Notice2023-09017
Privacy Act of 1974; System of Records
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
April 28, 2023
Effective
April 28, 2023
Issuing agencies
Federal Deposit Insurance Corporation
Abstract
Pursuant to the provisions of the Privacy Act of 1974, as amended, the FDIC proposes to modify a current FDIC system of records notice titled FDIC-010, Investigative Files of the Office of Inspector General (OIG), by updating the categories of records in the system to include video and audio recordings; updating the categories of records in the system to include violations or potential violations of administrative or civil law within the FDIC OIG's jurisdiction; updating the system location to include secure sites and secure servers maintained by third-party service providers; and adding new routine uses to authorize sharing of information with complainants, witnesses, and subjects, and to the public and news media, in certain limited circumstances. Additionally, this notice includes non-substantive changes to simplify the formatting and text of the previously published notice. We hereby publish this notice for comment on the proposed actions.
Full Text
<html>
<head>
<title>Federal Register, Volume 88 Issue 82 (Friday, April 28, 2023)</title>
</head>
<body><pre>
[Federal Register Volume 88, Number 82 (Friday, April 28, 2023)]
[Notices]
[Pages 26301-26305]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2023-09017]
=======================================================================
-----------------------------------------------------------------------
FEDERAL DEPOSIT INSURANCE CORPORATION
Privacy Act of 1974; System of Records
AGENCY: Federal Deposit Insurance Corporation (FDIC).
ACTION: Notice of a modified system of records.
-----------------------------------------------------------------------
SUMMARY: Pursuant to the provisions of the Privacy Act of 1974, as
amended, the FDIC proposes to modify a current FDIC system of records
notice titled FDIC-010, Investigative Files of the Office of Inspector
General (OIG), by updating the categories of records in the system to
include video and audio recordings; updating the categories of records
in the system to include violations or potential violations of
administrative or civil law within the FDIC OIG's jurisdiction;
updating the system location to include secure sites and secure servers
maintained by third-party service providers; and adding new routine
uses to authorize sharing of information with complainants, witnesses,
and subjects, and to the public and news media, in certain limited
circumstances. Additionally, this notice includes non-substantive
changes to simplify the formatting and text of the previously published
notice. We hereby publish this notice for comment on the proposed
actions.
DATES: This action will become effective on April 28, 2023. The routine
uses in this action will become effective on May 30, 2023, unless the
FDIC makes changes based on comments received. Written comments should
be submitted on or before May 30, 2023.
ADDRESSES: Interested parties are invited to submit written comments
identified by Privacy Act Systems of Records (FDIC-010) by any of the
following methods:
<bullet> Agency Website: <a href="https://www.fdic.gov/resources/regulations/federal-register-publications/">https://www.fdic.gov/resources/regulations/federal-register-publications/</a>. Follow the instructions for
submitting comments on the FDIC website.
<bullet> Email: <a href="/cdn-cgi/l/email-protection#15767a7878707b61665573717c763b727a63"><span class="__cf_email__" data-cfemail="beddd1d3d3dbd0cacdfed8dad7dd90d9d1c8">[email protected]</span></a>. Include ``Comments-SORN (FDIC-
010)'' in the subject line of communication.
<bullet> Mail: James P. Sheesley, Assistant Executive Secretary,
Attention: Comments: SORN (FDIC-010), Legal Division, Office of the
Executive Secretary, Federal Deposit Insurance Corporation, 550 17th
Street NW, Washington, DC 20429.
<bullet> Hand Delivery: Comments may be hand-delivered to the guard
station at the rear of the 17th Street NW building (located on F Street
NW), on business days between 7:00 a.m. and 5:00 p.m.
Public Inspection: Comments received, including any personal
information provided, may be posted without change to <a href="https://www.fdic.gov/resources/regulations/federal-register-publications/">https://www.fdic.gov/resources/regulations/federal-register-publications/</a>.
Commenters should submit only information that the commenter wishes to
make available publicly. The FDIC may review, redact, or refrain from
posting all or any portion of any comment that it may deem to be
inappropriate for publication, such as irrelevant or obscene material.
