FDIC-30--64—0002: Financial Institution Investigative and Enforcement Records

Vol. 80

Friday,

No. 210

October 30, 2015

Part II

Federal Deposit Insurance Corporation

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Privacy Act of 1974, as Amended; System of Records; Notice

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Federal Register / Vol. 80, No. 210 / Friday, October 30, 2015 / Notices

FEDERAL DEPOSIT INSURANCE
CORPORATION
Privacy Act of 1974, as Amended;
System of Records
Federal Deposit Insurance
Corporation.
ACTION: Privacy Act of 1974:
Republication of Notice of Systems of
Records.
AGENCY:

Pursuant to the provisions of
the Privacy Act of 1974, as amended, 5
U.S.C. 552a(e)(4) and OMB Circular A–
130, the Federal Deposit Insurance
Corporation (‘‘FDIC’’) is republishing in
full a notice of the existence and
character of each FDIC system of
records. FDIC is making minor editorial
and stylistic revisions to make the
notices clearer, more accurate, and upto-date.
DATES: This notice shall become final
and effective on October 30, 2015.
FOR FURTHER INFORMATION CONTACT: Gary
Jackson, Counsel, FDIC, 550 17th Street
NW., Washington, DC 20429, (703) 562–
2677.
SUPPLEMENTARY INFORMATION: In
accordance with the Privacy Act of
1974, as amended, the FDIC publishes
in the Federal Register and posts on its
Web site a system of records notice for
each system of records about
individuals that the FDIC currently
maintains within the meaning of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a. Each system of records
notice describes the records maintained
in that particular system, the categories
of individuals that the records in the
system are about, the purpose for the
system, the intended use of the
information in the system including any
routine disclosures outside the FDIC,
the safeguards used to prevent misuse of
the information, and how individuals
may exercise their rights under the
Privacy Act to determine if the system
contains information about them. FDIC
last published a complete list of its
system notices in the Federal Register
on October 23, 2013, Volume 78,
Number 205 (78 FR 63320). This
publication may be viewed at http://
www.fdic.gov/about/privacy/ on the
FDIC’s Privacy Web page. With the
present notice, the FDIC is publishing
the complete text of all of its system
notices to incorporate minor
administrative and editorial revisions
and to provide a current, easily
accessible compilation. Information
about the administrative revisions is
noted below.
The Attorney and Legal Intern
Applicant Records (FDIC 30–64–0001)
system was used to manage applications

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SUMMARY:

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for the positions of honors attorney or
legal intern with the Legal Division of
the FDIC. Due to the implementation of
the Pathways Program (Exec. Order No.
13562), applications for the position of
legal intern are now received through
USAJOBS and processed directly by the
Human Relations Branch of the Division
of Administration. The System Name
has been revised to reflect the new title,
Honors Attorney Applicant Records
(FDIC 30–64–0001), and the Purpose
and Categories of Individuals Covered
by the System have been revised to
delete reference to applicants for the
position of legal intern.
The Employee Confidential Financial
Disclosure Records (FDIC 30–64–0006)
system is used to process and maintain
information to ensure compliance with
applicable Federal Ethics Regulations
and supplemental FDIC Standards of
Ethical Conduct. The Categories of
Individuals Covered by the System has
been revised to clarify that the system
also includes prospective employees.
The Online Ordering Request Records
(FDIC 30–64–0031) system is used to
process orders for FDIC publications
and products. The Categories of Records
has been revised to delete the collection
of debit and/or credit card payment
information because all available
products are now provided at no cost to
the public. The Routine Uses of the
records has also been revised to delete
the routine disclosure of information to
Pay.gov formerly required in order to
process debit or credit card transactions.
The Investigative Files of the Office of
Inspector General (FDIC 30–64–0010)
system is used to document
investigations by the OIG or other
investigative agencies regarding FDIC
programs and operations. The
Categories of Records in the System has
been revised to clarify that
correspondence maintained in the
system may include payroll, telephone,
and email records.
The System Manager and/or System
Location has been revised to reflect
current administrative responsibility for
the following systems of records:
Employee Training Information Records
(FDIC 30–64–0007); Safety and Security
Incident Records (FDIC 30–64–0009);
Financial Information Management
Records (FDIC 30–64–0012); Transit
Subsidy Program Records (FDIC 30–64–
0026); Parking Program Records (FDIC
30–64–0027); and Identity, Credential
and Access Management Records (FDIC
30–64–0035).
The FDIC is not adding any new
systems, or making any system
alternations that would require prior
public comment or notice to the Office
of Management and Budget and

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Congress. See 5 U.S.C. 552a(e)(11) and
552a(r); OMB Circular A–130, Appendix
I at § 4(c)(1). More detailed information
on the revised systems of records may
be viewed in the complete text below.
Index of FDIC Privacy Act Systems of
Records in This Publication
FDIC 30–64–0001 Honors Attorney
Applicant Records
FDIC 30–64–0002 Financial Institution
Investigative and Enforcement Records
FDIC 30–64–0003 Administrative and
Personnel Action Records
FDIC 30–64–0004 Changes in Financial
Institution Control Ownership Records
FDIC 30–64–0005 Consumer Complaint and
Inquiry Records
FDIC 30–64–0006 Employee Confidential
Financial Disclosure Records
FDIC 30–64–0007 FDIC Learning and
Development Records
FDIC 30–64–0008 Chain Banking
Organizations Identification Records
FDIC 30–64–0009 Safety and Security
Incident Records
FDIC 30–64–0010 Investigative Files of the
Office of Inspector General
FDIC 30–64–0011 Corporate Applicant
Recruiting, Evaluating, and Electronic
Referral Records
FDIC 30–64–0012 Financial Information
Management Records
FDIC 30–64–0013 Insured Financial
Institution Liquidation Records
FDIC 30–64–0014 Personnel Benefits and
Enrollment Records
FDIC 30–64–0015 Personnel Records
FDIC 30–64–0016 Professional
Qualification Records for Municipal
Securities Dealers, Municipal Securities
Representatives and U.S. Government
Securities Brokers/Dealers
FDIC 30–64–0017 Employee Medical and
Health Assessment Records
FDIC 30–64–0018 Grievance Records
FDIC 30–64–0019 Potential Bidders List
FDIC 30–64–0020 Telephone Call Detail
Records
FDIC 30–64–0021 Fitness Center Records
FDIC 30–64–0022 Freedom of Information
Act and Privacy Act Request Records
FDIC 30–64–0023 Affordable Housing
Program Records
FDIC 30–64–0024 Unclaimed Deposit
Account Records
FDIC 30–64–0025 Beneficial Ownership
Filings (Securities Exchange Act)
FDIC 30–64–0026 Transit Subsidy Program
Records
FDIC 30–64–0027 Parking Program Records
FDIC 30–64–0028 Office of the Chairman
Correspondence Records
FDIC 30–64–0029 Congressional
Correspondence Records
FDIC 30–64–0030 Legislative Information
Tracking System Records
FDIC 30–64–0031 Online Ordering Request
Records
FDIC 30–64–0032 (Reserved)
FDIC 30–64–0033 Emergency Notification
Records
FDIC 30–64–0034 Office of Inspector
General Inquiry Records
FDIC 30–64–0035 Identity, Credential and

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Access Management Records
FDIC–30–64–0001
SYSTEM NAME:

Honors Attorney Applicant Records.
SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

Legal Division, FDIC, 550 17th Street
NW., Washington, DC 20429; and
Atlanta Regional Office, FDIC, 10 Tenth
Street, Suite 800, Atlanta, Georgia
30309.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Applicants for the position of honors
attorney with the Legal Division of the
FDIC.
CATEGORIES OF RECORDS IN THE SYSTEM:

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

Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819).
PURPOSE:

The information in this system is used
to evaluate the qualifications of
individuals who apply for honors
attorney positions in the Legal Division.

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ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those disclosures
generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a
portion of the records or information
contained in this system may be
disclosed outside the FDIC as a routine
use as follows:
(1) To appropriate Federal, State, and
local authorities responsible for
investigating or prosecuting a violation
of, or for enforcing or implementing a
statute, rule, regulation, or order issued,
when the information indicates a
violation or potential violation of law,
whether civil, criminal, or regulatory in
nature, and whether arising by general
statute or particular program statute, or
by regulation, rule, or order issued
pursuant thereto;
(2) To a court, magistrate, or other
administrative body in the course of
presenting evidence, including

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disclosures to counsel or witnesses in
the course of civil discovery, litigation,
or settlement negotiations or in
connection with criminal proceedings,
when the FDIC is a party to the
proceeding or has a significant interest
in the proceeding, to the extent that the
information is determined to be relevant
and necessary;
(3) To a congressional office in
response to an inquiry made by the
congressional office at the request of the
individual who is the subject of the
record;
(4) To appropriate Federal, State, local
authorities, and other entities when (a)
it is suspected or confirmed that the
security or confidentiality of
information in the system has been
compromised; (b) there is a risk of harm
to economic or property interests,
identity theft or fraud, or harm to the
security or integrity of this system or
other systems or programs that rely
upon the compromised information; and
(c) the disclosure is made to such
agencies, entities, and persons who are
reasonably necessary to assist in efforts
to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy such harm;
(5) To appropriate Federal, State, and
local authorities in connection with
hiring or retaining an individual,
conducting a background security or
suitability investigation, adjudication of
liability, or eligibility for a license,
contract, grant, or other benefit;
(6) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(7) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(8) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under
such contract, grant, agreement or
project;
(9) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions; and
(10) To individuals or concerns whose
names were supplied by the applicant
as references and/or past or present
employers in requesting information
about the applicant.

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

Storage: Records are stored in
electronic media and in paper format
within individual file folders.
Retrievability: Records are retrieved
by name. Records of unsuccessful
applicants are indexed first by job
position category and year and then by
name.
Safeguards: Electronic records are
password-protected and accessible only
by authorized personnel. Paper records
are maintained in lockable metal file
cabinets accessible only to authorized
personnel. Some paper records may be
maintained in a locked room accessible
only to authorized personnel during a
finite initial review period.
Retention and Disposal: Records of
unsuccessful applicants are retained
two years after their submission; records
of successful applicants become a part
of the Personnel Records system of
records (FDIC 30–64–0015) and are
retained two years after the applicant
leaves the employ of the FDIC.
SYSTEM MANAGER(S) AND ADDRESS:

Assistant General Counsel, Open
Bank Regional Affairs Section, Legal
Division, FDIC, 550 17th Street NW.,
Washington, DC 20429.
NOTIFICATION PROCEDURE:

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

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

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

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

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EXEMPTIONS CLAIMED FOR THE SYSTEM:

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

Financial Institution Investigative and
Enforcement Records.
SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

Division of Risk Management
Supervision, FDIC, 550 17th Street NW.,
Washington, DC 20429.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

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

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CATEGORIES OF RECORDS IN THE SYSTEM:

Contains interagency or intra-agency
correspondence or memoranda; criminal
referral reports; suspicious activity
reports; newspaper clippings; Federal,
State, or local criminal law enforcement
agency investigatory reports,
indictments and/or arrest and
conviction information; and
administrative enforcement orders or
agreements. Note: Certain records
contained in this system (principally
criminal investigation reports prepared
by the Federal Bureau of Investigation,
Secret Service, and other federal law
enforcement agencies) are the property
of federal law enforcement agencies.
Upon receipt of a request for such
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AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

SYSTEM NAME:

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proprietary agency of the request and
seek guidance with respect to
disposition. The FDIC may forward the
request to that agency for processing in
accordance with that agency’s
regulations.

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

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

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congressional office at the request of the
individual who is the subject of the
record;
(4) To appropriate Federal, State, local
authorities, and other entities when (a)
it is suspected or confirmed that the
security or confidentiality of
information in the system has been
compromised; (b) there is a risk of harm
to economic or property interests,
identity theft or fraud, or harm to the
security or integrity of this system or
other systems or programs that rely
upon the compromised information; and
(c) the disclosure is made to such
agencies, entities, and persons who are
reasonably necessary to assist in efforts
to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy such harm;
(5) To appropriate Federal, State, and
local authorities in connection with
hiring or retaining an individual,
conducting a background security or
suitability investigation, adjudication of
liability, or eligibility for a license,
contract, grant, or other benefit;
(6) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(7) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(8) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under
such contract, grant, agreement or
project;
(9) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions;
(10) To a financial institution affected
by enforcement activities or reported
criminal activities;
(11) To the Internal Revenue Service
and appropriate State and local taxing
authorities;
(12) To other Federal, State or foreign
financial institutions supervisory or
regulatory authorities; and
(13) To the Department of the
Treasury, federal debt collection
centers, other appropriate federal
agencies, and private collection
contractors or other third Parties
authorized by law, for the purpose of
collecting or assisting in the collection

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of delinquent debts owed to the FDIC.
Disclosure of information contained in
these records will be limited to the
individual’s name, Social Security
number, and other information
necessary to establish the identity of the
individual, and the existence, validity,
amount, status and history of the debt.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Pursuant to 5 U.S.C. 552a(b)(12),
disclosures may be made from this
system to consumer reporting agencies
as defined in the Fair Credit Reporting
Act (15 U.S.C. 1681a(f)) or the Federal
Claims Collection Act of 1966 (31 U.S.C.
3701(a)(3)).
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Storage: Records are stored in
electronic media and in paper format
within individual file folders.
Retrievability: Records are indexed
and retrieved by name of the individual.
Safeguards: Electronic files are
password protected and accessible only
by authorized persons. File folders are
maintained in lockable metal file
cabinets.
Retention and Disposal: These records
will be maintained until they become
inactive, at which time they will be
retired or destroyed in accordance with
FDIC Records Retention Schedules and
the National Archives and Records
Administration. Disposal is by
shredding or other appropriate disposal
methods.
SYSTEM MANAGERS AND ADDRESS:

Director, Division of Risk
Management Supervision, FDIC, 550
17th Street NW., Washington, DC 20429.
NOTIFICATION PROCEDURE:

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

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.
Individuals wishing to contest or amend
information maintained in this system
should specify the information being

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contested, the reasons for contesting it,
and the proposed amendment to such
information in accordance with FDIC
regulations at 12 CFR part 310.
RECORD SOURCE CATEGORIES:

Financial institutions; financial
institution supervisory or regulatory
authorities; newspapers or other public
records; witnesses; current or former
FDIC employees; criminal law
enforcement and prosecuting
authorities.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

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

Administrative and Personnel Action
Records.
SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

Legal Division, Executive Secretary
Section, FDIC, 550 17th Street NW.,
Washington, DC 20429.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

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

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

Sections 8, 9, and 19 of the Federal
Deposit Insurance Act (12 U.S.C. 1818,
1819, 1829).
PURPOSE:

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

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ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

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

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Federal Register / Vol. 80, No. 210 / Friday, October 30, 2015 / Notices

appeals, or if needed in the performance
of other authorized duties;
(7) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(8) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under
such contract, grant, agreement or
project;
(9) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions; and
(10) To the U.S. Office of Personnel
Management, General Accounting
Office, the Office of Government Ethics,
the Merit Systems Protection Board, the
Office of Special Counsel, the Equal
Employment Opportunity Commission,
or the Federal Labor Relations Authority
or its General Counsel of records or
portions thereof determined to be
relevant and necessary to carrying out
their authorized functions, including
but not limited to a request made in
connection with the hiring or retention
of an employee, the issuance of a
security clearance, the reporting of an
investigation of an employee, the letting
of a contract or issuance of a grant,
license, or other benefit by the
requesting agency, but only to the extent
that the information disclosed is
necessary and relevant to the requesting
agency’s decision on the matter.

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

Storage: Records are stored in
electronic media, microfilm, and paper
format within individual file folders,
minute book ledgers and index cards.
Retrievability: Records are indexed
and retrieved by name.
Safeguards: Electronic files are
password protected and accessible only
by authorized personnel. Paper format,
index cards, and minute book ledgers
are stored in lockable metal file cabinets
or vault accessible only by authorized
personnel. A security copy of certain
microfilmed portions of the records is
retained at another location.
Retention and Disposal: Permanent.
SYSTEM MANAGER(S) AND ADDRESS:

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

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NOTIFICATION PROCEDURE:

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

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

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

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
FDIC–30–64–0004
SYSTEM NAME:

Changes in Financial Institution
Control Ownership Records.
Unclassified but sensitive.
SYSTEM LOCATION:

Division of Risk Management
Supervision, FDIC, 550 17th Street NW.,
Washington, DC 20429.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

(1) Individuals who acquired or
disposed of voting stock in an FDICinsured financial institution resulting in
a change of financial institution control
or ownership; and
(2) Individuals who filed or are
included as a member of a group listed
in a ‘‘Notice of Acquisition of Control’’
of an FDIC-insured financial institution.
Note: The information is maintained
only for the period 1989 to 1995.
Commencing in 1996 the records were
no longer collected nor maintained on
an individual name or personal
identifier basis and are not retrievable
by individual name or personal
identifier. Beginning in 1996,
information concerning changes in
financial institution control is collected
and maintained based upon the name of
the FDIC-insured financial institution or

Fmt 4701

Sfmt 4703

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

PURPOSE:

The system maintains information on
individuals involved in changes of
control of FDIC-insured financial
institutions for the period 1989 to 1995
and is used to support the FDIC’s
regulatory and supervisory functions.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

SECURITY CLASSIFICATION:

Frm 00006

CATEGORIES OF RECORDS IN THE SYSTEM:

Section 7(j) of the Federal Deposit
Insurance Act (12 U.S.C. 1817(j)).

Intra-agency records.

PO 00000

specialized number assigned to the
FDIC-insured financial institution.

In addition to those disclosures
generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a
portion of the records or information
contained in this system may be
disclosed outside the FDIC as a routine
use as follows:
(1) To appropriate Federal, State, and
local authorities responsible for
investigating or prosecuting a violation
of, or for enforcing or implementing a
statute, rule, regulation, or order issued,
when the information indicates a
violation or potential violation of law,
whether civil, criminal, or regulatory in
nature, and whether arising by general
statute or particular program statute, or
by regulation, rule, or order issued
pursuant thereto;
(2) To a court, magistrate, or other
administrative body in the course of
presenting evidence, including
disclosures to counsel or witnesses in
the course of civil discovery, litigation,
or settlement negotiations or in
connection with criminal proceedings,
when the FDIC is a party to the
proceeding or has a significant interest

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in the proceeding, to the extent that the
information is determined to be relevant
and necessary;
(3) To a congressional office in
response to an inquiry made by the
congressional office at the request of the
individual who is the subject of the
record;
(4) To appropriate Federal, State, local
authorities, and other entities when (a)
it is suspected or confirmed that the
security or confidentiality of
information in the system has been
compromised; (b) there is a risk of harm
to economic or property interests,
identity theft or fraud, or harm to the
security or integrity of this system or
other systems or programs that rely
upon the compromised information; and
(c) the disclosure is made to such
agencies, entities, and persons who are
reasonably necessary to assist in efforts
to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy such harm;
(5) To appropriate Federal, State, and
local authorities in connection with
hiring or retaining an individual,
conducting a background security or
suitability investigation, adjudication of
liability, or eligibility for a license,
contract, grant, or other benefit;
(6) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(7) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(8) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under
such contract, grant, agreement or
project;
(9) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions; and
(10) To other Federal or State
financial institution supervisory
authorities.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

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

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Retrievability: Records for the period
1989 to 1995 are indexed and retrieved
by name of the individual.
Safeguards: Electronic files are
password protected and accessible only
by authorized persons. File folders are
maintained in lockable metal file
cabinets.
Retention and Disposal: These records
will be maintained until they become
inactive, at which time they will be
retired or destroyed in accordance with
FDIC Records Retention Schedules and
the National Archives and Records
Administration. Disposal is by
shredding or other appropriate disposal
methods.
SYSTEM MANAGER(S) AND ADDRESS:

Director, Division of Risk
Management Supervision, FDIC, 550
17th Street NW., Washington, DC 20429.
NOTIFICATION PROCEDURE:

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

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

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

Persons who acquired control of an
FDIC-insured financial institution; the
insured financial institution or holding
company in which control changed;
filed ‘‘Change in Control Notice’’ form
and ‘‘Notice of Acquisition of Control’’
form during the period 1989 to 1995;
federal and state financial institution
supervisory authorities.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
FDIC–30–64–0005
SYSTEM NAME:

Consumer Complaint and Inquiry
Records.

