Privacy Act: [30-64-0003]...

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[2001 Privacy Act]
[From the U.S. Government Printing Office via GPO Access]





   #.FEDERAL DEPOSIT INSURANCE CORPORATION


   #..TABLE OF CONTENTS

       Table of Contents
       30-64-0001  Attorney--Legal Intern Applicant Records
       30-64-0002  Financial Institutions Investigative and Enforcement 
   Records
       30-64-0003  Administrative and Personnel Action Records
       30-64-0004  Changes in Bank Control Ownership Records
       30-64-0005  Consumer Complaint and Inquiry Records
       30-64-0006  Employee Confidential Financial Disclosure Records
       30-64-0007  Employee Training Information Records
       30-64-0008  Chain Banking Organizations Identification Records
       30-64-0009  [Reserved]
       30-64-0010  Investigative Files of the Office of the Inspector 
   General
       30-64-0011  Corporate Recruitment Tracking Records
       30-64-0012  Financial Information Management Records
       30-64-0013  Insured Bank Liquidation Records
       30-64-0014  [Reserved]
       30-64-0015  Unofficial Personnel System (to be revised at a later 
   date)
       30-64-0016  Professional Qualification Records for Municipal 
   Securities Dealers, Municipal Securities Representatives and U.S. 
   Government Securities Brokers/Dealers
       30-64-0017  Employee Medical and Health Assessment Records
       30-64-0018  Grievance Records
       30-64-0019  Potential Bidders List
       30-64-0020  Telephone Call Detail Records
       30-64-0021  Fitness Center Records
       30-64-0022  Freedom of Information Act and Privacy Act Request 
   Records
       30-64-0023  Affordable Housing Program Records
       30-64-0024  Unclaimed Deposit Account Records

   #..30-64-0001

   #....System name: 

       Attorney--Legal Intern Applicant Records.
     System location: 
       Legal Division, FDIC, 550 17th Street, NW., Washington, DC 20429.
     Categories of individuals covered by the system: 
       Applicants for the position of attorney or legal intern with the 
   Legal Division of the FDIC.
     Categories of records in the system: 
       Contains correspondence from the applicants and individuals whose 
   names were provided by the applicants as references; applicants' 
   resumes; application forms; and in some instances, comments of 
   individuals who interviewed applicants; documents relating to an 
   applicant's suitability or eligibility; and writing samples.
     Authority for maintenance of the system: 
       Secs. 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819).
   Purpose(s): 
       The information in this system is used to evaluate the 
   qualifications of individuals who apply for attorney or legal intern 
   positions in the Legal Division.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Information in the system may be disclosed:
       (1) In requesting information of individuals or concerns whose 
   names were supplied by the applicant as references and/or past or 
   present employers;
       (2) To the United States Office of Personnel Management, the 
   Merit Systems Protection Board, the Office of Special Counsel, the 
   Federal Labor Relations Authority, an arbitrator, and the Equal 
   Employment Opportunity Commission, to the extent disclosure is 
   necessary to carry out the government-wide personnel management, 
   investigatory, adjudicatory and appellate functions within their 
   respective functions;
       (3) To a congressional office in response to an inquiry made by 
   the congressional office at the request of the individual to whom the 
   record pertains;
       (4) To a court, magistrate, or administrative tribunal in the 
   course of presenting evidence, including disclosures to counsel or 
   witnesses in the course of civil discovery, litigation, or settlement 
   negotiations, or in connection with criminal proceedings when the 
   FDIC is a party to the proceeding or has a significant interest in 
   the proceeding and the information is determined to be relevant and 
   necessary; and
       (5) To the appropriate Federal, State, or local agency or 
   authority responsible for investigating or prosecuting a violation of 
   or for enforcing or implementing a statute, rule, regulation, or 
   order, 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.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Records are stored in paper format within individual file folders 
   in file cabinets.

       Note: In the future all or some portion of the records may be 
   stored in electronic media. These records will be retrieved by name 
   and will be password protected and accessible only by authorized 
   personnel.

     Retrievability: 
       Individual file folders are indexed and retrieved by name. 
   Records of unsuccessful applicants are indexed first by job position 
   category and year and then by name.
     Safeguards: 
       Records are maintained in lockable metal file cabinets accessible 
   only by authorized personnel.
     Retention and disposal: 
       Records of unsuccessful applicants are retained two years after 
   their submission; records of successful applicants become a part of 
   the FDIC's ``Unofficial Personnel System'' (FDIC 30-64-0015) and are 
   retained two years after the applicant leaves the employ of the FDIC.
     System manager(s) and address: 
       General Counsel, Legal Division, FDIC, 550 17th Street, NW., 
   Washington, DC 20429.
     Notification procedure: 
       Individuals wishing to determine if they are named in this system 
   of records, or to gain access to records maintained in this system, 
   must submit their request in writing to the Office of the Executive 
   Secretary, FOIA/PA Unit, FDIC, 550 17th Street, NW., Washington, DC 
   20429. Unsuccessful applicants or those individuals with applications 
   pending with the FDIC who request their records must identify the job 
   position description and year in which they applied. Individuals 
   requesting their own 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.
     Record source categories: 
       The information is obtained from the applicants; references 
   supplied by the applicants; current and/or former employers of the 
   applicants; and FDIC employees who interviewed the applicants.
     Exemptions claimed for the system:
       Pursuant to 12 CFR 310.13(b), investigatory material compiled 
   solely for the purpose of determining suitability, eligibility, or 
   qualifications for FDIC employment may be withheld from disclosure to 
   the extent that disclosure of such material would reveal the identity 
   of a source who furnished information to the FDIC under an express 
   promise of confidentiality.

