See ‘‘Notification Procedure’’ above. (‘‘OMB’’) clearance for extension of
(9) To an insured depository collections of information and request
institution which is the subject of an for comments.
inquiry or complaint when necessary to See ‘‘Notification Procedure’’ above.
investigate or resolve the inquiry or Individuals wishing to contest or amend SUMMARY: In accordance with the
complaint; information maintained in this system Paperwork Reduction Act of 1995 and 5
(10) To the primary Federal or State of records should specify the CFR Part 1320, Reporting and
financial regulator of an insured information being contested, their Recordkeeping Requirements, the
depository institution that is the subject reasons for contesting it, and the Appraisal Subcommittee of the Federal
of an inquiry or complaint; and proposed amendment to such Financial Institutions Examination
(11) To authorized third-party sources information in accordance with FDIC Council (‘‘ASC’’) is soliciting comments
during the course of the investigation in regulations at 12 CFR Part 310. on the need for the collection of
order to resolve the inquiry or RECORD SOURCE CATEGORIES: information contained in 12 CFR Part
complaint. Information that may be Information maintained in this system 1102, Subpart D, Description of Office,
disclosed under this routine use is is obtained from individuals who Procedures, Public Information. The
limited to the name of the inquirer or contact the FDIC for response, and FDIC ASC also requests comments on the
complainant and the nature of the personnel. practical utility of the collection of
inquiry or complaint and such information; the accuracy of the burden
additional information necessary to EXEMPTIONS CLAIMED FOR THE SYSTEM: hour estimate; ways to enhance the
investigate the inquiry or complaint. None. quality, utility, and clarity of the
information to be collected; and ways to
POLICIES AND PRACTICES FOR STORING, Appendix A
minimize the burden to respondents,
RETRIEVING, ACCESSING, RETAINING, AND FDIC Atlanta Regional Office, 10
including use of automated information
Tenth Street, NE., Suite 800, Atlanta, collection techniques or other forms of
STORAGE: GA 30309–3906. information technology.
Records are stored in electronic media FDIC Boston Regional Office, 18 DATES: Comments on this information
and paper format within individual file Braintree Hill Office Park, Suite 100, collection must be received on or before
folders. Braintree, MA 02184–8701. December 28, 2007.
FDIC Chicago Regional Office, 500
ADDRESSES: Send comments to Ben
RETRIEVABILITY: West Monroe Street, Suite 3500,
Chicago, IL 60661–3097. Henson, Executive Director, Appraisal
FDIC Dallas Regional Office, 1910 Subcommittee, 2000 K Street, NW.,
name, date, and subject.
Pacific Avenue, 19th floor, Dallas, TX Suite 310, Washington, DC 20006.
SAFEGUARDS: 75201–4586. FOR FURTHER INFORMATION CONTACT:
Electronic records are password- FDIC Kansas City Regional Office, Marc L. Weinberg, General Counsel,
protected and accessible only by 2345 Grand Boulevard, Suite 1200, Appraisal Subcommittee, at 2000 K
authorized personnel. Kansas City, MO 64108–2638. Street, NW., Suite 310, Washington, DC
FDIC Memphis Area Office, 5100 20006 or 202–293–6250.

RETENTION AND DISPOSAL: Poplar Avenue, Suite 1900, Memphis, SUPPLEMENTARY INFORMATION:
These records will be maintained TN 38157. Title: 12 CFR part 1102, subpart D;
until they become inactive, at which FDIC New York Regional Office, 20 Description of Office, Procedures,
time they will be retired or destroyed in Exchange Street, 4th Floor, New York, Public Information.
accordance with National Archives and NY 10005. ASC Form Number: None.

Notice: Privacy Act Systems of Records

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Federal Register / Vol. 72, No.

208 / Monday, October 29, 2007 / Notices 61131

[FR Doc. E7–21097 Filed 10–26–07; 8:45 am]

SECURITY CLASSIFICATION: and necessary; protected; and accessible only by authorized

corrective actions or grievances or Washington, DC 20429. institution or specialized number assigned to

suitability investigation, adjudication of amendment to records maintained in employee certifications on training

20429. Records may include schedule of and necessary;

RECORD ACCESS PROCEDURES: insured depository institutions or

(6) To the subjects of an investigation hiring or retaining an employee,

accessible only by authorized personnel applicant personal data such as name,

qualifications, grade level eligibility, to respond to the suspected or NOTIFICATION PROCEDURE:

security or integrity of this system or SYSTEM MANAGER(S) AND ADDRESS:

CATEGORIES OF RECORDS IN THE SYSTEM: generally permitted under 5 U.S.C.

concerning personnel policies, RETRIEVABILITY: EXEMPTIONS CLAIMED FOR THE SYSTEM:

DISPOSING OF RECORDS IN THE SYSTEM:

corrective actions or grievances or SECURITY CLASSIFICATION:

presenting evidence, including (11) To a Health Unit or occupational

to economic or property interests, DISCLOSURE TO CONSUMER REPORTING NOTIFICATION PROCEDURE:

these records will be limited to the Unclassified but sensitive.

corrective actions or grievances or

a class of equity securities issued by an (7) To officials of a labor organization

suitability investigation, adjudication of request in writing to Privacy@FDIC.Gov PURPOSE(S):

NOTIFICATION PROCEDURE: minimize, or remedy such harm;

FDIC Memphis Area Office, 5100 20006 or 202–293–6250.

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