PO 00000

Frm 00007

Fmt 4701

Sfmt 4703

66987

SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

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

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

This system contains correspondence
and records of other communications
between the FDIC and the individual
submitting a complaint or making an
inquiry, including copies of supporting
documents and contact information
supplied by the individual. This system
may also contain regulatory and
supervisory communications between
the FDIC and the FDIC-insured
depository institution in question and/
or intra-agency or inter-agency
memoranda or correspondence relevant
to the complaint or inquiry.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819) and
Section 202(f) of Title II of the Federal
Trade Improvement Act (15 U.S.C.
57a(f)).
PURPOSE:

The system maintains correspondence
from individuals regarding complaints
or inquiries concerning activities or
practices of FDIC-insured depository
institutions. The information is used to
identify concerns of individuals, to
manage correspondence received from
individuals and to accurately respond to
complaints, inquiries, and concerns
expressed by individuals. The
information in this system supports the
FDIC regulatory and supervisory
functions.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those disclosures
generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a
portion of the records or information
contained in this system may be
disclosed outside the FDIC as a routine
use as follows:
(1) To appropriate Federal, State, and
local authorities responsible for

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investigating or prosecuting a violation
of, or for enforcing or implementing a
statute, rule, regulation, or order issued,
when the information indicates a
violation or potential violation of law,
whether civil, criminal, or regulatory in
nature, and whether arising by general
statute or particular program statute, or
by regulation, rule, or order issued
pursuant thereto;
(2) To a court, magistrate, or other
administrative body in the course of
presenting evidence, including
disclosures to counsel or witnesses in
the course of civil discovery, litigation,
or settlement negotiations or in
connection with criminal proceedings,
when the FDIC is a party to the
proceeding or has a significant interest
in the proceeding, to the extent that the
information is determined to be relevant
and necessary;
(3) To a congressional office in
response to an inquiry made by the
congressional office at the request of the
individual who is the subject of the
record;
(4) To appropriate Federal, State, local
authorities, and other entities when (a)
it is suspected or confirmed that the
security or confidentiality of
information in the system has been
compromised; (b) there is a risk of harm
to economic or property interests,
identity theft or fraud, or harm to the
security or integrity of this system or
other systems or programs that rely
upon the compromised information; and
(c) the disclosure is made to such
agencies, entities, and persons who are
reasonably necessary to assist in efforts
to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy such harm;
(5) To appropriate Federal, State, and
local authorities in connection with
hiring or retaining an individual,
conducting a background security or
suitability investigation, adjudication of
liability, or eligibility for a license,
contract, grant, or other benefit;
(6) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(7) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(8) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under

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Jkt 238001

such contract, grant, agreement or
project;
(9) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions;
(10) To the insured depository
institution which is the subject of the
complaint or inquiry when necessary to
investigate or resolve the complaint or
inquiry;
(11) To authorized third-party sources
during the course of the investigation in
order to resolve the complaint or
inquiry. Information that may be
disclosed under this routine use is
limited to the name of the complainant
or inquirer and the nature of the
complaint or inquiry and such
additional information necessary to
investigate the complaint or inquiry;
and
(12) To the Federal or State
supervisory/regulatory authority that
has direct supervision over the insured
depository institution that is the subject
of the complaint or inquiry.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Storage: Records are stored in
electronic media.
Retrievability: Electronic media is
indexed and retrieved by unique
identification number which may be
cross referenced to the name of
complainant or inquirer.
Safeguards: Electronic files are
password protected and accessible only
by authorized personnel.
Retention and Disposal: These records
will be maintained until they become
inactive, at which time they will be
retired or destroyed in accordance with
FDIC Records Retention Schedules and
the National Archives and Records
Administration. Disposal is by
shredding or other appropriate disposal
methods.
SYSTEM MANAGER(S) AND ADDRESS:

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

Individuals wishing to determine if
they are named in this system of records
or who are seeking access or
amendment to records maintained in

PO 00000

Frm 00008

Fmt 4701

Sfmt 4703

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

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

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

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

None.
FDIC–30–64–0006
SYSTEM NAME:

Employee Confidential Financial
Disclosure Records.
SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

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

Current and former officers and
employees, prospective employees, and
special government employees.
CATEGORIES OF RECORDS IN THE SYSTEM:

Contains statements of personal and
family financial holdings and other
interests in business enterprises and real

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

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AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

The records are maintained to assure
compliance with the standards of
conduct for Government employees
contained in the Executive Orders,
Federal Statutes and FDIC regulations
and to determine if a conflict of interest
exists between employment of
individuals by the FDIC and their
personal employment and financial
interests.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

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

PO 00000

Frm 00009

Fmt 4701

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66989

security or integrity of this system or
other systems or programs that rely
upon the compromised information; and
(c) the disclosure is made to such
agencies, entities, and persons who are
reasonably necessary to assist in efforts
to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy such harm;
(5) To appropriate Federal, State, and
local authorities in connection with
hiring or retaining an individual,
conducting a background security or
suitability investigation, adjudication of
liability, or eligibility for a license,
contract, grant, or other benefit;
(6) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(7) To appropriate Federal agencies
and other public authorities for use in
records management inspections; and
(8) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under
such contract, grant, agreement or
project.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Storage: Records are stored in
electronic media and in paper format
within individual file folders.
Retrievability: Records are indexed
and retrieved by name of individual.
Electronic media and paper format do
not index the names of prospective
employees who are not selected for
employment.
Safeguards: Electronic files are
password protected and accessible only
by authorized personnel. Paper format
copies are maintained in lockable file
cabinets.
Retention and Disposal: Records
concerning prospective employees who
are not selected for employment are
retained for one year and then
destroyed, except that documents
needed in an ongoing investigation will
be retained until no longer needed in
the investigation. All other records are
retained for six years and then
destroyed. Entries maintained in
electronic media are deleted, except that
paper format documents and electronic
media entries needed in an ongoing
investigation will be retained until no
longer needed for the investigation.

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Disposal is by shredding or other
appropriate disposal methods.

training conducted or sponsored by the
FDIC.

SYSTEM MANAGER(S) AND ADDRESS:

CATEGORIES OF RECORDS IN THE SYSTEM:

Ethics Program Manager, Executive
Secretary Section, Legal Division, FDIC,
550 17th Street NW., Washington, DC
20429.

Records include the schedule of the
individual’s training classes and other
educational programs attended, dates of
attendance, continuing education
credits earned, tuition fees and
expenses, and related information. Also
contains information on career
development, certifications,
commissions, and learner skills and
competencies. The system used by the
Office of Inspector General may also
contain information on educational
degrees or professional memberships
and other similar information.

NOTIFICATION PROCEDURE:

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

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

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

The information is obtained from the
individual or a person or entity
designated by the individual; FDIC
employees designated as Ethics
Counselors or Deputy Ethics
Counselors; FDIC automated personnel
records system; and other employees or
individuals to whom the FDIC has
provided information in connection
with evaluating the records maintained.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
FDIC–30–64–0007
SYSTEM NAME:

FDIC Learning and Development
Records.
SECURITY CLASSIFICATION:

Unclassified but sensitive.

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SYSTEM LOCATION:

FDIC Corporate University, 3501
Fairfax Drive, Arlington, VA 22226, and
FDIC Office of Inspector General, 3501
Fairfax Drive, Arlington, VA 22226.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

All current and former employees and
other individuals that have attended

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AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819); Sections
4(b) and 6(e) of the Inspector General
Act of 1978, as amended (5 U.S.C. app).
PURPOSE:

The system is used to record and
manage comprehensive learning and
development information that is
available to learners, training
administrators, and management. The
system is also used to schedule training
events, enroll students, launch online
training, and run reports. The system is
used to track training, career
development, certifications,
commissions, continuing education and
learner skills and competencies.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those disclosures
generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a
portion of the records or information
contained in this system may be
disclosed outside the FDIC as a routine
use as follows:
(1) To appropriate Federal, State, and
local authorities responsible for
investigating or prosecuting a violation
of, or for enforcing or implementing a
statute, rule, regulation, or order issued,
when the information indicates a
violation or potential violation of law,
whether civil, criminal, or regulatory in
nature, and whether arising by general
statute or particular program statute, or
by regulation, rule, or order issued
pursuant thereto;
(2) To a court, magistrate, or other
administrative body in the course of
presenting evidence, including
disclosures to counsel or witnesses in
the course of civil discovery, litigation,
or settlement negotiations or in
connection with criminal proceedings,
when the FDIC is a party to the
proceeding or has a significant interest

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

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(12) To the U.S. Office of Personnel
Management for purposes of tracking
and analyzing training and related
information of FDIC employees; and
(13) To other Federal Offices of
Inspector General or other entities for
purposes of conducting quality
assessments or peer reviews of the OIG
or any of its components.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
FDIC–30–64–0008
SYSTEM NAME:

Storage: Records are stored in
electronic media and in paper format
within individual file folders.
Retrievability: Electronic media are
accessible by unique identifier or name.
File folders are indexed and retrieved by
name of individual.
Safeguards: Electronic files are
password protected and accessible only
by authorized personnel. Paper records
within individual file folders are
maintained in lockable metal file
cabinets accessible only by authorized
personnel.
Retention and Disposal: Permanent
retention.
SYSTEM MANAGER(S) AND ADDRESSES:

Assistant Director, Educational
Support Services, Corporate University,
FDIC, 3501 Fairfax Drive, Arlington, VA
22226; Deputy Assistant Inspector
General for Management, Office of
Inspector General, FDIC, 3501 Fairfax
Drive, Arlington, VA 22226.
NOTIFICATION PROCEDURE:

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

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

tkelley on DSK3SPTVN1PROD with NOTICES2

maintained, employee supervisors,
training administrators, the training
facility or institution attended, and
FDIC automated personnel records
systems.

See ‘‘Notification Procedure’’ above.
Individuals wishing to contest or amend
information maintained in this system
should specify the information being
contested, the reasons for contesting it,
and the proposed amendment to such
information in accordance with FDIC
regulations at 12 CFR part 310.

Chain Banking Organizations
Identification Records.
SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

Division of Risk Management
Supervision, FDIC, 550 17th Street NW.,
Washington, DC 20429, and FDIC
regional offices. (See Appendix A for a
list of the FDIC regional offices and their
addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

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

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

Sections 7(j) and 9 of the Federal
Deposit Insurance Act (12 U.S.C.
1817(j), 1819).
PURPOSE:

This system identifies and maintains
information of possible linked FDICinsured depository institutions or
holding companies which, due to their
common ownership, present a
concentration of resources that could be
susceptible to common risks. The
information in this system is used to
support the FDIC’s regulatory and
supervisory functions.

RECORD SOURCE CATEGORIES:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

The information is obtained from the
employee about whom the record is

In addition to those disclosures
generally permitted under 5 U.S.C.

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66991

552a(b) of the Privacy Act, all or a
portion of the records or information
contained in this system may be
disclosed outside the FDIC as a routine
use as follows:
(1) To appropriate Federal, State, and
local authorities responsible for
investigating or prosecuting a violation
of, or for enforcing or implementing a
statute, rule, regulation, or order issued,
when the information indicates a
violation or potential violation of law,
whether civil, criminal, or regulatory in
nature, and whether arising by general
statute or particular program statute, or
by regulation, rule, or order issued
pursuant thereto;
(2) To a court, magistrate, or other
administrative body in the course of
presenting evidence, including
disclosures to counsel or witnesses in
the course of civil discovery, litigation,
or settlement negotiations or in
connection with criminal proceedings,
when the FDIC is a party to the
proceeding or has a significant interest
in the proceeding, to the extent that the
information is determined to be relevant
and necessary;
(3) To a congressional office in
response to an inquiry made by the
congressional office at the request of the
individual who is the subject of the
record;
(4) To appropriate Federal, State, local
authorities, and other entities when (a)
it is suspected or confirmed that the
security or confidentiality of
information in the system has been
compromised; (b) there is a risk of harm
to economic or property interests,
identity theft or fraud, or harm to the
security or integrity of this system or
other systems or programs that rely
upon the compromised information; and
(c) the disclosure is made to such
agencies, entities, and persons who are
reasonably necessary to assist in efforts
to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy such harm;
(5) To appropriate Federal, State, and
local authorities in connection with
hiring or retaining an individual,
conducting a background security or
suitability investigation, adjudication of
liability, or eligibility for a license,
contract, grant, or other benefit;
(6) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(7) To appropriate Federal agencies
and other public authorities for use in
records management inspections;

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(8) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under
such contract, grant, agreement or
project;
(9) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions; and
(10) To other Federal or State
financial institution supervisory
authorities for: (a) Coordination of
examining resources when the chain
banking organization is composed of
insured depository institutions subject
to multiple supervisory jurisdictions; (b)
coordination of evaluations and analysis
of the condition of the consolidated
chain organization; and (c) coordination
of supervisory, corrective or
enforcement actions.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

RECORD ACCESS PROCEDURES:

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

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

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

Examination reports and related
materials; regulatory filings; and Change
in Financial Institution Control Notices
filed pursuant to 12 U.S.C. 1817(j).
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
FDIC–30–64–0009
SYSTEM NAME:

Safety and Security Incident Records.

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

SECURITY CLASSIFICATION:

Storage: Records are stored in
electronic media.
Retrievability: Indexed and retrieved
by name of controlling individual(s) or
assigned identification number.
Safeguards: Electronic files are
password protected and accessible only
by authorized personnel.
Retention and Disposal: Certain
records are archived in off-line storage
and all records are periodically updated
to reflect changes. These records will be
maintained until they become inactive,
at which time they will be retired or
destroyed in accordance with FDIC
Records Retention Schedules and the
National Archives and Records
Administration. Disposal is by
shredding or other appropriate disposal
methods.

SYSTEM LOCATION:

Unclassified but sensitive.

SYSTEM MANAGER(S) AND ADDRESS:

Director, Division of Risk
Management Supervision, FDIC, 550
17th Street NW., Washington, DC 20429.
NOTIFICATION PROCEDURE:

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address and a notarized statement
attesting to their identity.

17:39 Oct 29, 2015

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

To the extent not covered by any
other system, this system covers current
and past FDIC employees, contractors,
volunteers, visitors, and others involved
in the investigation of accidents, injury,
criminal conduct, and related civil
matters involving the FDIC.
CATEGORIES OF RECORDS IN THE SYSTEM:

This system contains investigative
reports, correspondence and other
communications that may include,
without limitation, name, home and
office address and phone numbers,
physical characteristics, vehicle
information, and associated
information.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Individuals wishing to determine if
they are named in this system of records
or who are seeking access or
amendment to records maintained in
this system of records must submit their
request in writing to the Legal Division,
FOIA & Privacy Act Group, FDIC, 550
17th Street NW., Washington, DC 20429,
in accordance with FDIC regulations at
12 CFR part 310. Individuals requesting
their records must provide their name,

VerDate Sep<11>2014

FDIC, Division of Administration, 550
17th Street NW., Washington, DC 20429,
and the FDIC regional or area offices.
(See Appendix A for a list of the FDIC
regional offices and their addresses.)

Jkt 238001

Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819).
PURPOSE(S):

This system of records is used to
support the administration and
maintenance of a safety and security
incident investigation, tracking and
reporting system involving FDIC
facilities, property, personnel,
contractors, volunteers, or visitors.

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appeals, or if needed in the performance
of other authorized duties;
(7) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(8) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under
such contract, grant, agreement or
project; and
(9) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions.

Storage: Records are stored in
electronic media and paper format
within individual file folders.
Retrievability: Records are indexed
and retrieved by name, date, or case
number.
Safeguards: Electronic records are
password-protected and accessible only
by authorized personnel. Paper records
are maintained in lockable metal file
cabinets accessible only to authorized
personnel.
Retention and Disposal: Paper records
and electronic media are retained for
five years after their creation in
accordance with FDIC Records
Retention and Disposition Schedules.
Disposal is by shredding or other
appropriate disposal methods.
SYSTEM MANAGER(S) AND ADDRESS:

Chief, Security Operations, Security
and Emergency Preparedness Section,
Corporate Services Branch, Division of
Administration, 3501 Fairfax Drive,
Arlington, VA 22226.

tkelley on DSK3SPTVN1PROD with NOTICES2

NOTIFICATION PROCEDURE:

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

See ‘‘Notification Procedure’’ above.

17:39 Oct 29, 2015

Jkt 238001

See ‘‘Notification Procedure’’ above.
Individuals wishing to contest or amend
information maintained in this system
of records should specify the
information being contested, their
reasons for contesting it, and the
proposed amendment to such
information in accordance with FDIC
regulations at 12 CFR part 310.
RECORD SOURCE CATEGORIES:

The sources of records in this category
include current FDIC employees,
contractors, members of the public,
witnesses, law enforcement officials,
medical providers, and other parties
providing information to the FDIC to
facilitate an inquiry or resolve the
complaint.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

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

VerDate Sep<11>2014

CONTESTING RECORD PROCEDURES:

Certain records contained within this
system of records may be exempted
from certain provisions of the Privacy
Act (5 U.S.C. 552a) pursuant to 5 U.S.C.
552a(c)(3), (d)(5), (e)(1), (e)(4)(G), (H),
and (I), (f) and (k).
FDIC–30–64–0010
SYSTEM NAME:

Investigative Files of the Office of
Inspector General.
SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

FDIC Office of Inspector General
(OIG), 3501 Fairfax Drive, Arlington, VA
22226. In addition, records are
maintained in OIG field offices. OIG
field office locations can be obtained by
contacting the Assistant Inspector
General for Investigations at said
address.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Current and former FDIC employees
and individuals involved in or
associated with FDIC programs and
operations including contractors,
subcontractors, vendors and other
individuals associated with
investigative inquiries and investigative
cases, including, but not limited to,
witnesses, complainants, suspects and
those contacting the OIG Hotline.
CATEGORIES OF RECORDS IN THE SYSTEM:

Investigative files, including
memoranda, computer-generated
background information,
correspondence including payroll
records, call records, email records,
electronic case management and
tracking files, reports of investigations
with related exhibits, statements,

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66993

affidavits, records or other pertinent
documents, reports from or to other law
enforcement bodies, pertaining to
violations or potential violations of
criminal laws, fraud, waste, and abuse
with respect to administration of FDIC
programs and operations, and violations
of employee and contractor Standards of
Conduct as set forth in section 12(f) of
the Federal Deposit Insurance Act (12
U.S.C. 1822(f)), 12 CFR parts 336, 366,
and 5 CFR parts 2634, 2635, and 3201.
Records in this system may contain
personally identifiable information such
as names, social security numbers, dates
of birth and addresses.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819); the
Inspector General Act of 1978, as
amended (5 U.S.C. app.).
PURPOSE:

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

In addition to those disclosures
generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a
portion of the records or information
contained in this system may be
disclosed outside the FDIC as a routine
use as follows:
(1) To the appropriate Federal, State,
local, foreign or international agency or
authority which has responsibility for

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investigating or prosecuting a violation
of or for enforcing or implementing a
statute, rule, regulation, or order to
assist such agency or authority in
fulfilling these responsibilities when the
record, either by itself or in combination
with other information, indicates a
violation or potential violation of law,
or contract, whether civil, criminal, or
regulatory in nature, and whether
arising by general statute or particular
program statute, or by regulation, rule,
or order issued pursuant thereto;
(2) To a court, magistrate, alternative
dispute resolution mediator or
administrative tribunal (collectively
referred to as the adjudicative bodies) in
the course of presenting evidence,
including disclosures to counsel or
witnesses in the course of civil
discovery, litigation, or settlement
negotiations or in connection with
criminal proceedings (collectively, the
litigative proceedings)when the FDIC or
OIG is a party to the proceeding or has
a significant interest in the proceeding
and the information is determined to be
relevant and necessary in order for the
adjudicatory bodies, or any of them, to
perform their official functions in
connection with the presentation of
evidence relative to the litigative
proceedings;
(3) To the FDIC’s or another Federal
agency’s legal representative, including
the U.S. Department of Justice or other
retained counsel, when the FDIC, OIG or
any employee thereof is a party to
litigation or administrative proceeding
or has a significant interest in the
litigation or proceeding to assist those
representatives by providing them with
information or evidence for use in
connection with such litigation or
proceedings;
(4) To appropriate Federal, State, local
authorities, and other entities when (a)
it is suspected or confirmed that the
security or confidentiality of
information in the system has been
compromised; (b) there is a risk of harm
to economic or property interests,
identity theft or fraud, or harm to the
security or integrity of this system or
other systems or programs that rely
upon the compromised information; and
(c) the disclosure is made to such
agencies, entities, and persons who are
reasonably necessary to assist in efforts
to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy such harm;
(5) To a grand jury agent pursuant
either to a Federal or State grand jury
subpoena or to a prosecution request
that such record be released for the
purpose of its introduction to a grand
jury;

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17:39 Oct 29, 2015

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(6) To the subjects of an investigation
and their representatives during the
course of an investigation and to any
other person or entity that has or may
have information relevant or pertinent
to the investigation to the extent
necessary to assist in the conduct of the
investigation;
(7) To third-party sources during the
course of an investigation only such
information as determined to be
necessary and pertinent to the
investigation in order to obtain
information or assistance relating to an
audit, trial, hearing, or any other
authorized activity of the OIG;
(8) To a congressional office in
response to a written inquiry made by
the congressional office at the request of
the individual to whom the records
pertain;
(9) To a Federal, State, or local agency
maintaining civil, criminal, or other
relevant enforcement information or
other pertinent information, such as
current licenses, if necessary for the
FDIC to obtain information concerning
the hiring or retention of an employee,
the issuance of a security clearance, the
letting of a contract, or the issuance of
a license, grant, or other benefit;
(10) To a Federal agency responsible
for considering suspension or
debarment action where such record is
determined to be necessary and relevant
to that agency’s consideration of such
action;
(11) To a consultant, person or entity
who contracts or subcontracts with the
FDIC or OIG, to the extent necessary for
the performance of the contract or
subcontract. The recipient of the records
shall be required to comply with the
requirements of the Privacy Act of 1974,
as amended (5 U.S.C. 552a);
(12) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for
OIG, FDIC or the Federal Government in
order to assist those entities or
individuals in carrying out their
obligation under the related contract,
grant, agreement or project;
(13) To the U.S. Office of Personnel
Management, Government
Accountability Office, Office of
Government Ethics, Merit Systems
Protection Board, Office of Special
Counsel, Equal Employment
Opportunity Commission, Department
of Justice, Office of Management and
Budget or the Federal Labor Relations
Authority of records or portions thereof
determined to be relevant and necessary
to carrying out their authorized
functions, including but not limited to
a request made in connection with
hiring or retaining an employee,