   #..30-64-0002

   #....System name: 

       Financial Institutions Investigative and Enforcement Records.
     System location: 
       Division of Supervision, Special Activities Section, 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, investigatory records, 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 seeking to establish control of 
   financial institutions, who are the subject of background checks 
   designed to uncover criminal activities bearing on the individual's 
   fitness to be a director, officer, employee, or controlling 
   shareholder.
     Categories of records in the system: 
       Contains interagency or intra-agency correspondence or memoranda; 
   criminal referral reports; suspicious activity reports; newspaper 
   clippings; Federal, State, or local criminal law enforcement agency 
   investigatory reports, indictments and/or arrest and conviction 
   information; and administrative enforcement orders or agreements.

       Note: Certain records contained in this system (principally 
   criminal investigation reports prepared by the Federal Bureau of 
   Investigation, Secret Service, and other federal law enforcement 
   agencies) are the property of federal law enforcement agencies. Upon 
   receipt of a request for such records, the FDIC will notify the 
   proprietary agency of the request and seek guidance with respect to 
   disposition. The FDIC may forward the request to that agency for 
   processing in accordance with that agency's regulations.

     Authority for maintenance of the system: 
       Secs. 5, 6, 7, 8, 9, 18, and 19 of the Federal Deposit Insurance 
   Act (12 U.S.C. 1815, 1816, 1817, 1818, 1819, 1828, 1829).
   Purpose(s): 
       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 issuance 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: 
       Information in the system may be disclosed:
       (1) To a court, magistrate, or administrative tribunal in the 
   course of presenting evidence, including disclosures to counsel or 
   witnesses in the course of civil discovery, litigation, or settlement 
   negotiations or in connection with criminal proceedings, when the 
   FDIC is a party to the proceeding or has a significant interest in 
   the proceeding and the information is determined to be relevant and 
   necessary;
       (2) To the appropriate Federal, State, or local agency or 
   authority, or to licensing boards, professional associations or 
   administrative bodies responsible for investigating or prosecuting a 
   violation of or for enforcing or implementing a statute, rule, 
   regulation, or order when the information indicates a violation or 
   potential violation of law, rule, regulation or order, 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;
       (3) To a congressional office in response to an inquiry made by 
   the congressional office at the request of the individual to whom the 
   record pertains;
       (4) To a financial institution affected by enforcement activities 
   or reported criminal activities;
       (5) To other Federal, State or foreign financial institutions 
   supervisory or regulatory authorities;
       (6) To a consultant, person or entity who contracts or 
   subcontracts with the FDIC, 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); and
       (7) 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.
   Disclosures to consumer reporting agencies:
       Disclosures may be made from this system, pursuant to subsection 
   (b)(12) of the Privacy Act, to consumer reporting agencies in 
   accordance with 31 U.S.C. 3711(e). (The term ``consumer reporting 
   agency'' is defined by 31 U.S.C. 3701(a)(3) and 15 U.S.C. (f).) 
   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.
     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: 
       Electronic media and paper copies are retained until no longer 
   needed.
     System managers and address:
       Director, Division of 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 seeking access to records maintained in this system 
   must submit their request in writing to the Office of the Executive 
   Secretary, FOIA/PA Unit, FDIC, 550 17th Street, NW., Washington, DC 
   20429. Individuals requesting their own records must provide their 
   name and address, the name and address of the FDIC-insured bank, and 
   a notarized statement attesting to their identity.
     Record access procedures:
       Portions of this system may contain records that are exempt from 
   disclosure under 12 CFR 310.13 and 5 U.S.C. 552a(j)(2) and (k)(2). An 
   individual who is the subject of a record in this system may access 
   those records that are not exempt from disclosure. A determination 
   whether a record may be accessed will be made at the time a request 
   is received. See ``Notification procedure'' above.
     Contesting record procedures: 
       Portions of this system may contain records that are exempt from 
   disclosure and contest under 12 CFR 310.13 and 5 U.S.C. 552a(j)(2) 
   and (k)(2). An individual who is the subject of a record in this 
   system may contest those records that are not exempt from disclosure. 
   A determination whether a record is exempt from contest shall be made 
   at the time a request is received. 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.
     Record source categories: 
       Financial institutions; financial institution supervisory or 

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