The FDIC may post only a single representative example of identical or
substantially identical comments, and in such cases will generally
identify the number of identical or substantially identical comments
represented by the posted example. All comments that have been
redacted, as well as those that have not been posted, that contain
comments on the merits of this document will be retained in the public
comment file and will be considered as required under all applicable
laws. All comments may be accessible under the Freedom of Information
Act (FOIA).
FOR FURTHER INFORMATION CONTACT: Shannon Dahn, Chief, Privacy Program,
703-516-5500, <a href="/cdn-cgi/l/email-protection#9aeae8f3ecfbf9e3dafcfef3f9b4fdf5ec"><span class="__cf_email__" data-cfemail="0b7b79627d6a68724b6d6f6268256c647d">[email protected]</span></a>;
SUPPLEMENTARY INFORMATION: The Privacy Act, 5 U.S.C. 552a, at
subsection (b)(3), requires each agency to publish, for public notice
and comment, significant changes that the agency intends to make to a
Privacy Act system of records. The ``Investigative Files of the Office
of Inspector General, FDIC-010'' system of records is maintained for
the purpose of documenting, tracking, reviewing and reporting on all
phases of the FDIC Office of Inspector General's investigative and
investigative-related litigation activities, and serves as a repository
and source for information necessary to fulfill statutory reporting,
access and disclosure requirements,
[[Page 26302]]
including those pertaining to the Inspector General (IG) Act.
The FDIC proposes to update the categories of records in the system
to include video and audio recordings, which will facilitate the FDIC
OIG's compliance with Executive Order (E.O.) 14074, Advancing
Effective, Accountable Policing and Criminal Justice Practices to
Enhance Public Trust and Public Safety, issued May 25, 2022. Video and
audio recordings of individuals may be captured by FDIC OIG criminal
investigators wearing body cameras during the execution of search and
arrest warrants, including during interviews with individuals that take
place during investigative operations. The recordings will be used for
gathering and preserving evidence in accord with E.O. 14074.
The FDIC also proposes to update the categories of records in the
system to include violations or potential violations of administrative
or civil law within the FDIC OIG's jurisdiction. This modification is
to clarify that the system of records may include information about
individuals that may be obtained in the course of the FDIC OIG
investigating administrative and civil cases.
Additionally, the FDIC proposes updating the system location of the
system to include secure sites and secure servers maintained by third-
party service providers. This modification is being made in conjunction
with the implementation of a solution to support FDIC OIG's compliance
with E.O. 14074, as well as to support other solutions or processes
that may require the support of third-party service providers.
The FDIC also proposes to update a routine use (7) indicating that
the FDIC OIG may share information during the course of an
investigation with subjects and/or respondents of an investigation,
their representatives, or other persons or entities to the extent
necessary to provide such persons with information and explanations
concerning the results of an investigation or other inquiry arising
from matters about which they were a subject and/or respondent.
Additionally, the FDIC proposes to add two new routine uses (8 and
9) indicating that information may be shared with complainants,
witnesses, and subjects to the extent necessary to provide such persons
with information and explanations concerning the results of the
investigation or other inquiry arising from the matters about which
they complained and/or with respect to which they were a victim or
witness; and (9) indicating that information may be shared with an
individual who has been interviewed or contacted pursuant to an
investigation or other inquiry, to the extent that the FDIC OIG may
provide copies of that individual's statements, testimony, or records
produced by such individual.
Finally, the FDIC proposes to add two new routine uses (27 and 28)
indicating that information about individuals may be shared with the
news media and/or the public when such information has been disclosed
publicly in court proceedings, and in rare instances when the community
needs to be reassured that the appropriate law enforcement agency is
investigating a matter, or where release of information is necessary to
protect the public safety.
This notice includes non-substantive changes to simplify the
formatting and text of the previously published notice. This modified
system will be included in the FDIC's inventory of record systems.
SYSTEM NAME AND NUMBER:
Investigative Files of the Office of Inspector General, FDIC-010.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
FDIC Office of Inspector General (OIG), 3501 Fairfax Drive,
Arlington, VA 22226. In addition, records are maintained in FDIC OIG
field offices. FDIC OIG field office locations can be obtained by
contacting the Assistant Inspector General for Investigations at said
address. Original and duplicate systems may exist, in whole or in part,
at secure sites and on secure servers maintained by third-party service
providers for the FDIC OIG.