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rendering advice requested by OIG,
issuing a security clearance, reporting
an investigation of an employee,
reporting an investigation of prohibited
personnel practices, letting a contract or
issuing a grant, license, or other benefit
by the requesting agency, but only to the
extent that the information disclosed is
necessary and relevant to the requesting
agency’s decision on the matter;
(14) To appropriate Federal, State,
and local authorities in connection with
hiring or retaining an individual,
conducting a background security or
suitability investigation, adjudication of
liability, or eligibility for a license,
contract, grant, or other benefit;
(15) To appropriate Federal, State,
and local authorities, agencies,
arbitrators, and other parties responsible
for processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(16) To officials of a labor
organization when relevant and
necessary to their duties of exclusive
representation concerning personnel
policies, practices, and matters affecting
working conditions;
(17) To a financial institution affected
by enforcement activities or reported
criminal activities authorities to
ascertain the knowledge of or
involvement in matters that have been
developed during the course of the
investigation;
(18) To the Internal Revenue Service
and appropriate State and local taxing
authorities for their use in enforcing the
relevant revenue and taxation law and
related official duties;
(19) To other Federal, State or foreign
financial institutions supervisory or
regulatory authorities for their use in
administering their official functions, to
include examination, supervision,
litigation, and resolution authorities
with respect to financial institutions,
receiverships, liquidations,
conservatorships, and similar functions;
(20) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(21) To a governmental, public or
professional or self-regulatory licensing
organization for use in licensing or
related determinations when such
record indicates, either by itself or in
combination with other information, a
violation or potential violation of
professional standards, or reflects on the
moral, educational, or professional
qualifications of an individual who is
licensed or who is seeking to become
licensed;
(22) To the Department of the
Treasury, federal debt collection

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centers, other appropriate federal
agencies, and private collection
contractors or other third parties
authorized by law, for the purpose of
collecting or assisting in the collection
of delinquent debts owed to the FDIC or
to obtain information in the course of an
investigation (to the extent permitted by
law). Disclosure of information
contained in these records will be
limited to the individual’s name, Social
Security number, and other information
necessary to establish the identity of the
individual, and the existence, validity,
amount, status and history of the debt;
and
(23) To other Federal Offices of
Inspector General or other entities for
the purpose of conducting quality
assessments or peer reviews of the OIG,
or its investigative components, or for
statistical purposes.
Note: In addition to the foregoing, a
record which is contained in this system
and derived from another FDIC system
of records may be disclosed as a routine
use as specified in the published notice
of the system of records from which the
record is derived.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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

tkelley on DSK3SPTVN1PROD with NOTICES2

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

17:39 Oct 29, 2015

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Assistant Inspector General for
Investigations, FDIC Office of Inspector
General, 3501 Fairfax Drive, Arlington,
VA 22226.
NOTIFICATION PROCEDURE:

Individuals wishing to determine if
they are named in this system of records
or who are seeking access or
amendment to records maintained in
this system of records must submit their
request in writing to the Legal Division,
FOIA & Privacy Act Group, FDIC, 550
17th Street NW., Washington, DC 20429,
in accordance with FDIC regulations at
12 CFR part 310. Individuals requesting
their records must provide their name,
address and a notarized statement
attesting to their identity. Note: This
system contains records that are exempt
under 5 U.S.C. 552a(j)(2), (k)(2) and
(k)(5). See ‘‘Exemptions Claimed for the
System’’ below.
See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.
Individuals wishing to contest or amend
information maintained in this system
should specify the information being
contested, the reasons for contesting it,
and the proposed amendment to such
information in accordance with FDIC
regulations at 12 CFR part 310. Note:
This system contains records that are
exempt under 5 U.S.C. 552a(j)(2), (k)(2)
and (k)(5). See ‘‘Exemptions Claimed for
the System’’ below.
Official records of the FDIC; current
and former employees of the FDIC, other
government employees, private
individuals, vendors, contractors,
subcontractors, witnesses and
informants. Records in this system may
have originated in other FDIC systems of
records and subsequently transferred to
this system.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

This system of records, to the extent
that it consists of information compiled
for the purpose of criminal
investigations, has been exempted from
the requirements of subsections (c)(3)
and (4); (d); (e)(1), (2) and (3); (e)(4)(G)
and (H); (e)(5); (e)(8); (e)(12); (f); (g); and
(h) of the Privacy Act pursuant to 5
U.S.C. 552a(j)(2). In addition, this
system of records, to the extent that it
consists of investigatory material
compiled: (A) For other law
enforcement purposes (except where an
individual has been denied any right,
privilege, or benefit for which he or she
would otherwise be entitled to or

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eligible for under Federal law, so long
as the disclosure of such information
would not reveal the identity of a source
who furnished information to the FDIC
under an express promise that his or her
identity would be kept confidential); or
(B) solely for purposes of determining
suitability, eligibility, or qualifications
for Federal civilian employment or
Federal contracts, the release of which
would reveal the identity of a source
who furnished information to the FDIC
on a confidential basis, has been
exempted from the requirements of
subsections (c)(3); (d); (e)(1); (e)(4)(G)
and (H); and (f) of the Privacy Act
pursuant to 5 U.S.C. 552a(k)(2) and
(k)(5), respectively. Note, records in this
system that originated in another system
of records shall be governed by the
exemptions claimed for this system as
well as any additional exemptions
claimed for the other system.
FDIC–30–64–0011

RECORD ACCESS PROCEDURES:

RECORD SOURCE CATEGORIES:

Storage: Records are stored in
electronic media and in paper format
within individual file folders.
Retrievability: Records are indexed
and retrieved by name of individual,
unique investigation number assigned,
referral number, social security number,
or investigative subject matter.
Safeguards: The electronic system
files are accessible only by authorized
personnel and are safeguarded with user
passwords and authentication, network/
database permission, and software
controls. File folders are maintained in
lockable metal file cabinets and lockable
offices accessible only by authorized
personnel.
Retention and Disposal: These records
will be maintained until they become
inactive, at which time they will be
retired or destroyed in accordance with
FDIC Records Retention Schedules and
the National Archives and Records
Administration. Disposal is by
shredding or other appropriate disposal
methods.

VerDate Sep<11>2014

SYSTEM MANAGER(S) AND ADDRESS:

66995

SYSTEM NAME:

Corporate Applicant Recruiting,
Evaluating and Electronic Referral
Records.
SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

Human Resources Branch, Division of
Administration, FDIC, 3501 Fairfax
Drive, Arlington, VA 22226, and FDIC
Office of Inspector General (OIG), 3501
Fairfax Drive, Arlington, VA 22226.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals filing applications for
employment with the FDIC or OIG in
response to advertised position vacancy
announcements.
CATEGORIES OF RECORDS IN THE SYSTEM:

Position vacancy announcement
information such as position title, series
and grade level(s), office and duty
location, opening and closing date of the
announcement, and dates of referral and
return of lists of qualified candidates;
applicant personal data such as name,
address, other contact information,
social security number, sex, veterans’
preference and federal competitive
status; and applicant qualification and
processing information such as
qualifications, grade level eligibility,
reason for ineligibility, referral status,
and dates of notification.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819); 5 U.S.C.
1104; and Section 8C(b) of the Inspector
General Act, as amended (5 U.S.C. app.).

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PURPOSE:

liability, or eligibility for a license,
contract, grant, or other benefit;
(6) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(7) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(8) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under
such contract, grant, agreement or
project; and
(9) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions.

The records are collected and
maintained to monitor and track
individuals filing employment
applications with the FDIC or OIG and
to assess recruiting goals and objectives.

tkelley on DSK3SPTVN1PROD with NOTICES2

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
PURPOSES OF SUCH USES:

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

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17:39 Oct 29, 2015

Jkt 238001

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

Storage: Records are stored in
electronic media and in paper format.
Retrievability: Indexed and retrieved
by name and truncated social security
number of individual applicant.
Safeguards: Electronic files are
password protected and accessible only
by authorized personnel. Network
servers are located in a locked room
with physical access limited to
authorized personnel. Paper files are
stored in lockable offices.
Retention and Disposal: These records
will be maintained until they become
inactive, at which time they will be
retired or destroyed in accordance with
FDIC Records Retention Schedules and
the National Archives and Records
Administration. Disposal is by
shredding or other appropriate disposal
methods.
SYSTEM MANAGER(S) AND ADDRESS:

Assistant Director, Information
Systems and Services Section, Human
Resources Branch, Division of
Administration, FDIC, 3501 Fairfax
Drive, Arlington, VA 22226; Deputy
Assistant Inspector General for
Management, Office of Inspector
General, FDIC, 3501 Fairfax Drive,
Arlington, VA 22226.
NOTIFICATION PROCEDURE:

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

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

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

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

Information originates from position
vacancy announcements, applications
for employment submitted by
individuals, and the applicant
qualification and processing system.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
FDIC–30–64–0012
SYSTEM NAME:

Financial Information Management
Records.
SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

Division of Finance, FDIC, 3501
Fairfax Drive, Arlington, VA 22226.
Records concerning garnishments,
attachments, wage assignments and
related records concerning FDIC
employees are located with the Legal
Division, FDIC, 3501 Fairfax Drive,
Arlington, VA 22226. Some information,
including travel and lodging
reservations is collected and
maintained, on behalf of the FDIC by
SatoTravel Services at 4601 N. Fairfax
Drive, Suite 170, Arlington, VA 22203.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Current and former employees;
current and former vendors and
contractors providing goods and/or
services to the FDIC; current and former
employees, advisory committee
members and others who travel for the
FDIC; current and former FDIC
customers; and individuals who were
depositors or claimants of failed
financial institutions for which the FDIC
was appointed receiver. Note: Only

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records reflecting personal information
are subject to the Privacy Act. This
system also contains records concerning
failed financial institution
receiverships, corporations, other
business entities, and organizations
whose records are not subject to the
Privacy Act.

tkelley on DSK3SPTVN1PROD with NOTICES2

CATEGORIES OF RECORDS IN THE SYSTEM:

This system contains (1) employee
payroll, benefit, and disbursementrelated records; (2) contractor and
vendor invoices and other accounts
payable records; (3) customer records
related to accounts receivables; (4)
payment records for individuals who
were depositors or claimants of failed
financial institutions for which the FDIC
was appointed receiver; and (5)
accounting and financial management
records. The payroll and/or
disbursement records include, without
limitation, employees’ mailing
addresses and home addresses;
dependents’ names and dates of birth;
financial institution account
information; social security number and
unique employee identification number;
rate and amount of pay; tax exemptions;
tax deductions for employee payments;
and corporate payments information for
tax reporting. Records relating to
employee, advisory committee and
other claims for reimbursement of
official travel expenses include, without
limitation, travel authorizations,
vouchers showing amounts claimed,
medical certification and narratives
with information about the traveler’s
medical or physical conditions,
exceptions taken as a result of audit,
and amounts paid. Other records
maintained on employees include
reimbursement claims for relocation
expenses consisting of authorizations,
advances, vouchers of amounts claimed
and amounts paid; reimbursement for
educational expenses or professional
membership dues and licensing fees and
similar reimbursements; awards,
bonuses, and buyout payments;
advances or other funds owed to the
FDIC; and garnishments, attachments,
wage assignments or related records.
Copies of receipts/invoices provided to
the FDIC for reimbursement may
contain credit card or other identifying
account information. Contractor,
vendor, and other accounts payable
records consist of all documents relating
to the purchase of goods and/or services
from those individuals including
contractual documents, vendor
addresses and financial institution
account information, vendor invoice
statements; amounts paid, and vendor
tax identification number. Copies of
documentation supporting vendor

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17:39 Oct 29, 2015

Jkt 238001

invoice statements may contain
identifying data, such as account
number. Customer information is also
captured as necessary for the collection
of accounts receivable. Payment records
for individuals who were depositors or
claimants of failed financial institutions
for which the FDIC was appointed
receiver include name, address, and
payment amount; tax id numbers or
social security numbers are also
included for depositors or claimants
when an informational tax return must
be filed. The records also include
general ledger and detailed trial
balances and supporting data. Note:
This system includes only records
maintained by the FDIC. Associated
records maintained by the government
travel card issuer are described and
covered by the government-wide system
of records GSA/GOVT–3 (Travel Charge
Card Program).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Sections 9 and 10(a) of the Federal
Deposit Insurance Act (12 U.S.C. 1819
and 1820(a)).
PURPOSE:

The records are maintained for the
FDIC and the failed financial institution
receiverships managed by the FDIC. The
records are used to manage and account
for financial transactions and financial
activities of the FDIC. The records and
associated databases and subsystems
provide a data source for the production
of reports and documentation for
internal and external management
reporting associated with the financial
operations of the FDIC.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those disclosures
generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a
portion of the records or information
contained in this system may be
disclosed outside the FDIC as a routine
use as follows:
(1) To appropriate Federal, State, and
local authorities responsible for
investigating or prosecuting a violation
of, or for enforcing or implementing a
statute, rule, regulation, or order issued,
when the information indicates a
violation or potential violation of law,
whether civil, criminal, or regulatory in
nature, and whether arising by general
statute or particular program statute, or
by regulation, rule, or order issued
pursuant thereto;
(2) To a court, magistrate, or other
administrative body in the course of
presenting evidence, including
disclosures to counsel or witnesses in

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66997

the course of civil discovery, litigation,
or settlement negotiations or in
connection with criminal proceedings,
when the FDIC is a party to the
proceeding or has a significant interest
in the proceeding, to the extent that the
information is determined to be relevant
and necessary;
(3) To a congressional office in
response to an inquiry made by the
congressional office at the request of the
individual who is the subject of the
record;
(4) To appropriate Federal, State, local
authorities, and other entities when (a)
it is suspected or confirmed that the
security or confidentiality of
information in the system has been
compromised; (b) there is a risk of harm
to economic or property interests,
identity theft or fraud, or harm to the
security or integrity of this system or
other systems or programs that rely
upon the compromised information; and
(c) the disclosure is made to such
agencies, entities, and persons who are
reasonably necessary to assist in efforts
to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy such harm;
(5) To appropriate Federal, State, and
local authorities in connection with
hiring or retaining an individual,
conducting a background security or
suitability investigation, adjudication of
liability, or eligibility for a license,
contract, grant, or other benefit;
(6) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(7) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(8) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under
such contract, grant, agreement or
project;
(9) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions;
(10) To auditors employed by the U.S.
Government Accountability Office;
(11) To the Internal Revenue Service
and appropriate State and local taxing
authorities;

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(12) To vendors, carriers, or other
appropriate third parties by the FDIC
Office of Inspector General for the
purpose of verification, confirmation, or
substantiation during the performance
of audits or investigations; and
(13) To the Department of the
Treasury, federal debt collection
centers, other appropriate federal
agencies, and private collection
contractors or other third parties
authorized by law, for the purpose of
collecting or assisting in the collection
of delinquent debts owed to the FDIC.
Disclosure of information contained in
these records will be limited to the
individual’s name, Social Security
number, and other information
necessary to establish the identity of the
individual, and the existence, validity,
amount, status and history of the debt.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Pursuant to 5 U.S.C. 552a(b)(12),
disclosures may be made from this
system to consumer reporting agencies
as defined in the Fair Credit Reporting
Act (15 U.S.C. 1681a(f)) or the Federal
Claims Collection Act of 1966 (31 U.S.C.
3701(a)(3)).
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Storage: Records are stored in
electronic media and paper format in
file folders.
Retrievability: Electronic media are
indexed and retrievable by social
security number or specialized
identifying number; paper format
records are generally indexed and
retrieved by name.
Safeguards: Electronic files are
password protected and accessible only
by authorized personnel. Paper format
records are maintained in secure areas.
Retention and Disposal: Financial
records are retained by the FDIC for ten
years in electronic format and then
transferred to the Federal Records
Center or destroyed. The retention
period for records relating to
garnishments, attachments and wage
assignments is three years after
termination. Disposal is by shredding or
other appropriate disposal systems.

tkelley on DSK3SPTVN1PROD with NOTICES2

SYSTEM MANAGER(S) AND ADDRESS:

Director, Division of Finance, FDIC,
3501 Fairfax Drive, Arlington, VA
22226. For records about FDIC
employees concerning garnishments,
attachments, wage assignments and
related records, the system manager is
the Legal Division, FDIC, 3501 Fairfax
Drive, Arlington, VA 22226.

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NOTIFICATION PROCEDURE:

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

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

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

The information is obtained from the
individual upon whom the record is
maintained; other government agencies;
contractors; or from another FDIC office
maintaining the records in the
performance of their duties. Where an
employee is subject to a tax lien, a
bankruptcy, an attachment, or a wage
garnishment, information also is
obtained from the appropriate taxing or
judicial authority.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
FDIC–30–64–0013
SYSTEM NAME:

Insured Financial Institution
Liquidation Records.
SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

Division of Resolutions and
Receiverships, FDIC, 550 17th Street
NW., Washington, DC 20429; Field
Operations Branch, Division of
Resolutions and Receiverships, FDIC,
1601 Bryan Street, Dallas, Texas 75201;
and at secure sites and on secure servers
maintained by third-party service
providers for the FDIC.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals who were obligors,
obligees, or subject to claims of FDICinsured financial institutions for which
the FDIC was appointed receiver or
conservator of FDIC-insured financial

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institutions that were provided
assistance by the FDIC and the FDIC is
acting as receiver or conservator of
certain of the financial institution’s
assets. Note: Only records reflecting
personal information are subject to the
Privacy Act. This system also contains
records concerning failed financial
institution receiverships, corporations,
other business entities, and
organizations whose records are not
subject to the Privacy Act.
CATEGORIES OF RECORDS IN THE SYSTEM:

This system contains the individual’s
files held by the closed or assisted
financial institution, including loan or
contractual agreements, related
documents, and correspondence. The
system also contains FDIC asset files,
including judgments obtained,
restitution orders, and loan deficiencies
arising from the liquidation of the
obligor’s loan asset(s) and associated
collateral, if any; information relating to
the obligor’s financial condition such as
financial statements and income tax
returns; asset or collateral verifications
or searches; appraisals; and potential
sources of repayment. FDIC asset files
also include intra- or inter-agency
memoranda, as well as notes,
correspondence, and other documents
relating to the liquidation of the loan
obligation or asset. FDIC’s receivership
claims files may include all information
related to claims filed with the
receivership estate by a failed financial
institution’s landlords, creditors, service
providers or other obligees or claimants.
Note: Records held by the FDIC as
receiver are a part of this system only
to the extent that the state law governing
the receivership is not inconsistent or
does not otherwise establish specific
requirements.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Sections 9, 11, and 13 of the Federal
Deposit Insurance Act (12 U.S.C. 1819,
1821, and 1823) and applicable State
laws governing the liquidation of assets
and wind-up of the affairs of failed
financial institutions.
PURPOSE:

The records are maintained to: (a)
Identify and manage loan obligations
and assets acquired from failed FDICinsured financial institutions for which
the FDIC was appointed receiver or
conservator, or from FDIC-insured
financial institutions that were provided
assistance by the FDIC; (b) identify,
manage and discharge the obligations to
creditors, obligees and other claimants
of FDIC-insured financial institutions
for which the FDIC was appointed
receiver or conservator, or of FDIC-

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Federal Register / Vol. 80, No. 210 / Friday, October 30, 2015 / Notices
insured financial institutions that were
provided assistance by the FDIC; and (c)
assist with financial and management
reporting. The records support the
receivership and conservatorship
functions of the FDIC required by
applicable Federal and State statutes.

tkelley on DSK3SPTVN1PROD with NOTICES2

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USE:

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

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Jkt 238001

liability, or eligibility for a license,
contract, grant, or other benefit;
(6) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(7) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(8) To contractors or entities
performing services for the FDIC in
connection with the liquidation of an
individual’s obligation(s), including
judgments and loan deficiencies or in
connection with the fulfillment of a
claim filed with the FDIC as receiver or
liquidator. Third party contractors
include, but are not limited to, asset
marketing contractors; loan servicers;
appraisers; environmental contractors;
attorneys retained by the FDIC;
collection agencies; auditing or
accounting firms retained to assist in an
audit or investigation of FDIC’s
liquidation activities; grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC;
(9) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions;
(10) To prospective purchaser(s) of
the individual’s obligation(s), including
judgments and loan deficiencies, for the
purpose of informing the prospective
purchaser(s) about the nature and
quality of the loan obligation(s) to be
purchased;
(11) To Federal or State agencies, such
as the Internal Revenue Service or State
taxation authorities, in the performance
of their governmental duties, such as
obtaining information regarding income,
including the reporting of income
resulting from a compromise or write-off
of a loan obligation;
(12) To participants in the loan
obligation in order to fulfill any
contractual or incidental responsibilities
in connection with the loan
participation agreement;
(13) To the Department of the
Treasury, federal debt collection
centers, other appropriate federal
agencies, and private collection
contractors or other third parties
authorized by law, for the purpose of
collecting or assisting in the collection
of delinquent debts owed to the FDIC.
Disclosure of information contained in
these records will be limited to the

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66999

individual’s name, Social Security
number, and other information
necessary to establish the identity of the
individual, and the existence, validity,
amount, status and history of the debt.
(14) To Federal or State agencies or to
financial institutions where information
is relevant to an application or request
by the individual for a loan, grant,
financial benefit, or other entitlement;
(15) To Federal or State examiners for
the purposes of examining borrowing
relationships in operating financial
institutions that may be related to an
obligation of an individual covered by
this system; and
(16) To the individual, the
individual’s counsel or other
representatives, insurance carrier(s) or
underwriters of bankers’ blanket bonds
or other financial institution bonds for
failed or assisted FDIC-insured financial
institutions in conjunction with claims
made by the FDIC or litigation instituted
by the FDIC or others on behalf of the
FDIC against former officers, directors,
accountants, lawyers, consultants,
appraisers, or underwriters of bankers’
blanket bonds or other financial
institution bonds of a failed or assisted
FDIC-insured financial institution.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Pursuant to 5 U.S.C. 552a(b)(12),
disclosures may be made from this
system to consumer reporting agencies
as defined in the Fair Credit Reporting
Act (15 U.S.C. 1681a(f)) or the Federal
Claims Collection Act of 1966 (31 U.S.C.
3701(a)(3)).
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Storage: Records are stored in
electronic media and in paper format
within individual file folders.
Retrievability: Records are indexed by
financial institution number, name of
failed or assisted insured institution,
name of individual, social security
number, and loan number.
Safeguards: Electronic files are
password protected and accessible only
by authorized personnel. Paper format
records maintained in individual file
folders are stored in lockable file
cabinets and/or in secured vaults or
warehouses and are accessible only by
authorized personnel.
Retention and Disposal: Credit/loan
files or files concerning the obligors,
obligees, or individuals subject to
claims of the failed or assisted financial
institution are maintained until the
receivership claim, loan obligation,
judgment, loan deficiency or other asset
or liability is sold or otherwise disposed

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Federal Register / Vol. 80, No. 210 / Friday, October 30, 2015 / Notices

of, or for the period of time provided
under applicable Federal or State laws
pursuant to which the FDIC liquidates
the assets, discharges the liabilities or
processes the claims. FDIC asset files
will be maintained until they become
inactive, at which time they will be
retired or destroyed in accordance with
FDIC Records Retention Schedules and
the National Archives and Records
Administration. Disposal is by
shredding or other appropriate disposal
methods.
SYSTEM MANAGER(S) AND ADDRESS:

Division of Resolutions and
Receiverships, FDIC, 550 17th Street
NW., Washington, DC 20429; and
Deputy Director, Field Operations
Branch, FDIC, 1601 Bryan Street, Dallas,
Texas 75201.
NOTIFICATION PROCEDURE:

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

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.
Individuals wishing to contest or amend
information maintained in this system
should specify the information being
contested, the reasons for contesting it,
and the proposed amendment to such
information in accordance with FDIC
regulations at 12 CFR part 310.

tkelley on DSK3SPTVN1PROD with NOTICES2

RECORD SOURCE CATEGORIES:

Information is obtained from the
individual on whom the record is
maintained; appraisers retained by the
originating financial institution or the
FDIC; investigative and/or research
companies; credit bureaus and/or
services; loan servicers; court records;
references named by the individual;
attorneys or accountants retained by the
originating financial institution or the
FDIC; participants in the obligation(s) of
the individual; officers and employees
of the failed or assisted financial
institution; congressional offices that
may initiate an inquiry; and other
parties providing services to the FDIC in
its capacity as liquidator or receiver.

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Jkt 238001

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
FDIC–30–64–0014
SYSTEM NAME:

Personnel Benefits and Enrollment
Records.
SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

Division of Administration, FDIC, 550
17th Street NW., Washington, DC 20429.
For administrative purposes, duplicate
systems may exist within the FDIC at
the duty station of each employee. (See
Appendix A for a list of the FDIC
regional offices.) The FDIC also has an
interagency agreement with the U.S.
Department of Agriculture, National
Finance Center in New Orleans,
Louisiana, to provide and maintain
payroll, personnel, and related services
and systems involving FDIC employees.
The FDIC also has agreements with T.
Rowe Price, Benefit Allocation Systems,
and other benefit plan contractors to
provide employee benefits and related
administrative services.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

To the extent not covered by any
other system, this system covers current
and former FDIC employees and their
dependents who are enrolled in the
FDIC-sponsored Savings Plan, health,
life, and other insurance or benefit
programs.
CATEGORIES OF RECORDS IN THE SYSTEM:

This system contains general
personnel and enrollment information
for the FDIC-sponsored Savings Plan,
flexible spending account (FSA) plans
and insurance plans (life, dental, vision,
or long-term disability). This may
include information such as an
individual’s name, earnings, number
and name of dependents, gender, date of
birth, home address, social security
number, employee locator information
(including email and office addresses),
claims for FSA reimbursements, and
related correspondence.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819) and
Executive Order 9397.
PURPOSE(S):

The records are collected, maintained
and used to support the administration
and management of the FDIC personnel
benefits programs.

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ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

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

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tkelley on DSK3SPTVN1PROD with NOTICES2

Federal Register / Vol. 80, No. 210 / Friday, October 30, 2015 / Notices
appeals, or if needed in the performance
of other authorized duties;
(7) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(8) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions;
(9) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under
such contract, grant, agreement or
project;
(10) To the Department of Agriculture,
National Finance Center to provide
personnel, payroll, and related services
and systems involving FDIC personnel;
(11) To the Internal Revenue Service
and appropriate State and local taxing
authorities;
(12) To appropriate Federal agencies
to effect salary or administrative offsets,
or for other purposes connected with
the collection of debts owed to the
United States;
(13) To the Office of Child Support
Enforcement, Administration for
Children and Families, Department of
Health and Human Services for the
purpose of locating individuals to
establish paternity, establish and modify
orders of child support enforcement
actions as required by the Personal
Responsibility and Work Opportunity
Reconciliation Act, the Federal Parent
Locator System and the Federal Tax
Offset System;
(14) To the Office of Child Support
Enforcement for release to the Social
Security Administration for verifying
social security numbers in connection
with the operation of the Federal Parent
Locator System by the Office of Child
Support Enforcement;
(15) To the Office of Child Support
Enforcement for release to the
Department of Treasury for purposes of
administering the Earned Income Tax
Credit Program and verifying a claim
with respect to employment in a tax
return;
(16) To Benefit Allocation Systems, T.
Rowe Price, and other benefit providers,
carriers, vendors, contractors, and
agents to process claims and provide
related administrative services
involving FDIC personnel.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Pursuant to 5 U.S.C. 552a(b)(12),
disclosures may be made from this

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17:39 Oct 29, 2015

Jkt 238001

system to consumer reporting agencies
as defined in the Fair Credit Reporting
Act (15 U.S.C. 1681a(f)) or the Federal
Claims Collection Act of 1966 (31 U.S.C.
3701(a)(3)).
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Storage: Records are stored in
electronic media or in paper format
within individual file folders.
Retrievability: Records are indexed
and retrieved by the name, social
security number, or system-specific
assigned number of the employee.
Safeguards: Electronic records are
password-protected and accessible only
by authorized personnel. Paper records
are maintained in lockable metal file
cabinets in a locked room accessible
only to authorized personnel.
Retention and Disposal: These records
will be maintained until they become
inactive, at which time they will be
retired or destroyed in accordance with
FDIC Records Retention Schedules and
the National Archives and Records
Administration. Disposal is by
shredding or other appropriate disposal
methods.
SYSTEM MANAGER(S) AND ADDRESS:

Deputy Director, Human Resources
Branch, FDIC Division of
Administration, 550 17th Street NW.,
Washington, DC 20429.
NOTIFICATION PROCEDURE:

Individuals seeking to determine
whether this system of records contains
information pertaining to themselves or
who are seeking access to records
maintained in this system of records
must submit their request in writing to
the Legal Division, FOIA & Privacy Act
Group, FDIC, 550 17th Street NW.,
Washington, DC 20429, and comply
with the procedures contained in FDIC’s
Privacy Act regulations, 12 CFR part
310.
RECORD ACCESS PROCEDURES:

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.
Individuals wishing to contest or amend
information maintained in this system
of records should specify the
information being contested, their
reasons for contesting it, and the
proposed amendment to such
information in accordance with FDIC
regulations at 12 CFR part 310.
RECORD SOURCE CATEGORIES:

The sources of records in this category
include the individuals to whom the
records pertain and information
retrieved from official FDIC records.

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67001

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
FDIC–30–64–0015
SYSTEM NAME:

Personnel Records.
SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

Division of Administration, FDIC, 550
17th Street NW., Washington, DC 20429,
and FDIC Office of Inspector General,
3501 Fairfax Drive, Arlington, VA
22226. For administrative purposes,
duplicate systems may exist within the
FDIC at the duty station of each
employee. (See Appendix A for a list of
the FDIC regional offices.) The FDIC
also has an interagency agreement with
the U.S. Department of Agriculture,
National Finance Center in New
Orleans, Louisiana, to provide and
maintain payroll, personnel, and related
services and systems involving FDIC
employees.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

To the extent not covered by any
other system, this system covers current
and former FDIC or OIG employees,
contractors, and applicants for
employment.
CATEGORIES OF RECORDS IN THE SYSTEM:

This system contains a variety of
records relating to personnel actions
and determinations made about
individuals while employed or seeking
employment. These records may contain
information about an individual relating
to name, birth date, Social Security
Number (SSN), personal telephone
numbers and addresses, employment
applications, background, identity
verification and credentials, duty station
telephone numbers and addresses,
compensation, performance, separation,
Internal Revenue Service (IRS) or courtordered levies, emergency contacts, and
related records and correspondence.
These records may also contain Equal
Employment Opportunity (EEO) group
information about FDIC employees,
such as race, national origin, sex and
disability information. NOTE: Records
maintained by the FDIC in the official
personnel file are described in the
government-wide Privacy Act System
Notice known as OPM/GOVT–1 and
other government-wide system notices
published by the Office of Personnel
Management, and are not included
within this system.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819),

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Federal Register / Vol. 80, No. 210 / Friday, October 30, 2015 / Notices

Executive Order 9397; and Section 8C(b)
of the Inspector General Act, as
amended (5 U.S.C. app.).
PURPOSE(S):

The records are collected, maintained
and used to support the administration
and management of the FDIC personnel
and benefits programs.

tkelley on DSK3SPTVN1PROD with NOTICES2

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

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

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Jkt 238001

conducting a background security or
suitability investigation, adjudication of
liability, or eligibility for a license,
contract, grant, or other benefit;
(6) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(7) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(8) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions;
(9) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under
such contract, grant, agreement or
project;
(10) To the Department of Agriculture,
National Finance Center to provide
personnel, payroll, and related services
and systems involving FDIC personnel;
(11) To the Internal Revenue Service
and appropriate State and local taxing
authorities;
(12) To appropriate Federal agencies
to effect salary or administrative offsets,
or for other purposes connected with
the collection of debts owed to the
United States;
(13) To the Office of Child Support
Enforcement, Administration for
Children and Families, Department of
Health and Human Services for the
purpose of locating individuals to
establish paternity, establish and modify
orders of child support enforcement
actions as required by the Personal
Responsibility and Work Opportunity
Reconciliation Act, the Federal Parent
Locator System and the Federal Tax
Offset System;
(14) To the Office of Child Support
Enforcement for release to the Social
Security Administration for verifying
social security numbers in connection
with the operation of the Federal Parent
Locator System by the Office of Child
Support Enforcement;
(15) To the Office of Child Support
Enforcement for release to the
Department of Treasury for purposes of
administering the Earned Income Tax
Credit Program and verifying a claim
with respect to employment in a tax
return.

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Frm 00022

Fmt 4701

Sfmt 4703

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Pursuant to 5 U.S.C. 552a(b)(12),
disclosures may be made from this
system to consumer reporting agencies
as defined in the Fair Credit Reporting
Act (15 U.S.C. 1681a(f)) or the Federal
Claims Collection Act of 1966 (31 U.S.C.
3701(a)(3)).
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Storage: Records are stored in
electronic media or in paper format
within individual file folders.
Retrievability: Records are indexed
and retrieved by the name or social
security number of the individual..
Safeguards: Electronic records are
password-protected and accessible only
by authorized personnel. Paper records
are maintained in lockable metal file
cabinets in a locked room accessible
only to authorized personnel.
Retention and Disposal: These records
will be maintained until they become
inactive, at which time they will be
retired or destroyed in accordance with
FDIC Records Retention Schedules and
the National Archives and Records
Administration. Disposal is by
shredding or other appropriate disposal
methods.
SYSTEM MANAGER(S) AND ADDRESS:

Deputy Director, Human Resources
Branch, FDIC Division of
Administration, 550 17th Street NW.,
Washington, DC 20429; Deputy
Assistant Inspector General for
Management, Office of Inspector
General, FDIC, 3501 Fairfax Drive,
Arlington, VA 22226.
NOTIFICATION PROCEDURE:

Individuals seeking to determine
whether this system of records contains
information pertaining to themselves or
who are seeking access to records
maintained in this system of records
must submit their request in writing to
the Legal Division, FOIA & Privacy Act
Group, FDIC, 550 17th Street NW.,
Washington, DC 20429, and comply
with the procedures contained in FDIC’s
Privacy Act regulations, 12 CFR part
310.
RECORD ACCESS PROCEDURES:

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.
Individuals wishing to contest or amend
information maintained in this system
of records should specify the
information being contested, their
reasons for contesting it, and the
proposed amendment to such

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Federal Register / Vol. 80, No. 210 / Friday, October 30, 2015 / Notices
information in accordance with FDIC
regulations at 12 CFR part 310.
RECORD SOURCE CATEGORIES:

The sources of records in this category
include the individuals to whom the
records pertain and information
retrieved from official FDIC records.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
PURPOSES OF SUCH USE:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
FDIC–30–64–0016
SYSTEM NAME:

Professional Qualification Records for
Municipal Securities Dealers, Municipal
Securities Representatives, and U.S.
Government Securities Brokers/Dealers.
SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

Division of Risk Management
Supervision, Risk Management Policy
and Exam Oversight Branch, FDIC, 550
17th Street NW., Washington, DC 20429.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

(1) Persons who are or seek to be
associated with municipal securities
brokers or municipal securities dealers
which are FDIC-insured, state-chartered
financial institutions (including insured
state-licensed branches of foreign
financial institutions), not members of
the Federal Reserve System, or are
subsidiaries, departments, or divisions
of such financial institutions;
(2) Persons who are or seek to be
persons associated with U.S.
Government securities dealers or
brokers which are FDIC-insured statechartered financial institutions, other
than members of the Federal Reserve
System.
CATEGORIES OF RECORDS IN THE SYSTEM:

The records contain identifying
information, detailed educational and
employment histories, examination
information, disciplinary information, if
any, and information concerning the
termination of employment of
individuals covered by the system.
Identifying information includes name,
address, date and place of birth, and
may include social security number.

tkelley on DSK3SPTVN1PROD with NOTICES2

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Sections 15B(c), 15C, and 23 of the
Securities Exchange Act of 1934 (15
U.S.C. 78o–4, 78o–5, and 78q and 78w);
and Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819).
PURPOSE:

The records are maintained to comply
with the registration requirements of

VerDate Sep<11>2014

17:39 Oct 29, 2015

Jkt 238001

municipal securities dealers, municipal
securities representatives, and U.S.
Government securities brokers or
dealers and associated persons
contained in the Securities Exchange
Act of 1934 and to support the FDIC’s
regulatory and supervisory functions.

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

PO 00000

Frm 00023

Fmt 4701

Sfmt 4703

67003

liability, or eligibility for a license,
contract, grant, or other benefit;
(6) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(7) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(8) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under
such contract, grant, agreement or
project;
(9) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions;
(10) To the appropriate Federal, State,
local, or foreign agency or authority or
to the appropriate self-regulatory
organization, as defined in section
3(a)(26) of the Securities Exchange Act
of 1934 (15 U.S.C. 78c (a)(26)), to the
extent disclosure is determined to be
necessary and pertinent for investigating
or prosecuting a violation of or for
enforcing or implementing a statute,
rule, regulation, or order, when the
information by itself or together with
additional information indicates a
violation or potential violation of law,
whether civil, criminal, or regulatory in
nature, and whether arising by general
statute or particular program statute, or
regulation, rule or order issued pursuant
thereto;
(11) To assist in any proceeding in
which the Federal securities or banking
laws are in issue or a proceeding
involving the propriety of a disclosure
of information contained in this system,
in which the FDIC or one of its past or
present employees is a party, to the
extent that the information is relevant to
the proceeding;
(12) To a Federal, State, local, or
foreign governmental authority or a selfregulatory organization if necessary in
order to obtain information relevant to
an FDIC inquiry concerning a person
who is or seeks to be associated with a
municipal securities dealer as a
municipal securities principal or
representative or a U.S. Government
securities broker or a U.S. Government
securities dealer;
(13) To a Federal, State, local, or
foreign governmental authority or a self-

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Federal Register / Vol. 80, No. 210 / Friday, October 30, 2015 / Notices

regulatory organization in connection
with the issuance of a license or other
benefit to the extent that the information
is relevant and necessary; and
(14) To a registered dealer, registered
broker, registered municipal securities
dealer, U.S. Government securities
dealer, U.S. Government securities
broker, or an insured financial
institution that is a past or present
employer of an individual that is the
subject of a record, or to which such
individual has applied for employment,
for purposes of identity verification or
for purposes of investigating the
qualifications of the subject individual.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

SYSTEM MANAGER(S) AND ADDRESS:

Examination Specialist, Risk
Management Policy and Exam Oversight
Branch, Division of Risk Management
Supervision, FDIC, 550 17th Street NW.,
Washington, DC 20429.

tkelley on DSK3SPTVN1PROD with NOTICES2

NOTIFICATION PROCEDURE:

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

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.
Individuals wishing to contest or amend

17:39 Oct 29, 2015

Jkt 238001

RECORD SOURCE CATEGORIES:

Individuals on whom the records are
maintained, municipal securities
dealers and U.S. Government securities
dealers and brokers (as such dealers are
described in ‘‘Categories of Individuals
Covered by the System’’ above), and
Federal, State, local, and foreign
governmental authorities and selfregulatory organizations or agencies
which regulate the securities industry.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

Storage: Records are stored in
electronic media and in paper format
within individual file folders.
Retrievability: Indexed by name and
dealer registration number or FDIC
financial institution certificate number.
Safeguards: Electronic files are
password protected and accessible only
by authorized personnel. Paper format
records are stored in file folders in
lockable metal file cabinets accessible
only by authorized personnel.
Retention and Disposal: These records
will be maintained until they become
inactive, at which time they will be
retired or destroyed in accordance with
FDIC Records Retention Schedules and
the National Archives and Records
Administration. Disposal is by
shredding or other appropriate disposal
methods.

VerDate Sep<11>2014

information maintained in this system
should specify the information being
contested, the reasons for contesting it,
and the proposed amendment to such
information in accordance with FDIC
regulations at 12 CFR part 310.

None.
FDIC–30–64–0017

Employee Medical and Health
Assessment Records.
SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

Health Unit, Corporate Services
Branch, Division of Administration,
FDIC, located at the following
addresses: 550 17th Street NW.,
Washington, DC 20429; 3501 Fairfax
Drive, Arlington, VA 22226; 1310
Courthouse Road, Arlington VA 22226;
and Health Units located in FDIC
regional offices; and FDIC Office of
Inspector General, 3501 Fairfax Drive,
Arlington, VA 22226. (See Appendix A
for a list of the FDIC regional offices and
their addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

All current and former FDIC and OIG
employees and other individuals who
seek information, treatment, medical
accommodations, participate in health
screening programs administered by the
FDIC, or file claims seeking benefits
under the Federal Employees’
Compensation Act.
CATEGORIES OF RECORDS IN THE SYSTEM:

Medical records of the employee,
including name, age, height, weight,
history of certain medical conditions,
health screening records; dates of visits
to the FDIC Health Unit, diagnoses, and
treatments administered; ergonomic
reviews and assessments; the name and
telephone number of the person to
contact in the event of a medical
emergency involving the employee; and
reports of injury or illness while in the
performance of duty. The system used
by the Office of Inspector General

Frm 00024

Fmt 4701

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819); and
Sections 4(b), 6(e), and 8C(b) of the
Inspector General Act, as amended (5
U.S.C. app.).
PURPOSE:

SYSTEM NAME:

PO 00000

contains the results of physical and
other medical examinations of OIG
employees. Note: This system includes
only records maintained by the FDIC.
Associated records, if any, are described
and covered by the Office of Personnel
Management government-wide system
of records OPM/GOVT–10 (Employee
Medical File System Records) or the
Department of Labor government-wide
system of records DOL/GOVT–1 (Office
of Workers’ Compensation Programs,
Federal Employees’ Compensation Act
File).

Sfmt 4703

The records are collected and
maintained to identify potential health
issues and concerns of an individual, to
identify and collect information with
respect to claims for injury or illness
while in the performance of duty,
medical conditions reported by an
individual to the FDIC Health Unit, and
to identify necessary contacts in the
event of a medical emergency involving
the covered individual. The records
collected and maintained by the Office
of Inspector General are used to
determine compliance with Office of
Inspector General policies.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those disclosures
generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a
portion of the records or information
contained in this system may be
disclosed outside the FDIC as a routine
use as follows:
(1) To appropriate Federal, State, and
local authorities responsible for
investigating or prosecuting a violation
of, or for enforcing or implementing a
statute, rule, regulation, or order issued,
when the information indicates a
violation or potential violation of law,
whether civil, criminal, or regulatory in
nature, and whether arising by general
statute or particular program statute, or
by regulation, rule, or order issued
pursuant thereto;
(2) To a court, magistrate, or other
administrative body in the course of
presenting evidence, including
disclosures to counsel or witnesses in
the course of civil discovery, litigation,
or settlement negotiations or in
connection with criminal proceedings,
when the FDIC is a party to the

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tkelley on DSK3SPTVN1PROD with NOTICES2

Federal Register / Vol. 80, No. 210 / Friday, October 30, 2015 / Notices
proceeding or has a significant interest
in the proceeding, to the extent that the
information is determined to be relevant
and necessary;
(3) To a congressional office in
response to an inquiry made by the
congressional office at the request of the
individual who is the subject of the
record;
(4) To appropriate Federal, State, local
authorities, and other entities when (a)
it is suspected or confirmed that the
security or confidentiality of
information in the system has been
compromised; (b) there is a risk of harm
to economic or property interests,
identity theft or fraud, or harm to the
security or integrity of this system or
other systems or programs that rely
upon the compromised information; and
(c) the disclosure is made to such
agencies, entities, and persons who are
reasonably necessary to assist in efforts
to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy such harm;
(5) To appropriate Federal, State, and
local authorities in connection with
hiring or retaining an individual,
conducting a background security or
suitability investigation, adjudication of
liability, or eligibility for a license,
contract, grant, or other benefit;
(6) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(7) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(8) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under
such contract, grant, agreement or
project;
(9) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions;
(10) To the appropriate Federal, State
or local agency when necessary to
adjudicate a claim (filed by or on behalf
of the individual) under the Federal
Employees Compensation Act, 5 U.S.C.
8101 et seq., or a retirement, insurance
or health benefit program;
(11) To a Federal, State, or local
agency to the extent necessary to

VerDate Sep<11>2014

17:39 Oct 29, 2015

Jkt 238001

comply with laws governing reporting
of communicable disease;
(12) To health or life insurance
carriers contracting with the FDIC to
provide life insurance or to provide
health benefits plan, such information
necessary to verify eligibility for
payment of a claim for life or health
benefits;
(13) To a Health Unit or occupational
safety and health contractors, including
contract nurses, industrial hygienists,
and others retained for the purpose of
performing any function associated with
the operation of the Health Unit; and
(14) To the person designated on the
appropriate form as the individual to
contact in the event of a medical
emergency of the employee.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Storage: The records are stored in
electronic media and in paper format
within individual file folders.
Retrievability: Records are indexed
and retrieved by name.
Safeguards: Electronic files are
password protected and accessible only
by authorized personnel. Paper format
records are stored in lockable metal file
cabinets. Access is limited to authorized
employees and contractors responsible
for servicing the records in the
performance of their duties.
Retention and Disposal: These records
will be maintained until they become
inactive, at which time they will be
retired or destroyed in accordance with
FDIC Records Retention Schedules and
the National Archives and Records
Administration. Disposal is by
shredding or other appropriate disposal
methods.
SYSTEM MANAGER(S) AND ADDRESS:

Health, Safety and Environmental
Program Manager, Corporate Services
Branch, Division of Administration,
FDIC, 3501 Fairfax Drive, Arlington, VA
22226; Deputy Assistant Inspector
General for Management, Office of
Inspector General, FDIC, 3501 Fairfax
Drive, Arlington, VA 22226.
NOTIFICATION PROCEDURE:

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

PO 00000

Frm 00025

Fmt 4701

Sfmt 4703

67005

RECORD ACCESS PROCEDURES:

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

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

The records are compiled during the
course of a visit to the Health Unit for
treatment, participation in a health
screening program, in the performance
of accident/incident investigations, or if
the individual requests an ergonomic
assessment or health or medical
accommodation. OIG employees also
provide the results of physical and other
medical examinations required for
compliance with Office of Inspector
General policies.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
FDIC–30–64–0018
SYSTEM NAME:

Grievance Records.
SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

Human Resources Branch, Division of
Administration, FDIC, 3501 Fairfax
Drive, Arlington, VA 22226; and FDIC
Office of Inspector General, 3501 Fairfax
Drive, Arlington, VA 22226. Records at
the regional level generated through
grievance procedures negotiated with
recognized labor organizations are
located in the FDIC regional office
where originated (See Appendix A for a
list of the FDIC regional offices and their
addresses). For non-headquarters
employees, duplicate copies may be
maintained by the Human Resources
Branch, Division of Administration,
Arlington, VA for the purpose of
coordinating grievance and arbitration
proceedings.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Current or former FDIC or OIG
employees who have submitted
grievances in accordance with part 771
of the United States Office of Personnel
Management’s regulations (5 CFR part
771) or a negotiated grievance
procedure.
CATEGORIES OF RECORDS IN THE SYSTEM:

The system contains records relating
to grievances filed by FDIC employees

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Federal Register / Vol. 80, No. 210 / Friday, October 30, 2015 / Notices

under Part 771 of the United States
Office of Personnel Management’s
regulations, or under 5 U.S.C. 7121.
Case files contain documents related to
the grievance including statements of
witnesses, reports of interviews and
hearings, examiner’s findings and
recommendations, a copy of the final
decision, and related correspondence
and exhibits. This system includes files
and records of internal grievance
procedures that FDIC may establish
through negotiations with recognized
labor organizations. The system used by
the Office of Inspector General contains
records related to grievances filed by
OIG employees.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819); the
Inspector General Act, as amended (5
U.S.C. app.); 5 U.S.C. 7121; 5 CFR part
771.
PURPOSE:

The information contained in this
system is used to make determinations
and document decisions made on filed
grievances and settle matters of
dissatisfaction or concern of covered
individuals. Information from this
system may be used for preparing
statistical summary or management
reports.

tkelley on DSK3SPTVN1PROD with NOTICES2

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

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

VerDate Sep<11>2014

17:39 Oct 29, 2015

Jkt 238001

(3) To a congressional office in
response to an inquiry made by the
congressional office at the request of the
individual who is the subject of the
record;
(4) To appropriate Federal, State, local
authorities, and other entities when (a)
it is suspected or confirmed that the
security or confidentiality of
information in the system has been
compromised; (b) there is a risk of harm
to economic or property interests,
identity theft or fraud, or harm to the
security or integrity of this system or
other systems or programs that rely
upon the compromised information; and
(c) the disclosure is made to such
agencies, entities, and persons who are
reasonably necessary to assist in efforts
to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy such harm;
(5) To appropriate Federal, State, and
local authorities in connection with
hiring or retaining an individual,
conducting a background security or
suitability investigation, adjudication of
liability, or eligibility for a license,
contract, grant, or other benefit;
(6) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(7) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(8) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under
such contract, grant, agreement or
project;
(9) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions; and
(10) To any source during the course
of an investigation only such
information as determined to be
necessary and pertinent to process a
grievance, to the extent necessary to
identify the individual, inform the
source of the purpose(s) of the request
and identify the type of information
requested.

PO 00000

Frm 00026

Fmt 4701

Sfmt 4703

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

Storage: The records are stored in
electronic media and in paper format
within individual file folders.
Retrievability: Records are indexed
and retrieved by name.
Safeguards: Electronic files are
password protected and accessible only
by authorized personnel. Paper format
records are stored in lockable metal file
cabinets in a locked room accessible
only to authorized personnel.
Retention and Disposal: These records
will be maintained until they become
inactive, at which time they will be
retired or destroyed in accordance with
FDIC Records Retention Schedules and
the National Archives and Records
Administration. Disposal is by
shredding or other appropriate disposal
methods.
SYSTEM MANAGER(S) AND ADDRESS:

Deputy Director of Personnel, Human
Resources Branch, Division of
Administration, FDIC, 3501 Fairfax
Drive, Arlington, VA 22226; Deputy
Assistant Inspector General for
Management, Office of Inspector
General, FDIC, 3501 Fairfax Drive,
Arlington, VA 22226. The appropriate
FDIC Regional Director for records
maintained in FDIC regional offices (see
Appendix A for a list of the FDIC
regional offices and their addresses).
NOTIFICATION PROCEDURE:

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

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

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

Information in this system is
provided: (1) By the individual on
whom the record is maintained; (2) by

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testimony of witnesses; (3) by agency
officials; and (4) from related
correspondence from organizations or
persons.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
FDIC–30–64–0019
SYSTEM NAME:

Potential Bidders List.
SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

Division of Resolutions and
Receiverships, FDIC, 550 17th Street
NW., Washington, DC 20429; and Field
Operations Branch, Division of
Resolutions and Receiverships, FDIC,
1601 Bryan Street, Dallas, Texas 75201.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals who have purchased or
submitted written notice of an interest
in purchasing loans, owned real estate,
securities, or other assets from the FDIC.
CATEGORIES OF RECORDS IN THE SYSTEM:

Contains the individual’s name,
address, telephone number and
electronic mail address, if available;
information as to the kind or category
and general geographic location of loans
or owned real estate that the individual
may be interested in purchasing; and
information relating to whether any bids
have been submitted on prior sales.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Sections 9, 11 and 13 of the Federal
Deposit Insurance Act (12 U.S.C. 1819,
1821 and 1823).
PURPOSE:

The system collects, identifies and
maintains information about potential
purchasers of assets (primarily loans
and owned real estate) from the FDIC.
The information is utilized by the FDIC
in the marketing of assets, to identify
qualified potential purchasers and to
solicit bids for assets. The information
in this system is used to support the
FDIC’s liquidation/receivership
functions.

tkelley on DSK3SPTVN1PROD with NOTICES2

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those disclosures
generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a
portion of the records or information
contained in this system may be
disclosed outside the FDIC as a routine
use as follows:
(1) To appropriate Federal, State, and
local authorities responsible for

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investigating or prosecuting a violation
of, or for enforcing or implementing a
statute, rule, regulation, or order issued,
when the information indicates a
violation or potential violation of law,
whether civil, criminal, or regulatory in
nature, and whether arising by general
statute or particular program statute, or
by regulation, rule, or order issued
pursuant thereto;
(2) To a court, magistrate, or other
administrative body in the course of
presenting evidence, including
disclosures to counsel or witnesses in
the course of civil discovery, litigation,
or settlement negotiations or in
connection with criminal proceedings,
when the FDIC is a party to the
proceeding or has a significant interest
in the proceeding, to the extent that the
information is determined to be relevant
and necessary;
(3) To a congressional office in
response to an inquiry made by the
congressional office at the request of the
individual who is the subject of the
record;
(4) To appropriate Federal, State, local
authorities, and other entities when (a)
it is suspected or confirmed that the
security or confidentiality of
information in the system has been
compromised; (b) there is a risk of harm
to economic or property interests,
identity theft or fraud, or harm to the
security or integrity of this system or
other systems or programs that rely
upon the compromised information; and
(c) the disclosure is made to such
agencies, entities, and persons who are
reasonably necessary to assist in efforts
to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy such harm;
(5) To appropriate Federal, State, and
local authorities in connection with
hiring or retaining an individual,
conducting a background security or
suitability investigation, adjudication of
liability, or eligibility for a license,
contract, grant, or other benefit;
(6) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(7) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(8) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under

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67007

such contract, grant, agreement or
project;
(9) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions; and
(10) To other Federal or State agencies
and to contractors to assist in the
marketing and sale of loans, real estate,
or other assets held by the FDIC.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:

Storage: Records are stored in
electronic media and paper format in
file folders.
Retrievability: Electronic media and
paper format are indexed and retrieved
by name of prospective purchaser or
unique identification number assigned
to the prospective purchaser.
Safeguards: Electronic files are
password protected and accessible only
by authorized personnel. Hard copy
printouts are maintained in lockable
metal file cabinets or offices.
Retention and Disposal: These records
will be maintained until they become
inactive, at which time they will be
retired or destroyed in accordance with
FDIC Records Retention Schedules and
the National Archives and Records
Administration. Disposal is by
shredding or other appropriate disposal
methods.
SYSTEM MANAGER(S) AND ADDRESS:

Director, Division of Resolutions and
Receiverships, FDIC, 550 17th Street
NW., Washington DC 20429.
NOTIFICATION PROCEDURE:

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

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.
Individuals wishing to contest or amend
information maintained in this system
should specify the information being
contested, the reasons for contesting it,
and the proposed amendment to such
information in accordance with FDIC
regulations at 12 CFR part 310.

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Federal Register / Vol. 80, No. 210 / Friday, October 30, 2015 / Notices

RECORD SOURCE CATEGORIES:

Information is obtained from the
individual about whom the record is
maintained.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
FDIC–30–64–0020
SYSTEM NAME:

Telephone Call Detail Records.
SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

Division of Information Technology,
FDIC, 3501 Fairfax Drive, Arlington, VA
22226.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals assigned telephone
numbers by the FDIC, including current
and former FDIC employees and
contractor personnel, who make local
and long distance telephone calls and
individuals who receive telephone calls
placed from or charged to FDIC
telephones.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records, including telephone number,
location, dates and duration of
telephone calls relating to use of FDIC
telephones to place or receive long
distance and local calls, and records
indicating assignment of telephone
numbers to individuals covered by the
system.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819).
PURPOSES:

The records in this system are
maintained to identify and make a
record of all telephone calls placed to or
from FDIC telephones and enable the
FDIC to analyze call detail information
for verifying call usage; to determine
responsibility for placement of specific
long distance calls; and for detecting
possible abuse of the FDIC-provided
long distance telephone network.

tkelley on DSK3SPTVN1PROD with NOTICES2

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those disclosures
generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a
portion of the records or information
contained in this system may be
disclosed outside the FDIC as a routine
use as follows:
(1) To appropriate Federal, State, and
local authorities responsible for
investigating or prosecuting a violation

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Jkt 238001

of, or for enforcing or implementing a
statute, rule, regulation, or order issued,
when the information indicates a
violation or potential violation of law,
whether civil, criminal, or regulatory in
nature, and whether arising by general
statute or particular program statute, or
by regulation, rule, or order issued
pursuant thereto;
(2) To a court, magistrate, or other
administrative body in the course of
presenting evidence, including
disclosures to counsel or witnesses in
the course of civil discovery, litigation,
or settlement negotiations or in
connection with criminal proceedings,
when the FDIC is a party to the
proceeding or has a significant interest
in the proceeding, to the extent that the
information is determined to be relevant
and necessary;
(3) To a congressional office in
response to an inquiry made by the
congressional office at the request of the
individual who is the subject of the
record;
(4) To appropriate Federal, State, local
authorities, and other entities when (a)
it is suspected or confirmed that the
security or confidentiality of
information in the system has been
compromised; (b) there is a risk of harm
to economic or property interests,
identity theft or fraud, or harm to the
security or integrity of this system or
other systems or programs that rely
upon the compromised information; and
(c) the disclosure is made to such
agencies, entities, and persons who are
reasonably necessary to assist in efforts
to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy such harm;
(5) To appropriate Federal, State, and
local authorities in connection with
hiring or retaining an individual,
conducting a background security or
suitability investigation, adjudication of
liability, or eligibility for a license,
contract, grant, or other benefit;
(6) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(7) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(8) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under

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Frm 00028

Fmt 4701

Sfmt 4703

such contract, grant, agreement or
project;
(9) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions;
(10) To current and former FDIC
employees and other individuals
currently or formerly provided
telephone services by the FDIC to
determine their individual
responsibility for telephone calls;
(11) To a telecommunications
company providing telecommunications
support to permit servicing the account;
and
(12) To the Department of the
Treasury, federal debt collection
centers, other appropriate federal
agencies, and private collection
contractors or other third parties
authorized by law, for the purpose of
collecting or assisting in the collection
of delinquent debts owed to the FDIC.
Disclosure of information contained in
these records will be limited to the
individual’s name and other
information necessary to establish the
identity of the individual, and the
existence, validity, amount, status and
history of the debt.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Pursuant to 5 U.S.C. 552a(b)(12),
disclosures may be made from this
system to consumer reporting agencies
as defined in the Fair Credit Reporting
Act (15 U.S.C. 1681a(f)) or the Federal
Claims Collection Act of 1966 (31 U.S.C.
3701(a)(3)).
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Storage: Records are stored in
electronic media.
Retrievability: Records are indexed
and retrieved by telephone number and
office location.
Safeguards: Electronic files are
password protected and accessible only
by authorized personnel.
Retention and Disposal: Records are
destroyed after the close of the fiscal
year in which they are audited or after
three years from the date the record was
created, whichever occurs first.
SYSTEM MANAGER AND ADDRESS:

Assistant Director, Infrastructure
Services Branch, Division of
Information Technology, FDIC, 3501
Fairfax Drive, Arlington, VA 22226.
NOTIFICATION PROCEDURE:

Individuals wishing to determine if
they are named in this system of records

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Federal Register / Vol. 80, No. 210 / Friday, October 30, 2015 / Notices
or who are seeking access or
amendment to records maintained in
this system of records must submit their
request in writing to the Legal Division,
FOIA & Privacy Act Group, FDIC, 550
17th Street NW., Washington, DC 20429,
in accordance with FDIC regulations at
12 CFR part 310. Individuals requesting
their records must provide their name,
address and a notarized statement
attesting to their identity.
RECORD ACCESS PROCEDURES:

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

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

Telephone assignment records and
call detail listings.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
FDIC–30–64–0021
SYSTEM NAME:

Fitness Center Records.
SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

Fitness Centers, Corporate Services
Branch, Division of Administration,
FDIC, 3501 Fairfax Drive, Arlington, VA
22226, and 550 17th Street NW.,
Washington, DC 20429.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

FDIC employees who apply for
membership and participate in the
Fitness Centers.
CATEGORIES OF RECORDS IN THE SYSTEM:

Contains the individual’s name,
gender, age; fitness assessment results;
identification of certain medical
conditions; and the name and phone
number of the individual’s personal
physician and emergency contact.

tkelley on DSK3SPTVN1PROD with NOTICES2

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819).
PURPOSE:

The records are collected and
maintained to control access to the
fitness center; to enable the Fitness
Centers’ contractor to identify any
potential health issues or concerns and

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the fitness level of an individual; and to
identify necessary contacts in the event
of a medical emergency while the
individual is participating in a fitness
activity.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
PURPOSES OF SUCH USES:

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

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Fmt 4701

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67009

(6) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(7) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(8) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under
such contract, grant, agreement or
project;
(9) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions;
(10) To the individuals listed as
emergency contacts or the individual’s
personal physician, in the event of a
medical emergency; and
(11) To a Health Unit or occupational
safety and health contractors, including
contract nurses, industrial hygienists,
and others retained for the purpose of
performing any function associated with
the operation of the Fitness Centers.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:

Storage: Records are stored in paper
format within individual file folders.
Information recorded on index cards is
stored in a card file box.
Retrievability: Individual file folders
and cards are indexed and retrieved by
name.
Safeguards: Records are maintained
in lockable metal file cabinets. Access is
limited to authorized employees of the
contractor responsible for servicing the
records in the performance of their
duties. Note: In the future, all or some
portion of the records may be stored in
electronic media. These records will be
indexed and retrieved by name and will
be password protected and accessible
only by authorized personnel.
Retention and Disposal: These records
will be maintained until they become
inactive, at which time they will be
retired or destroyed in accordance with
FDIC Records Retention Schedules and
the National Archives and Records
Administration. Disposal is by
shredding or other appropriate disposal
methods.