SYSTEM MANAGER(S):
Assistant Inspector General for Investigations, FDIC Office of
Inspector General, 3501 Fairfax Drive, Arlington, VA 22226.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 9 of the Federal Deposit Insurance Act (12 U.S.C. 1819);
the Inspector General Act of 1978, as amended (5 U.S.C. appendix).
PURPOSE(S) OF THE SYSTEM:
Pursuant to the Inspector General Act, the system is maintained for
the purpose of documenting, tracking, reviewing and reporting on all
phases of the FDIC Office of Inspector General's investigative and
investigative-related litigation activities and serves as a repository
and source for information necessary to fulfill statutory reporting,
access and disclosure requirements, including those pertaining to the
Inspector General Act.
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, including members of the
public, associated with investigative inquiries and investigative
cases, including, but not limited to, witnesses, complainants, subjects
and those contacting the FDIC OIG Hotline.
CATEGORIES OF RECORDS IN THE SYSTEM:
Investigative files, including memoranda, computer-generated
background information, correspondence, including payroll records, call
records, email records, electronic case management, forensic, and
tracking files, FDIC OIG Hotline- related records, reports of
investigations with related exhibits, statements, affidavits, records
or other pertinent documents, reports from or to other law enforcement
organizations, pertaining to violations or potential violations of
criminal, civil, or administrative laws, fraud, waste, and abuse with
respect to administration of FDIC programs and operations, and
violations of employee and contractor Standards of Conduct as set forth
in section 12(f) of the Federal Deposit Insurance Act (12 U.S.C.
1822(f)), 12 CFR parts 336, 366, and 5 CFR parts 2634, 2635, and 3201.
Records in this system may contain personally identifiable information
such as names, social security numbers, dates of birth and addresses.
This system may also contain such information as employment history,
bank account numbers and information, driver's licenses, educational
records, criminal history, photographs, video and audio recordings, and
other information of a personal nature provided or obtained in
connection with an investigation.
RECORD SOURCE CATEGORIES:
Official records of the FDIC; current and former employees of the
FDIC, other government employees, private individuals, vendors,
contractors, subcontractors, witnesses and informants. Records in this
system may have originated in other FDIC systems of records and
subsequently been transferred to this system.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
In addition to those disclosures generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a portion of the records or
information contained in this system may be
[[Page 26303]]
disclosed outside the FDIC as a routine use as follows:
(1) To the appropriate Federal, State, local, foreign or
international agency or authority which has responsibility for
investigating or prosecuting a violation of or for enforcing or
implementing a statute, rule, regulation, or order to assist such
agency or authority in fulfilling these responsibilities when the
record, either by itself or in combination with other information,
indicates a violation or potential violation of law, or contract,
whether civil, criminal, or regulatory in nature, and whether arising
by general statute or particular program statute, or by regulation,
rule, or order issued pursuant thereto;
(2) To a court, magistrate, alternative dispute resolution mediator
or administrative tribunal (collectively referred to as the
adjudicative bodies) in the course of presenting evidence, including
disclosures to counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations or in connection with criminal
proceedings (collectively, the litigated proceedings) when the FDIC or
FDIC OIG is a party to the proceeding or has a significant interest in
the proceeding and the information is determined to be relevant and
necessary in order for the adjudicatory bodies, or any of them, to
perform their official functions in connection with the presentation of
evidence relative to the litigated proceedings;
(3) To the FDIC's or another Federal agency's legal representative,
including the U.S. Department of Justice or other retained counsel,
when the FDIC, FDIC OIG or any employee thereof is a party to
litigation or administrative proceeding or has a significant interest
in the litigation or proceeding to assist those representatives by
providing them with information or evidence for use in connection with
such litigation or proceedings;
(4) To appropriate agencies, entities, and persons when (a) the
FDIC suspects or has confirmed that there has been a breach of the
system of records; (b) the FDIC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the FDIC (including its information systems, programs, and operations),
the Federal Government, or national security; and (c) the disclosure
made to such agencies, entities, and persons is reasonably necessary to
assist in connection with the FDIC's efforts to respond to the
suspected or confirmed breach or to prevent, minimize, or remedy such
harm;
(5) To another Federal agency or Federal entity, when the FDIC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (a) responding to
a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach;
(6) To a grand jury agent pursuant either to a Federal or State
grand jury subpoena or to a prosecution request that such record be
released for the purpose of its introduction to a grand jury;