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SYSTEM MANAGER(S) AND ADDRESS:

Health, Safety and Environmental
Program Manager, Acquisition and
Corporate Services Branch, Division of
Administration, FDIC, 3501 Fairfax
Drive, Arlington, VA 22226.
NOTIFICATION PROCEDURE:

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

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.
Individuals wishing to contest or amend
information maintained in this system
should specify the information being
contested, the reasons for contesting it,
and the proposed amendment to such
information in accordance with FDIC
regulations at 12 CFR part 310.

CATEGORIES OF RECORDS IN THE SYSTEM:

Records in the system may contain
requesters’ and their attorneys’ or
representatives’ names, addresses, email
addresses, telephone numbers; online
identity verification information
(username and password); and any other
information voluntarily submitted, such
as an individual’s social security
number; tracking numbers;
correspondence with the requester or
others representing the requester;
internal FDIC correspondence and
memoranda to or from other agencies
having a substantial interest in the
determination of the request; responses
to the request and appeals; and copies
of responsive records. These records
may contain personal information
retrieved in response to a request.
Note—FOIA and Privacy Act case
records may contain inquiries and
requests regarding any of the FDIC’s
other systems of records subject to the
FOIA and Privacy Act, and information
about individuals from any of these
other systems may become part of this
system of records.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

RECORD SOURCE CATEGORIES:

Information is principally obtained
from the individual who has applied for
membership and Fitness Center
personnel. Some information may be
provided by the individual’s personal
physician.

Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819);
Freedom of Information Act (5 U.S.C.
552), the Privacy Act of 1974 (5 U.S.C.
552a), 12 CFR parts 309 and 310.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

The records are collected and
maintained to process requests made
under the provisions of the FOIA and
Privacy Act and to assist the FDIC in
carrying out any other responsibilities
relating to the FOIA and Privacy Act.

None.
FDIC–30–64–0022
SYSTEM NAME:

Freedom of Information Act and
Privacy Act Request Records.
Unclassified but sensitive.
SYSTEM LOCATIONS:

Legal Division, FOIA & Privacy Act
Group, FDIC, 550 17th Street NW.,
Washington, DC 20429.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals who submit requests and
administrative appeals pursuant to the
provisions of the Freedom of
Information Act (FOIA) or the Privacy
Act; individuals whose requests,
appeals or other records have been
referred to FDIC by other agencies;
attorneys or other persons authorized to
represent individuals submitting

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Jkt 238001

PURPOSES:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

SECURITY CLASSIFICATION:

tkelley on DSK3SPTVN1PROD with NOTICES2

requests and appeals; individuals who
are the subjects of such requests; and
FDIC personnel assigned to process
such requests or appeals.

In addition to those disclosures
generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a
portion of the records or information
contained in this system may be
disclosed outside the FDIC as a routine
use as follows:
(1) To appropriate Federal, State, and
local authorities responsible for
investigating or prosecuting a violation
of, or for enforcing or implementing a
statute, rule, regulation, or order issued,
when the information indicates a
violation or potential violation of law,
whether civil, criminal, or regulatory in
nature, and whether arising by general
statute or particular program statute, or

PO 00000

Frm 00030

Fmt 4701

Sfmt 4703

by regulation, rule, or order issued
pursuant thereto;
(2) To a court, magistrate, or other
administrative body in the course of
presenting evidence, including
disclosures to counsel or witnesses in
the course of civil discovery, litigation,
or settlement negotiations or in
connection with criminal proceedings,
when the FDIC is a party to the
proceeding or has a significant interest
in the proceeding, to the extent that the
information is determined to be relevant
and necessary;
(3) To a congressional office in
response to an inquiry made by the
congressional office at the request of the
individual who is the subject of the
record;
(4) To appropriate Federal, State, local
authorities, and other entities when (a)
it is suspected or confirmed that the
security or confidentiality of
information in the system has been
compromised; (b) there is a risk of harm
to economic or property interests,
identity theft or fraud, or harm to the
security or integrity of this system or
other systems or programs that rely
upon the compromised information; and
(c) the disclosure is made to such
agencies, entities, and persons who are
reasonably necessary to assist in efforts
to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy such harm;
(5) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(6) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under
such contract, grant, agreement or
project;
(7) To another Federal government
agency having a substantial interest in
the determination of the request or for
the purpose of consulting with that
agency as to the propriety of access or
correction of the record in order to
complete the processing of requests; and
(8) To a third party authorized in
writing to receive such information by
the individual about whom the
information pertains.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Storage: Records are stored in
electronic media and paper format
within individual file folders.
Retrievability: Electronic media and
paper format records are indexed and
retrieved by the requester’s name or by

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unique number assigned to the request.
Records sometimes are retrieved by
reference to the name of the requester’s
firm, if any, or the subject matter of the
request.
Safeguards: Electronic files are
password protected and accessible only
by authorized personnel. File folders are
maintained in lockable metal file
cabinets in a locked room accessible
only to authorized personnel.
Retention and Disposal: Records for
Freedom of Information Act requests
which are granted, withdrawn or closed
for non-compliance or similar reason,
are destroyed two years after the date of
the reply. Records for all other Freedom
of Information Act requests (e.g.,
requests denied in part, requests denied
in full, and requests for which no
responsive information was located) are
destroyed six years after the date of the
reply, unless the denial is appealed, in
which case the request and related
documentation are destroyed six years
after the final agency determination or
three years after final adjudication by
the courts, whichever is later. Records
maintained for control purposes are
destroyed six years after the last entry.
Records maintained for processing
Privacy Act requests are disposed of in
accordance with established disposition
schedules for individual records, or five
years after the date of the disclosure was
made, whichever is later. Disposal is by
shredding or other appropriate disposal
methods.

RECORD SOURCE CATEGORIES:

Requesters and persons acting on
behalf of requesters, FDIC offices and
divisions, other Federal agencies having
a substantial interest in the
determination of the request, and
employees processing the requests.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

The FDIC has claimed exemptions for
several of its other systems of records
under 5 U.S.C. 552a (j)(2), (k)(1), (k)(2),
and (k)(5) and 12 CFR part 310.13.
During the processing of a Freedom of
Information Act or Privacy Act request,
exempt records from these other
systems of records may become part of
the case record in this system of records.
To the extent that exempt records from
other FDIC systems of records are
entered or become part of this system,
the FDIC has claimed the same
exemptions, and any such records
compiled in this system of records from
any other system of records continues to
be subject to any exemption(s)
applicable for the records as they have
in the primary systems of records of
which they are a part.
FDIC–30–64–0023
SYSTEM NAME:

Affordable Housing Program Records.
SECURITY CLASSIFICATION:

Unclassified but sensitive.

SYSTEM MANAGER AND ADDRESS:

SYSTEM LOCATION:

Legal Division, FOIA & Privacy Act
Group, FDIC, 550 17th Street NW.,
Washington, DC 20429.

Division of Resolutions and
Receiverships, FDIC, 550 17th Street
NW., Washington, DC 20429.

NOTIFICATION PROCEDURE:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

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

See ‘‘Notification Procedure’’ above.
Individuals wishing to contest or amend
information maintained in this system
should specify the information being
contested, the reasons for contesting it,
and the proposed amendment to such

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17:39 Oct 29, 2015

Purchasers and prospective
purchasers of residential properties
offered for sale through the FDIC’s
Affordable Housing Program. Note: To
be considered a prospective purchaser
for purposes of this record system, the
individual must have: (1) Completed
and signed an FDIC ‘‘Certification of
Income Eligibility;’’ and (2) delivered
the form to an authorized representative
of the FDIC’s Affordable Housing
Program.
CATEGORIES OF RECORDS IN THE SYSTEM:

RECORD ACCESS PROCEDURES:

tkelley on DSK3SPTVN1PROD with NOTICES2

information in accordance with FDIC
regulations at 12 CFR part 310.

Jkt 238001

Contains the purchaser’s or
prospective purchaser’s income
qualification form and substantiating
documents (such as personal financial
statements, income tax returns, asset or
collateral verifications, appraisals, and
sources of income); copies of sales
contracts, deeds, or other recorded
instruments; intra-agency forms,

PO 00000

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Fmt 4701

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67011

memoranda, or notes related to the
property and purchaser’s participation
in the FDIC’s Affordable Housing
Program; correspondence; and other
documents related to the FDIC’s
Affordable Housing Program.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Sections 9, 11, 13, and 40 of the
Federal Deposit Insurance Act (12
U.S.C. 1819, 1821, 1823, 1831q).
PURPOSE:

The records are collected and
maintained to determine and verify
eligibility of individuals’ to participate
in the FDIC Affordable Housing Program
and to monitor compliance by
individuals with purchaser income
restrictions. The information in the
system supports the FDIC’s liquidation
of qualifying residential housing units
and the FDIC’s goal to provide home
ownership for low-income and
moderate-income families.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

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

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information in the system has been
compromised; (b) there is a risk of harm
to economic or property interests,
identity theft or fraud, or harm to the
security or integrity of this system or
other systems or programs that rely
upon the compromised information; and
(c) the disclosure is made to such
agencies, entities, and persons who are
reasonably necessary to assist in efforts
to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy such harm;
(5) To appropriate Federal, State, and
local authorities in connection with
hiring or retaining an individual,
conducting a background security or
suitability investigation, adjudication of
liability, or eligibility for a license,
contract, grant, or other benefit;
(6) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(7) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(8) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under
such contract, grant, agreement or
project;
(9) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions; and
(10) To mortgage companies, financial
institutions, federal agencies (such as
the Federal Housing Administration, the
Housing and Urban Development
Agency, the Farm Service Agency, and
the Veterans Administration), or state
and local government housing agencies
where information is determined to be
relevant to an application or request for
a loan, grant, financial benefit, or other
type of assistance or entitlement.

tkelley on DSK3SPTVN1PROD with NOTICES2

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

17:39 Oct 29, 2015

Jkt 238001

SYSTEM MANAGER(S) AND ADDRESS:

Supervisory Resolutions and
Receiverships Specialist, Operations
Branch, Division of Resolutions and
Receiverships, FDIC, 550 17th Street
NW., Washington, DC 20429.
NOTIFICATION PROCEDURE:

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

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

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

Information is obtained from the
individual seeking to participate in the
FDIC’s Affordable Housing Program.
Information pertaining to an individual
may, in some cases, be supplemented
with reports from credit bureaus and/or
similar credit reporting services.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
FDIC–30–64–0024

Storage: Records are stored in
electronic media and in paper format
within individual file folders.
Retrievability: Electronic media and
paper format are accessible by name of
purchaser or prospective purchaser and
by address of the property purchased.
Safeguards: Electronic files are
password protected and accessible only

VerDate Sep<11>2014

by authorized personnel. File folders are
maintained in lockable metal file
cabinets accessible only by authorized
personnel.
Retention and Disposal: These records
will be maintained until they become
inactive, at which time they will be
retired or destroyed in accordance with
FDIC Records Retention Schedules and
the National Archives and Records
Administration. Disposal is by
shredding or other appropriate disposal
methods.

SYSTEM NAME:

Unclaimed Deposit Account Records.
SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

Division of Resolutions and
Receiverships, Field Operations Branch,

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Frm 00032

Fmt 4701

Sfmt 4703

FDIC, 1601 Bryan Street, Dallas, Texas
75201.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals identified as deposit
account owners of unclaimed insured
deposits of a closed insured depository
institution for which the FDIC was
appointed receiver after January 1, 1989.
CATEGORIES OF RECORDS IN THE SYSTEM:

Deposit account records, including
signature cards, last known home
address, social security number, name
of insured depository institution,
relating to unclaimed insured deposits
or insured transferred deposits from
closed insured depository institutions
for which the FDIC was appointed
receiver after January 1, 1989.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Sections 9, 11, and 12 of the Federal
Deposit Insurance Act (12 U.S.C. 1819,
1821, and 1822).
PURPOSE:

The information in this system is used
to process inquiries and claims of
individuals with respect to unclaimed
insured deposit accounts of closed
insured depository institutions for
which the FDIC was appointed receiver
after January 1, 1989, and to assist in
complying with the requirements of the
Unclaimed Deposits Amendments Act.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
PURPOSES OF SUCH USES:

In addition to those disclosures
generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a
portion of the records or information
contained in this system may be
disclosed outside the FDIC as a routine
use as follows:
(1) To appropriate Federal, State, and
local authorities responsible for
investigating or prosecuting a violation
of, or for enforcing or implementing a
statute, rule, regulation, or order issued,
when the information indicates a
violation or potential violation of law,
whether civil, criminal, or regulatory in
nature, and whether arising by general
statute or particular program statute, or
by regulation, rule, or order issued
pursuant thereto;
(2) To a court, magistrate, or other
administrative body in the course of
presenting evidence, including
disclosures to counsel or witnesses in
the course of civil discovery, litigation,
or settlement negotiations or in
connection with criminal proceedings,
when the FDIC is a party to the
proceeding or has a significant interest
in the proceeding, to the extent that the

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tkelley on DSK3SPTVN1PROD with NOTICES2

information is determined to be relevant
and necessary;
(3) To a congressional office in
response to an inquiry made by the
congressional office at the request of the
individual who is the subject of the
record;
(4) To appropriate Federal, State, local
authorities, and other entities when (a)
it is suspected or confirmed that the
security or confidentiality of
information in the system has been
compromised; (b) there is a risk of harm
to economic or property interests,
identity theft or fraud, or harm to the
security or integrity of this system or
other systems or programs that rely
upon the compromised information; and
(c) the disclosure is made to such
agencies, entities, and persons who are
reasonably necessary to assist in efforts
to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy such harm;
(5) To appropriate Federal, State, and
local authorities in connection with
hiring or retaining an individual,
conducting a background security or
suitability investigation, adjudication of
liability, or eligibility for a license,
contract, grant, or other benefit;
(6) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(7) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(8) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions;
(9) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under
such contract, grant, agreement or
project; and
(10) To the appropriate State agency
accepting custody of unclaimed insured
deposits.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Storage: Records are stored in
electronic media and in paper format.
Retrievability: Electronic media and
paper format are indexed and retrieved
by depository institution name,

VerDate Sep<11>2014

17:39 Oct 29, 2015

Jkt 238001

depositor name, depositor social
security number, or deposit account
number.
Safeguards: Electronic files are
password protected and accessible only
by authorized personnel. Hard copy
printouts are maintained in lockable
metal file cabinets accessible only to
authorized personnel.
Retention and Disposal: If the
appropriate State has accepted custody
of unclaimed deposits, a record of the
unclaimed deposits will be retained by
the FDIC during the custody period of
ten years. Such records will
subsequently be destroyed in
accordance with the FDIC’s records
retention policy in effect at the time of
return of any deposits to the FDIC from
the State. If the appropriate State has
declined to accept custody of the
unclaimed deposits of the closed
insured depository institution, the FDIC
will retain the unclaimed deposit
records and upon termination of the
receivership of the closed insured
depository institution, the records will
be retired or destroyed in accordance
with FDIC Records Retention Schedules
and the National Archives and Records
Administration. Disposal is by
shredding or other appropriate disposal
methods.
SYSTEM MANAGER(S) AND ADDRESS:

Assistant Director, Field Operations
Branch, Division of Resolutions and
Receiverships, FDIC, 550 17th Street
NW., Washington, DC 20429.
NOTIFICATION PROCEDURE:

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

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.
Individuals wishing to contest or amend
information maintained in this system
should specify the information being
contested, the reasons for contesting it,
and the proposed amendment to such
information in accordance with FDIC
regulations at 12 CFR part 310.

PO 00000

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67013

RECORD SOURCE CATEGORIES:

Information originates from deposit
records of closed insured depository
institutions and claimants. Records of
unclaimed transferred deposits are
provided to the FDIC from assuming
depository institutions to which the
FDIC transferred deposits upon closing
of the depository institution.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
FDIC–30–64–0025
SYSTEM NAME:

Beneficial Ownership Filings
(Securities Exchange Act).
SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

Division of Risk Management
Supervision, FDIC, 550 17th Street NW.,
Washington, DC 20429.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

(1) Any director or officer of an FDICinsured depository institution with a
class of equity securities registered
pursuant to section 12 of the Securities
Exchange Act of 1934, and (2) Any
person who is directly or indirectly the
beneficial owner of greater than 10% of
a class of equity securities issued by an
FDIC-insured depository institution that
are registered under section 12 of the
Securities Exchange Act of 1934;
including any trust, trustee, beneficiary
or settlor required to report pursuant to
Securities and Exchange Commission
Rule 16a–8.
CATEGORIES OF RECORDS IN THE SYSTEM:

Reporting persons submit
electronically or on paper reports on
any of the following three forms: ‘‘Initial
Statement of Beneficial Ownership of
Securities,’’ ‘‘Statement of Changes in
Beneficial Ownership of Securities’’ and
‘‘Annual Statement of Beneficial
Ownership of Securities.’’ Reporting
persons are required to use these forms
to disclose ownership and transactional
information relative to their beneficial
ownership of securities of FDIC-insured
depository institutions with securities
registered under the Securities
Exchange Act of 1934. Under section
403 of the Sarbanes-Oxley Act of 2002,
these forms must be submitted in
electronic form and must be made
available to the public on a Federal
agency’s external internet Web site. The
forms require disclosure of the name of
the financial institution, relationship of
reporting person to the financial
institution, reporting person’s name and

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Federal Register / Vol. 80, No. 210 / Friday, October 30, 2015 / Notices

street address, date of form or
amendment, and filer’s signature and
date. A description of the securities’
terms and transactional information
including transaction date, type of
transaction, amount of securities
acquired or disposed, price, aggregate
amount of securities beneficially owned,
and form and nature of beneficial
ownership must also be disclosed on the
forms.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Sections 12(i) and 16(a) of the
Securities Exchange Act of 1934
(respectively, 15 U.S.C. 78l(i) and
78p(a)).
PURPOSE:

In accordance with Section 16(a) of
the Securities Exchange Act of 1934, as
amended by section 403 of the
Sarbanes-Oxley Act of 2002, this
information is being made available to
the public on the FDIC’s external
internet Web site in order to facilitate
the more efficient transmission,
dissemination, analysis, storage and
retrieval of insider ownership and
transaction information in a manner that
will benefit investors, filers and
financial institution regulatory agencies.

tkelley on DSK3SPTVN1PROD with NOTICES2

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

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

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17:39 Oct 29, 2015

Jkt 238001

congressional office at the request of the
individual who is the subject of the
record;
(4) To appropriate Federal, State, local
authorities, and other entities when (a)
it is suspected or confirmed that the
security or confidentiality of
information in the system has been
compromised; (b) there is a risk of harm
to economic or property interests,
identity theft or fraud, or harm to the
security or integrity of this system or
other systems or programs that rely
upon the compromised information; and
(c) the disclosure is made to such
agencies, entities, and persons who are
reasonably necessary to assist in efforts
to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy such harm;
(5) To appropriate Federal, State, and
local authorities in connection with
hiring or retaining an individual,
conducting a background security or
suitability investigation, adjudication of
liability, or eligibility for a license,
contract, grant, or other benefit;
(6) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(7) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions;
(8) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(9) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under
such contract, grant, agreement or
project; and
(10) To the appropriate governmental
or self-regulatory organizations when
relevant to the organization’s regulatory
or supervisory responsibilities or if the
information is relevant to a known or
suspected violation of a law or licensing
standard within that organization’s
jurisdiction.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:

Storage: Records are stored in
electronic media or on paper format in
file folders.
Retrievability: Electronically filed
reports are indexed and retrieved by the

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Sfmt 4703

name of the reporting party. Paper-filed
reports are indexed by the name of the
depository institution issuing the
securities being reported, with subindexing by the filer’s name.
Safeguards: Access to the information
in this electronic system of records is
unrestricted. The filing and amendment
of electronic records is restricted to
authorized users who have been issued
non-transferable user ID’s and
passwords.
Retention and Disposal: These records
will be maintained for fifteen years from
the date of filing, at which time they
will be retired or destroyed in
accordance with National Archives and
Records Administration and FDIC
Records Retention and Disposition
Schedules. Disposal is by shredding or
other appropriate disposal methods.
SYSTEM MANAGER(S) AND ADDRESS:

Chief, Accounting & Securities
Disclosure Section, Division of Risk
Management Supervision, FDIC, 550
17th Street NW., Washington, DC 20429.
NOTIFICATION PROCEDURE:

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

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

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

Information originates from (1) any
director or officer of an FDIC-insured
depository institution with a class of
equity securities registered pursuant to
section 12 of the Securities Exchange
Act of 1934; and (2) any beneficial
owner of greater than 10% of an FDICinsured depository institution with a
class of equity securities registered
under the Securities Exchange Act of
1934, including any trust, trustee,
beneficiary or settlor required to report
pursuant to SEC Rule 16a–8.

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EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
FDIC–30–64–0026
SYSTEM NAME:

Transit Subsidy Program Records.
SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

Division of Administration, FDIC, 550
17th Street NW., Washington, DC 20429
and the FDIC regional or area offices.
(See Appendix A for a list of the FDIC
regional offices.) Records for FDIC
Headquarters and all regional and area
offices are also housed electronically at
the U.S. Department of Transportation,
1200 New Jersey Avenue SE.,
Washington, DC 20590.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

To the extent not covered by any
other system, this system covers
employees who apply for and receive
transit subsidy program benefits.
CATEGORIES OF RECORDS IN THE SYSTEM:

The system contains completed
transit subsidy application forms (FDIC
Form 3440). The applications include,
but are not limited to, the applicant’s
name, home address, title, grade,
Division, Office, work hours, room and
telephone numbers, commuting
schedule, and transit system(s) used.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819).
PURPOSE(S):

The records are used to administer the
FDIC transit subsidy program.

tkelley on DSK3SPTVN1PROD with NOTICES2

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those disclosures
generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a
portion of the records or information
contained in this system may be
disclosed outside the FDIC as a routine
use as follows:
(1) To appropriate Federal, State, and
local authorities responsible for
investigating or prosecuting a violation
of, or for enforcing or implementing a
statute, rule, regulation, or order issued,
when the information indicates a
violation or potential violation of law,
whether civil, criminal, or regulatory in
nature, and whether arising by general
statute or particular program statute, or
by regulation, rule, or order issued
pursuant thereto;
(2) To a court, magistrate, or other
administrative body in the course of

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17:39 Oct 29, 2015

Jkt 238001

presenting evidence, including
disclosures to counsel or witnesses in
the course of civil discovery, litigation,
or settlement negotiations or in
connection with criminal proceedings,
when the FDIC is a party to the
proceeding or has a significant interest
in the proceeding, to the extent that the
information is determined to be relevant
and necessary;
(3) To a congressional office in
response to an inquiry made by the
congressional office at the request of the
individual who is the subject of the
record;
(4) To appropriate Federal, State, local
authorities, and other entities when (a)
it is suspected or confirmed that the
security or confidentiality of
information in the system has been
compromised; (b) there is a risk of harm
to economic or property interests,
identity theft or fraud, or harm to the
security or integrity of this system or
other systems or programs that rely
upon the compromised information; and
(c) the disclosure is made to such
agencies, entities, and persons who are
reasonably necessary to assist in efforts
to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy such harm;
(5) To appropriate Federal, State, and
local authorities in connection with
hiring or retaining an individual,
conducting a background security or
suitability investigation, adjudication of
liability, or eligibility for a license,
contract, grant, or other benefit;
(6) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(7) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(8) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions;
(9) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under
such contract, grant, agreement or
project.

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67015

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

Storage: Records are stored in
electronic media or in paper format
within individual file folders.
Retrievability: Records are indexed
and retrieved by the name of the transit
subsidy program participant.
Safeguards: Electronic records are
password-protected and accessible only
by authorized personnel. Paper records
are maintained in lockable metal file
cabinets accessible only to authorized
personnel.
Retention and Disposal: These records
will be maintained until they become
inactive, at which time they will be
retired or destroyed in accordance with
FDIC Records Retention Schedules and
the National Archives and Records
Administration. Disposal is by
shredding or other appropriate disposal
methods.
SYSTEM MANAGER(S) AND ADDRESS:

Chief, Transportation Unit, Security
and Emergency Preparedness Section,
Corporate Services Branch, Division of
Administration, 3501 Fairfax Dr.,
Arlington, VA 22226.
NOTIFICATION PROCEDURE:

Individuals seeking to determine
whether this system of records contains
information pertaining to themselves or
who are seeking access to records
maintained in this system of records
must submit their request in writing to
the Legal Division, FOIA & Privacy Act
Group, FDIC, 550 17th Street NW.,
Washington, DC 20429, and comply
with the procedures contained in FDIC’s
Privacy Act regulations, 12 CFR 310.
RECORD ACCESS PROCEDURES:

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.
Individuals wishing to contest or amend
information maintained in this system
of records should specify the
information being contested, their
reasons for contesting it, and the
proposed amendment to such
information in accordance with FDIC
regulations at 12 CFR 310.
RECORD SOURCE CATEGORIES:

The sources of records in this category
include the individuals to whom the
records pertain and information taken
from official FDIC records.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
FDIC–30–64–0027
SYSTEM NAME:

Parking Program Records.

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67016

Federal Register / Vol. 80, No. 210 / Friday, October 30, 2015 / Notices

SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

Division of Administration, FDIC, 550
17th Street NW., Washington, DC 20429
and regional offices with FDIC parking
facilities. (See Appendix A for a list of
the FDIC regional offices.)
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

To the extent not covered by any
other system, this system covers
employees and others who have applied
for and/or been issued a parking permit
for the use of FDIC parking facilities;
individuals who car-pool with
employees holding such permits; and
employees interested in joining a car
pool.
CATEGORIES OF RECORDS IN THE SYSTEM:

The system contains completed
parking application forms (FDIC Forms
3410), car pool information, disability
parking applications, special parking
authorizations, and visitor parking
requests. The information includes, but
is not limited to, the applicant’s name,
home address, title, grade, make, year
and license number of vehicle, Division,
Office, work hours, room and telephone
numbers, and arrival/departure times.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819).
PURPOSE(S):

The records are used to administer the
parking program, to allocate the limited
number of parking spaces in the FDIC
parking facilities among employees and
visitors, to facilitate the formation of car
pools with employees who have been
issued parking permits, and to provide
for the safe use of FDIC facilities.

tkelley on DSK3SPTVN1PROD with NOTICES2

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those disclosures
generally permitted under 5 U.S.C.
552a(b) of the Privacy At, all or a
portion of the records or information
contained in this system may be
disclosed outside the FDIC as a routine
use as follows:
(1) To appropriate Federal, State, and
local authorities responsible for
investigating or prosecuting a violation
of, or for enforcing or implementing a
statute, rule, regulation, or order issued,
when the information indicates a
violation or potential violation of law,
whether civil, criminal, or regulatory in
nature, and whether arising by general
statute or particular program statute, or
by regulation, rule, or order issued
pursuant thereto;

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Jkt 238001

(2) To a court, magistrate, or other
administrative body in the course of
presenting evidence, including
disclosures to counsel or witnesses in
the course of civil discovery, litigation,
or settlement negotiations or in
connection with criminal proceedings,
when the FDIC is a party to the
proceeding or has a significant interest
in the proceeding, to the extent that the
information is determined to be relevant
and necessary;
(3) To a congressional office in
response to an inquiry made by the
congressional office at the request of the
individual who is the subject of the
record;
(4) To appropriate Federal, State, local
authorities, and other entities when (a)
it is suspected or confirmed that the
security or confidentiality of
information in the system has been
compromised; (b) there is a risk of harm
to economic or property interests,
identity theft or fraud, or harm to the
security or integrity of this system or
other systems or programs that rely
upon the compromised information; and
(c) the disclosure is made to such
agencies, entities, and persons who are
reasonably necessary to assist in efforts
to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy such harm;
(5) To appropriate Federal, State, and
local authorities in connection with
hiring or retaining an individual,
conducting a background security or
suitability investigation, adjudication of
liability, or eligibility for a license,
contract, grant, or other benefit;
(6) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(7) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(8) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions;
(9) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under
such contract, grant, agreement or
project.

PO 00000

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Fmt 4701

Sfmt 4703

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

Storage: Records are stored in
electronic media or in paper format
within individual file folders.
Retrievability: Records are indexed
and retrieved by the name of the permit
holder, employee identification number,
or license tag number.
Safeguards: Electronic records are
password-protected and accessible only
by authorized personnel. Paper records
are maintained in lockable metal file
cabinets accessible only to authorized
personnel.
Retention and Disposal: These records
will be maintained until they become
inactive, at which time they will be
retired or destroyed in accordance with
FDIC Records Retention Schedules and
the National Archives and Records
Administration. Disposal is by
shredding or other appropriate disposal
methods.
SYSTEM MANAGER(S) AND ADDRESS:

Chief, Transportation Unit, Security
and Emergency Preparedness Section,
Corporate Services Branch, Division of
Administration, 3501 Fairfax Dr.,
Arlington, VA 22226.
NOTIFICATION PROCEDURE:

Individuals seeking to determine
whether this system of records contains
information pertaining to themselves or
who are seeking access to records
maintained in this system of records
must submit their request in writing to
the Legal Division, FOIA & Privacy Act
Group, FDIC, 550 17th Street NW.,
Washington, DC 20429, and comply
with the procedures contained in FDIC’s
Privacy Act regulations, 12 CFR part
310.
RECORD ACCESS PROCEDURES:

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.
Individuals wishing to contest or amend
information maintained in this system
of records should specify the
information being contested, their
reasons for contesting it, and the
proposed amendment to such
information in accordance with FDIC
regulations at 12 CFR part 310.
RECORD SOURCE CATEGORIES:

The sources of records in this category
include the individuals to whom the
records pertain, information retrieved
from official FDIC records, or
information from other agency parking
records.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

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Federal Register / Vol. 80, No. 210 / Friday, October 30, 2015 / Notices
FDIC–30–64–0028
SYSTEM NAME:

Office of the Chairman
Correspondence Records.
SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

FDIC, Office of Legislative Affairs, 550
17th Street NW., Washington, DC 20429.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals who correspond to, or
receive correspondence from, the Office
of the Chairman; and individuals who
are the subject of correspondence to or
from the Office of the Chairman.
CATEGORIES OF RECORDS IN THE SYSTEM:

Contains correspondence,
memoranda, Email, and other
communications with the Office of the
Chairman that may include, without
limitation, name and contact
information supplied by the individual
as well as information concerning
subject matter, internal office
assignments, processing, and final
response or other disposition.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819).
PURPOSE(S):

This system of records is used to
document and respond to
correspondence addressed to the FDIC,
Office of the Chairman.

tkelley on DSK3SPTVN1PROD with NOTICES2

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those disclosures
generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a
portion of the records or information
contained in this system may be
disclosed outside the FDIC as a routine
use as follows:
(1) To appropriate Federal, State, and
local authorities responsible for
investigating or prosecuting a violation
of, or for enforcing or implementing a
statute, rule, regulation, or order issued,
when the information indicates a
violation or potential violation of law,
whether civil, criminal, or regulatory in
nature, and whether arising by general
statute or particular program statute, or
by regulation, rule, or order issued
pursuant thereto;
(2) To a court, magistrate, or other
administrative body in the course of
presenting evidence, including
disclosures to counsel or witnesses in
the course of civil discovery, litigation,
or settlement negotiations or in

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Jkt 238001

connection with criminal proceedings,
when the FDIC is a party to the
proceeding or has a significant interest
in the proceeding, to the extent that the
information is determined to be relevant
and necessary;
(3) To a congressional office in
response to an inquiry made by the
congressional office at the request of the
individual who is the subject of the
record;
(4) To appropriate Federal, State, local
authorities, and other entities when (a)
it is suspected or confirmed that the
security or confidentiality of
information in the system has been
compromised; (b) there is a risk of harm
to economic or property interests,
identity theft or fraud, or harm to the
security or integrity of this system or
other systems or programs that rely
upon the compromised information; and
(c) the disclosure is made to such
agencies, entities, and persons who are
reasonably necessary to assist in efforts
to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy such harm;
(5) To appropriate Federal, State, and
local authorities in connection with
hiring or retaining an individual,
conducting a background security or
suitability investigation, adjudication of
liability, or eligibility for a license,
contract, grant, or other benefit;
(6) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(7) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(8) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under
such contract, grant, agreement or
project;
(9) To an insured depository
institution which is the subject of an
inquiry or complaint when necessary to
investigate or resolve the inquiry or
complaint; and
(10) To the primary Federal or State
financial regulator of an insured
depository institution that is the subject
of an inquiry or complaint.

PO 00000

Frm 00037

Fmt 4701

Sfmt 4703

67017

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

Storage: Records are stored in
electronic media and paper format
within individual file folders.
Retrievability: Records are indexed
and retrieved by name, date, and
subject.
Safeguards: Electronic records are
password-protected and accessible only
by authorized personnel. Paper records
are maintained in lockable metal file
cabinets accessible only to authorized
personnel.
Retention and Disposal: These records
will be maintained until they become
inactive, at which time they will be
retired or destroyed in accordance with
FDIC Records Retention Schedules and
the National Archives and Records
Administration. Disposal is by
shredding or other appropriate disposal
methods.
SYSTEM MANAGER(S) AND ADDRESS:

Office of Legislative Affairs, FDIC, 550
17th Street NW., Washington, DC 20429.
NOTIFICATION PROCEDURE:

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

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.
Individuals wishing to contest or amend
information maintained in this system
of records should specify the
information being contested, their
reasons for contesting it, and the
proposed amendment to such
information in accordance with FDIC
regulations at 12 CFR part 310.
RECORD SOURCE CATEGORIES:

Information maintained in this system
is obtained from individuals who
submit correspondence to the FDIC for
response, and FDIC personnel.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
FDIC–30–64–0029
SYSTEM NAME:

Congressional Correspondence
Records.

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67018

Federal Register / Vol. 80, No. 210 / Friday, October 30, 2015 / Notices

SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

FDIC, Office of Legislative Affairs, 550
17th Street NW., Washington, DC 20429.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Current and former Members of the
U.S. Congress and Congressional staff;
and individuals whose inquiries relating
to FDIC activities are forwarded by
Members of Congress or Congressional
staff to the FDIC for response.
CATEGORIES OF RECORDS IN THE SYSTEM:

Contains correspondence from
Members of the U.S. Congress or
Congressional staff making inquiries or
transmitting inquiries, correspondence
or documents from constituents that
may include, without limitation, name
and contact information as well as
information concerning subject matter,
internal office assignments, processing,
and final response or other disposition.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819).
PURPOSE(S):

This system of records is used to
document and respond to constituent
and other inquiries forwarded by
Members of the U.S. Congress or
Congressional staff.

tkelley on DSK3SPTVN1PROD with NOTICES2

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those disclosures
generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a
portion of the records or information
contained in this system may be
disclosed outside the FDIC as a routine
use as follows:
(1) To appropriate Federal, State, and
local authorities responsible for
investigating or prosecuting a violation
of, or for enforcing or implementing a
statute, rule, regulation, or order issued,
when the information indicates a
violation or potential violation of law,
whether civil, criminal, or regulatory in
nature, and whether arising by general
statute or particular program statute, or
by regulation, rule, or order issued
pursuant thereto;
(2) To a court, magistrate, or other
administrative body in the course of
presenting evidence, including
disclosures to counsel or witnesses in
the course of civil discovery, litigation,
or settlement negotiations or in
connection with criminal proceedings,
when the FDIC is a party to the
proceeding or has a significant interest

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17:39 Oct 29, 2015

Jkt 238001

in the proceeding, to the extent that the
information is determined to be relevant
and necessary;
(3) To a congressional office in
response to an inquiry made by the
congressional office at the request of the
individual who is the subject of the
record;
(4) To appropriate Federal, State, local
authorities, and other entities when (a)
it is suspected or confirmed that the
security or confidentiality of
information in the system has been
compromised; (b) there is a risk of harm
to economic or property interests,
identity theft or fraud, or harm to the
security or integrity of this system or
other systems or programs that rely
upon the compromised information; and
(c) the disclosure is made to such
agencies, entities, and persons who are
reasonably necessary to assist in efforts
to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy such harm;
(5) To appropriate Federal, State, and
local authorities in connection with
hiring or retaining an individual,
conducting a background security or
suitability investigation, adjudication of
liability, or eligibility for a license,
contract, grant, or other benefit;
(6) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(7) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(8) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under
such contract, grant, agreement or
project;
(9) To an insured depository
institution which is the subject of an
inquiry or complaint when necessary to
investigate or resolve the inquiry or
complaint;
(10) To the primary Federal or State
financial regulator of an insured
depository institution that is the subject
of an inquiry or complaint; and
(11) To authorized third-party sources
during the course of the investigation in
order to resolve the inquiry or
complaint. Information that may be
disclosed under this routine use is
limited to the name of the inquirer or
complainant and the nature of the
inquiry or complaint and such

PO 00000

Frm 00038

Fmt 4701

Sfmt 4703

additional information necessary to
investigate the inquiry or complaint.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Storage: Records are stored in
electronic media and paper format
within individual file folders.
Retrievability: Records are indexed
and retrieved by name, date, and
subject.
Safeguards: Electronic records are
password-protected and accessible only
by authorized personnel. Paper records
are maintained in lockable metal file
cabinets accessible only to authorized
personnel.
Retention and Disposal: These records
will be maintained until they become
inactive, at which time they will be
retired or destroyed in accordance with
FDIC Records Retention Schedules and
the National Archives and Records
Administration. Disposal is by
shredding or other appropriate disposal
methods.
SYSTEM MANAGER(S) AND ADDRESS:

Office of Legislative Affairs, FDIC, 550
17th Street NW., Washington, DC 20429.
NOTIFICATION PROCEDURE:

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

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.
Individuals wishing to contest or amend
information maintained in this system
of records should specify the
information being contested, their
reasons for contesting it, and the
proposed amendment to such
information in accordance with FDIC
regulations at 12 CFR part 310.
RECORD SOURCE CATEGORIES:

Information maintained in this system
is obtained from individuals who
submit correspondence to the FDIC for
response, and FDIC personnel.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

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Federal Register / Vol. 80, No. 210 / Friday, October 30, 2015 / Notices
FDIC–30–64–0030
SYSTEM NAME:

Legislative Information Tracking
System Records.
SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

FDIC, Office of Legislative Affairs, 550
17th Street NW., Washington, DC 20429.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Current and former Members of the
U.S. Congress and Congressional staff;
and individuals who contact, or are
contacted by the FDIC Office of
Legislative Affairs.
CATEGORIES OF RECORDS IN THE SYSTEM:

Contains memoranda, email and other
communications with the Office of
Legislative Affairs that may include
without limitation, name and contact
information supplied by the individual
as well as information related to the
inquiry that was developed by FDIC
staff.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819).
PURPOSE(S):

This system of records is used to
document and respond to inquiries
regarding FDIC’s views on proposed
legislation, facilitate Congressional
briefings, and coordinate preparation of
FDIC responses to constituent inquiries.

tkelley on DSK3SPTVN1PROD with NOTICES2

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those disclosures
generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a
portion of the records or information
contained in this system may be
disclosed outside the FDIC as a routine
use as follows:
(1) To appropriate Federal, State, and
local authorities responsible for
investigating or prosecuting a violation
of, or for enforcing or implementing a
statute, rule, regulation, or order issued,
when the information indicates a
violation or potential violation of law,
whether civil, criminal, or regulatory in
nature, and whether arising by general
statute or particular program statute, or
by regulation, rule, or order issued
pursuant thereto;
(2) To a court, magistrate, or other
administrative body in the course of
presenting evidence, including
disclosures to counsel or witnesses in
the course of civil discovery, litigation,
or settlement negotiations or in

VerDate Sep<11>2014

17:39 Oct 29, 2015

Jkt 238001

connection with criminal proceedings,
when the FDIC is a party to the
proceeding or has a significant interest
in the proceeding, to the extent that the
information is determined to be relevant
and necessary;
(3) To a congressional office in
response to an inquiry made by the
congressional office at the request of the
individual who is the subject of the
record;
(4) To appropriate Federal, State, local
authorities, and other entities when (a)
it is suspected or confirmed that the
security or confidentiality of
information in the system has been
compromised; (b) there is a risk of harm
to economic or property interests,
identity theft or fraud, or harm to the
security or integrity of this system or
other systems or programs that rely
upon the compromised information; and
(c) the disclosure is made to such
agencies, entities, and persons who are
reasonably necessary to assist in efforts
to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy such harm;
(5) To appropriate Federal, State, and
local authorities in connection with
hiring or retaining an individual,
conducting a background security or
suitability investigation, adjudication of
liability, or eligibility for a license,
contract, grant, or other benefit;
(6) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(7) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(8) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under
such contract, grant, agreement or
project;
(9) To an insured depository
institution which is the subject of an
inquiry or complaint when necessary to
investigate or resolve the inquiry or
complaint;
(10) To the primary Federal or State
financial regulator of an insured
depository institution that is the subject
of an inquiry or complaint; and
(11) To authorized third-party sources
during the course of the investigation in
order to resolve the inquiry or
complaint. Information that may be
disclosed under this routine use is

PO 00000

Frm 00039

Fmt 4701

Sfmt 4703

67019

limited to the name of the inquirer or
complainant and the nature of the
inquiry or complaint and such
additional information necessary to
investigate the inquiry or complaint.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Storage: Records are stored in
electronic media.
Retrievability: Records are indexed
and retrieved by name, date, and
subject.
Safeguards: Electronic records are
password-protected and accessible only
by authorized personnel.
Retention and Disposal: These records
will be maintained until they become
inactive, at which time they will be
retired or destroyed in accordance with
FDIC Records Retention Schedules and
the National Archives and Records
Administration. Disposal is by
shredding or other appropriate disposal
methods.
SYSTEM MANAGER(S) AND ADDRESS:

Director, Office of Legislative Affairs,
FDIC, 550 17th Street NW., Washington,
DC 20429.
NOTIFICATION PROCEDURE:

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

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.
Individuals wishing to contest or amend
information maintained in this system
of records should specify the
information being contested, their
reasons for contesting it, and the
proposed amendment to such
information in accordance with FDIC
regulations at 12 CFR part 310.
RECORD SOURCE CATEGORIES:

Information maintained in this system
is obtained from individuals who
contact the FDIC for response, and FDIC
personnel.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

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FDIC–30–64–0031
SYSTEM NAME:

Online Ordering Request Records.
SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

These electronic records are collected
in a web-based system located at a
secure site and on secure servers
maintained by a contractor for the FDIC,
Division of Administration, 550 17th
Street NW., Washington, DC 20429.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals who make an online order
for publications, products, or other
materials from the FDIC.
CATEGORIES OF RECORDS IN THE SYSTEM:

Contains names, business or
organization affiliations, addresses,
phone numbers, fax numbers, email
addresses, order history, login
information (username, user ID, and
password), fulfillment information
(shipping and delivery instructions),
and other contact information provided
by individuals covered by this system.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819).
PURPOSE(S):

This system of records is used to
organize and process orders for
publications, products, or other
materials offered by the FDIC.

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ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those disclosures
generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a
portion of the records or information
contained in this system may be
disclosed outside the FDIC as a routine
use as follows:
(1) To appropriate Federal, State, and
local authorities responsible for
investigating or prosecuting a violation
of, or for enforcing or implementing a
statute, rule, regulation, or order issued,
when the information indicates a
violation or potential violation of law,
whether civil, criminal, or regulatory in
nature, and whether arising by general
statute or particular program statute, or
by regulation, rule, or order issued
pursuant thereto;
(2) To a court, magistrate, or other
administrative body in the course of
presenting evidence, including
disclosures to counsel or witnesses in
the course of civil discovery, litigation,
or settlement negotiations or in

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connection with criminal proceedings,
when the FDIC is a party to the
proceeding or has a significant interest
in the proceeding, to the extent that the
information is determined to be relevant
and necessary;
(3) To a congressional office in
response to an inquiry made by the
congressional office at the request of the
individual who is the subject of the
record;
(4) To appropriate Federal, State, local
authorities, and other entities when (a)
it is suspected or confirmed that the
security or confidentiality of
information in the system has been
compromised; (b) there is a risk of harm
to economic or property interests,
identity theft or fraud, or harm to the
security or integrity of this system or
other systems or programs that rely
upon the compromised information; and
(c) the disclosure is made to such
agencies, entities, and persons who are
reasonably necessary to assist in efforts
to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy such harm;
(5) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(6) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under
such contract, grant, agreement or
project;
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Storage: Records are stored in
electronic media at a secure site and on
secure servers maintained by a
contractor.
Retrievability: Records are indexed
and retrieved by name, order number,
and date.
Safeguards: Electronic transmission
records are password-protected and
accessible only by authorized personnel.
Retention and Disposal: These records
will be maintained until they become
inactive, at which time they will be
retired or destroyed in accordance with
FDIC Records Retention Schedules and
the National Archives and Records
Administration. Disposal is by
shredding or other appropriate disposal
methods.
SYSTEM MANAGER(S) AND ADDRESS:

Assistant Director, Library & Public
Information Center, Corporate Services
Branch, Division of Administration,
FDIC, 550 17th Street NW., Washington,
DC 20429.

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NOTIFICATION PROCEDURE:

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

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.
Individuals wishing to contest or amend
information maintained in this system
of records should specify the
information being contested, their
reasons for contesting it, and the
proposed amendment to such
information in accordance with FDIC
regulations at 12 CFR part 310.
RECORD SOURCE CATEGORIES:

Information maintained in this system
is obtained from individuals who
contact the FDIC, FDIC personnel, and
contractors.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
FDIC–30–64–0033
SYSTEM NAME:

Emergency Notification Records.
SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

Division of Administration, FDIC, 550
17th Street NW., Washington, DC 20429;
FDIC regional or area offices (See
Appendix A for a list of the FDIC
regional offices and their addresses);
and at a secure site and on secure webbased servers maintained by a
contractor for the FDIC.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Current FDIC employees, contractors,
and other registered users.
CATEGORIES OF RECORDS IN THE SYSTEM:

The system includes individual
contact information including name,
personal telephone numbers, personal
email addresses, official business phone
number, and official business email
address.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819).

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PURPOSE(S):

The system provides for multiple
communication device notification to
registered FDIC personnel during and
after local, regional or national
emergency events and security
incidents, disseminates time sensitive
information, provide personnel
accountability and status during
emergency events, and conduct
communication tests. The system also
provides for the receipt of real-time
message acknowledgements and related
management reports.

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ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

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

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confirmed compromise and prevent,
minimize, or remedy such harm;
(5) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(6) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(7) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under
such contract, grant, agreement or
project; and
(8) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Storage: Records are stored in
electronic media at a secure site and on
secure servers maintained by a
contractor.
Retrievability: Records are indexed
and retrieved by groups and individual
name.
Safeguards: Electronic records are
password-protected and accessible only
by authorized personnel.
Retention and Disposal: These records
will be maintained until they become
inactive, at which time they will be
retired or destroyed in accordance with
FDIC Records Retention Schedules and
the National Archives and Records
Administration. Disposal is by
shredding or other appropriate disposal
methods.
SYSTEM MANAGER(S) AND ADDRESS:

Associate Director, FDIC Division of
Administration, Security and
Emergency Preparedness Section, 550
17th Street NW., Washington, DC 20429.
NOTIFICATION PROCEDURE:

Individuals seeking to determine
whether this system of records contains
information pertaining to themselves or
who are seeking access to records
maintained in this system of records
must submit their request in writing to
the Legal Division, FOIA & Privacy Act
Group, FDIC, 550 17th Street NW.,
Washington, DC 20429, and comply
with the procedures contained in FDIC’s
Privacy Act regulations, 12 CFR 310.

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67021

RECORD ACCESS PROCEDURES:

See ‘‘Notification Procedure’’ above.
CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedure’’ above.
Individuals wishing to contest or amend
information maintained in this system
of records should specify the
information being contested, their
reasons for contesting it, and the
proposed amendment to such
information in accordance with FDIC
regulations at 12 CFR 310.
RECORD SOURCE CATEGORIES:

The sources of records in this category
include the individuals to whom the
records pertain and information taken
from official FDIC records.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
FDIC–30–64–0034
SYSTEM NAME:

Office of Inspector General Inquiry
Records.
SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

FDIC Office of Inspector General
(OIG), 3501 Fairfax Drive, Arlington, VA
22226.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals—including, but not
limited to, members of the public, the
media, contractors and subcontractors,
Congressional sources, and employees
of the FDIC or of other governmental
agencies—who communicate with the
Office of Inspector General (OIG)
through written or electronic
correspondence or telephonically
including the OIG Hotline. The system
also includes individuals who receive
correspondence from OIG and those
who are the subject of correspondence
to or from OIG.
CATEGORIES OF RECORDS IN THE SYSTEM:

Contains communications such as
correspondence, memoranda, email
records, call records, voicemail, faxes,
other electronic or digital
communications, and additional
documentation supplied by the source
of the records to include other FDIC,
congressional, and other executive
branch sources. Records provided by the
source may include personally
identifiable information including
name, addresses, email addresses,
telephone numbers, and any other
information voluntarily submitted such
as Social Security Number, as well as
information developed by OIG, such as

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the date the matter was received by OIG,
the date the matter was closed, and the
manner of disposition. Records that
involve law enforcement matters are
transferred to the OIG investigative
function, whose applicable system of
records is covered by FDIC–30–64–
0010, Investigative Files of the Office of
Inspector General.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819); the
Inspector General Act of 1978, as
amended (5 U.S.C. app.).
PURPOSE:

This system of records is used to
document and respond to
correspondence addressed or directed to
FDIC OIG; to track the receipt and
disposition of correspondence; and to
act as a means of referring allegations of
illegality, fraud and abuse to the OIG
investigative function.

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ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
PURPOSES OF SUCH USES:

In addition to those disclosures
generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a
portion of the records or information
contained in this system may be
disclosed outside the FDIC as a routine
use as follows:
(1) To the appropriate Federal, State,
local, foreign or international agency or
authority which has responsibility for
investigating or prosecuting a violation
of or for enforcing or implementing a
statute, rule, regulation, or order to
assist such agency or authority in
fulfilling these responsibilities when the
record, either by itself or in combination
with other information, indicates a
violation or potential violation of law,
or contract, whether civil, criminal, or
regulatory in nature, and whether
arising by general statute or particular
program statute, or by regulation, rule,
or order issued pursuant thereto;
(2) To a court, magistrate, alternative
dispute resolution mediator or
administrative tribunal (collectively
referred to as the adjudicative bodies) in
the course of presenting evidence,
including disclosures to counsel or
witnesses in the course of civil
discovery, litigation, or settlement
negotiations or in connection with
criminal proceedings (collectively, the
litigative proceedings) when the FDIC or
OIG is a party to the proceeding or has
a significant interest in the proceeding
and the information is determined to be
relevant and necessary in order for the
adjudicatory bodies, or any of them, to
perform their official functions in

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connection with the presentation of
evidence relative to the litigative
proceedings;
(3) To a congressional office in
response to a written inquiry made by
the congressional office at the request of
the individual to whom the records
pertain;
(4) To appropriate Federal, State, local
authorities, and other entities when (a)
it is suspected or confirmed that the
security or confidentiality of
information in the system has been
compromised; (b) there is a risk of harm
to economic or property interests,
identity theft or fraud, or harm to the
security or integrity of this system or
other systems or programs that rely
upon the compromised information; and
(c) the disclosure is made to such
agencies, entities, and persons who are
reasonably necessary to assist in efforts
to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy such harm;
(5) To the FDIC’s or another Federal
agency’s legal representative, including
the U.S. Department of Justice or other
retained counsel, when the FDIC, OIG or
any employee thereof is a party to
litigation or administrative proceeding
or has a significant interest in the
litigation or proceeding to assist those
representatives by providing them with
information or evidence for use in
connection with such litigation or
proceedings;
(6) To appropriate Federal, State, and
local authorities in connection with
hiring or retaining an individual,
conducting a background security or
suitability investigation, adjudication of
liability, or eligibility for a license,
contract, grant, or other benefit;
(7) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals if needed in the performance of
these or other authorized duties;
(8) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(9) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
OIG, FDIC or Federal Government in
order to assist those entities or
individuals in carrying out their
obligations under the related contract,
grant, agreement or project;
(10) To a financial institution
(whether or not FDIC-insured, but
subject to the FDIC’s examination,
supervision and/or resolution authority)
which is the subject of an inquiry or

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complaint when necessary to investigate
or resolve the inquiry or complaint;
(11) To the primary Federal or State
financial regulator of a financial
institution (whether or not FDICinsured, but subject to the FDIC’s
examination, supervision and/or
resolution authority) that is the subject
of an inquiry or complaint in order to
resolve the inquiry or complaint;
(12) To third-party sources, as
authorized by OIG or the FDIC, during
the course of the investigation in order
to resolve the inquiry or complaint.
Information that may be disclosed under
this routine use is limited to the name
of the inquirer or complainant and the
nature of the inquiry or complaint and
such additional information necessary
to investigate the inquiry or complaint;
(13) To the U.S. Office of Personnel
Management, Government
Accountability Office, Office of
Government Ethics, Merit Systems
Protection Board, Office of Special
Counsel, Equal Employment
Opportunity Commission, Department
of Justice, Office of Management and
Budget or the Federal Labor Relations
Authority of records or portions thereof
determined to be relevant and necessary
to carrying out their authorized
functions, including but not limited to
a request made in connection with
hiring or retaining an employee,
rendering advice requested by OIG,
issuing a security clearance, reporting
an investigation of an employee,
reporting an investigation of prohibited
personnel practices, letting a contract or
issuing a grant, license, or other benefit
by the requesting agency, but only to the
extent that the information disclosed is
necessary and relevant to the requesting
agency’s decision on the matter;
(14) To other Federal Offices of
Inspector General or other entities for
the purpose of conducting quality
assessments or peer reviews of the OIG,
or its investigative components, or for
statistical purposes; and
(15) To a Federal agency responsible
for considering suspension or
debarment action where such a record is
determined to be necessary and
relevant.
Note: In addition to the foregoing: (1)
A record which is contained in this
system and derived from another FDIC
system of records may be disclosed as
a routine use as specified in the
published notice of the system of
records from which the record is
derived; and (2) records contained in
this system that are subsequently
transferred to OIG’s investigative
function may be disclosed as a routine
use as specified in FDIC–30–64–0010,

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CONTESTING RECORD PROCEDURES:

Investigative Files of the Office of
Inspector General.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Pursuant to 5 U.S.C. 552a(b)(12),
disclosures may be made from this
system to consumer reporting agencies
as defined in the Fair Credit Reporting
Act (15 U.S.C. 1681a(f)) or the Federal
Claims Collection Act of 1966 (31 U.S.C.
3701(a)(3)).
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:

Storage: Records are stored in
electronic media and in paper format
within individual file folders.
Retrievability: Records are indexed
and retrieved by name, date received or
closed, and/or subject.
Safeguards: The electronic system
files are accessible only by authorized
personnel on a need-to-know basis. File
folders are maintained in lockable metal
file cabinets and lockable offices
accessible only by authorized personnel.
Retention and Disposal: These records
will be maintained until they become
inactive, at which time they will be
retired or destroyed in accordance with
FDIC Records Retention Schedules and
the National Archives and Records
Administration. Disposal is by
shredding or other appropriate disposal
methods. For records transferred from
this system to OIG investigative
function, the retention period and
manner of destruction will be governed
by the applicable investigative-records
retention schedule.
SYSTEM MANAGER(S) AND ADDRESS:

FDIC Inspector General, 3501 Fairfax
Drive, Arlington, VA 22226.

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NOTIFICATION PROCEDURE:

Individuals wishing to determine if
they are named in this system of records
or who are seeking access or
amendment to records maintained in
this system of records must submit their
request in writing to the Legal Division,
FOIA & Privacy Act Group, FDIC, 550
17th Street NW., Washington, DC 20429,
in accordance with FDIC regulations at
12 CFR part 310. Individuals requesting
their records must provide their name,
address and a notarized statement
attesting to their identity. Note: Records
transferred from this system to the OIG
investigative function are subject to the
exemptions claimed under FDIC–30–
64–0010, Investigative Files of the
Office of Inspector General. See
‘‘Exemptions Claimed for the System’’
below.
RECORD ACCESS PROCEDURES:

See ‘‘Notification Procedure’’ above.

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See ‘‘Notification Procedure’’ above.
Individuals wishing to contest or amend
information maintained in this system
should specify the information being
contested, the reasons for contesting it,
and the proposed amendment to such
information in accordance with FDIC
regulations at 12 CFR part 310. Note:
Records transferred from this system to
the OIG investigative function are
subject to the exemptions claimed under
FDIC–30–64–0010, Investigative Files of
the Office of Inspector General. See
‘‘Exemptions Claimed for the System’’
below.
RECORD SOURCE CATEGORIES:

Official records of the FDIC; current
and former employees of the FDIC, other
government employees, private
individuals, vendors, contractors,
subcontractors, witnesses and
informants.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None. Records transferred from this
system to the OIG investigative function
are subject to the exemptions claimed
under FDIC–30–64–0010, Investigative
Files of the Office of Inspector General.
FDIC–30–64–0035
SYSTEM NAME:

Identity, Credential and Access
Management Records.
SECURITY CLASSIFICATION:

Unclassified but sensitive.
SYSTEM LOCATION:

The Division of Administration, FDIC,
550 17th Street NW., Washington, DC
20429, and the FDIC regional or area
offices. (See Appendix A for a list of the
FDIC regional offices and their
addresses.) Duplicate systems may exist,
in whole or in part, at secure sites and
on secure servers maintained by thirdparty service providers for the FDIC.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

This system covers all FDIC
employees, contractors, and other
individuals who have applied for, been
issued, and/or used a Personal Identity
Verification (PIV) card for access to
FDIC or other federal facilities.
CATEGORIES OF RECORDS IN THE SYSTEM:

This system includes all information
submitted during application for the PIV
card and any resulting investigative and
adjudicative documentation required to
establish and verify the identity and
background of each individual issued a
PIV card. The system includes, but is
not limited to, the applicant’s name,

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67023

social security number, date and place
of birth, hair and eye color, height,
weight, ethnicity, status as Federal or
contractor employee, employee ID
number, email, biometric identifiers
including fingerprints, digital color
photograph, user access rights, and data
from source documents used to
positively identify the applicant,
including passport and Form I–9
documents.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 9 of the Federal Deposit
Insurance Act (12 U.S.C. 1819);
Executive Order 9397; and Homeland
Security Presidential Directive (HSPD)
12, Policy for a Common Identification
Standard for Federal Employees and
Contractors.
PURPOSE:

The primary purpose of the system is
to manage the safety and security of
FDIC and other federal facilities, as well
as the occupants of those facilities.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

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

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information in the system has been
compromised; (b) there is a risk of harm
to economic or property interests,
identity theft or fraud, or harm to the
security or integrity of this system or
other systems or programs that rely
upon the compromised information; and
(c) the disclosure is made to such
agencies, entities, and persons who are
reasonably necessary to assist in efforts
to respond to the suspected or
confirmed compromise and prevent,
minimize, or remedy such harm;
(5) To appropriate Federal, State, and
local authorities in connection with
hiring or retaining an individual,
conducting a background security or
suitability investigation, adjudication of
liability, or eligibility for a license,
contract, grant, or other benefit;
(6) To appropriate Federal, State, and
local authorities, agencies, arbitrators,
and other parties responsible for
processing any personnel actions or
conducting administrative hearings or
corrective actions or grievances or
appeals, or if needed in the performance
of other authorized duties;
(7) To appropriate Federal agencies
and other public authorities for use in
records management inspections;
(8) To officials of a labor organization
when relevant and necessary to their
duties of exclusive representation
concerning personnel policies,
practices, and matters affecting working
conditions;
(9) To contractors, grantees,
volunteers, and others performing or
working on a contract, service, grant,
cooperative agreement, or project for the
FDIC, the Office of Inspector General, or
the Federal Government for use in
carrying out their obligations under
such contract, grant, agreement or
project;
(10) To notify another Federal agency
when, or verify whether, a PIV card is
no longer valid.

Retrievability: Records are indexed
and retrieved by name, social security
number, other ID number, PIV card
serial number, and/or by any other
unique individual identifier.
Safeguards: Electronic records are
password protected and accessible only
by authorized personnel. Paper format
records maintained in individual file
folders are stored in lockable file
cabinets and/or in secured vaults or
warehouses and are accessible only by
authorized personnel.
Retention and Disposal: These records
will be maintained until they become
inactive, at which time they will be
retired or destroyed in accordance with
FDIC Records Retention Schedules and
the National Archives and Records
Administration. Disposal is by
shredding or other appropriate disposal
methods. PIV cards are deactivated
within 18 hours of cardholder
separation, loss of card, or expiration.
PIV cards are destroyed by shredding no
later than 90 days after deactivation.
SYSTEM MANAGER(S) AND ADDRESS:

Chief, Security Operations, Security
and Emergency Preparedness Section,
Corporate Services Branch, Division of
Administration, 3501 Fairfax Dr.,
Arlington, VA 22226.
NOTIFICATION PROCEDURE:

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

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

CONTESTING RECORD PROCEDURES:

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

See ‘‘Notification Procedure’’ above.
Individuals wishing to contest or amend
information maintained in this system

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of records should specify the
information being contested, their
reasons for contesting it, and the
proposed amendment to such
information in accordance with FDIC
regulations at 12 CFR part 310.
RECORD SOURCE CATEGORIES:

Information is provided by the
individual to whom the record pertains,
those authorized by the subject
individuals to furnish information, and
the FDIC’s personnel records.
Information regarding entry and egress
from FDIC facilities or access to
information technology systems is
obtained from use of the PIV card.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
Appendix A
FDIC Atlanta Regional Office, 10 Tenth
Street NE., Suite 800, Atlanta, GA 30309–
3906.
FDIC Boston Regional Office, 15 Braintree
Hill Office Park, Suite 200, Braintree, MA
02184–8701.
FDIC Chicago Regional Office, 300 South
Riverside Plaza, Suite 1700, Chicago, IL
60606.
FDIC Dallas Regional Office, 1601 Bryan
Street, Suite 1410, Dallas, TX 75201–3479.
FDIC Kansas City Regional Office, 1100
Walnut Street, Suite 2100, Kansas City, MO
64106.
FDIC Memphis Area Office, 6060 Primacy
Parkway, Suite 300, Memphis, TN 38119–
5770.
FDIC New York Regional Office, 350 Fifth
Avenue, Suite 1200, New York, NY 10118–
0110
FDIC San Francisco Regional Office, 25
Jessie Street at Ecker Square, Suite 2300, San
Francisco, CA 94105–2780.
By order of the Board of Directors.
Dated at Washington, DC, this 22nd day of
October 2015.
Robert E. Feldman,
Executive Secretary.
[FR Doc. 2015–27288 Filed 10–29–15; 8:45 am]
BILLING CODE 6714–01–P

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