(7) To the subjects and/or respondents 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, or to the extent necessary to provide
such persons with information and explanations concerning the results
of an investigation or other inquiry arising from matters about which
they were a subject and/or respondent;
(8) To complainants, victims, and/or witnesses to the extent
necessary to provide such persons with information and explanations
concerning the results of the investigation or other inquiry arising
from the matters about which they complained and/or with respect to
which they were a victim or witness;
(9) To an individual who has been interviewed or contacted pursuant
to an investigation or other inquiry, to the extent that the FDIC OIG
may provide copies of that individual's statements, testimony, or
records produced by such individual;
(10) 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
FDIC OIG;
(11) 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;
(12) To a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement information or other pertinent
information, such as current licenses, if necessary for the FDIC to
obtain information concerning the hiring or retention of an employee, a
security clearance determination or adjudication, the letting of a
contract, or the issuance of a license, grant, or other benefit;
(13) 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;
(14) To a consultant, person or entity who contracts or
subcontracts with the FDIC or FDIC 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);
(15) To contractors, grantees, volunteers, and others performing or
working on a contract, service, grant, cooperative agreement, or
project for the FDIC OIG, the FDIC or the Federal Government in order
to assist those entities or individuals in carrying out their
obligation under the related contract, grant, agreement or project;
(16) 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 FDIC OIG, making a security clearance determination or
adjudication, reporting an investigation of an employee, reporting an
investigation of prohibited personnel practices, letting a contract or
issuing a grant, license, or other benefit by the requesting agency,
but only to the extent that the information disclosed is necessary and
relevant to the requesting agency's decision on the matter;
(17) 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;
(18) 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;
(19) To officials of a labor organization when relevant and
necessary to their duties of exclusive
[[Page 26304]]
representation concerning personnel policies, practices, and matters
affecting working conditions;
(20) 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;
(21) 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;
(22) To other Federal, State or foreign financial institutions,
supervisory or regulatory authorities for their use in administering
their official functions, to include examination, supervision,
litigation, and resolution authorities with respect to financial
institutions, receiverships, liquidations, conservatorships, bridge
institutions, and similar functions;
(23) To appropriate Federal agencies and other public authorities
for use in records management inspections;
(24) 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;
(25) To the Department of the Treasury, federal debt collection
centers, other appropriate federal agencies, and private collection
contractors or other third parties authorized by law, for the purpose
of collecting or assisting in the collection of delinquent debts owed
to the FDIC or to obtain information in the course of an investigation
(to the extent permitted by law). Disclosure of information contained
in these records will be limited to the individual's name, Social
Security number, and other information necessary to establish the
identity of the individual, and the existence, validity, amount, status
and history of the debt;
(26) To other Federal Offices of Inspector General or other
entities for the purpose of conducting quality assessments or peer
reviews of the FDIC OIG, or its investigative components, or for
statistical purposes;
(27) To the news media and/or the public when such information has
been publicly disclosed in court proceedings, subject to limitations
imposed by law or court rule or order; and,
(28) To the news media and/or the public when the Inspector General
determines that the community needs to be reassured that the
appropriate law enforcement agency is investigating a matter, or where
release of information is necessary to protect the public safety, and
that disclosure would not constitute an unwarranted invasion of
personal privacy.
Disclosure to Consumer Reporting Agencies: Pursuant to 5 U.S.C.
552a (b)(12), disclosures may be made from this system to consumer
reporting agencies as defined in the Fair Credit Reporting Act (15
U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966 (31
U.S.C. 3701(a)(3)).
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic media and in paper format within
individual file folders.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are indexed and may be retrieved by a variety of fields,
including but not limited to, name of individual, unique investigation
number assigned, referral number, social security number, or
investigative subject matter.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained as follows and then dispositioned in
accordance with approved records retention schedules. Records regarding
``significant'' investigations (i.e., those receiving national media
attention, involving a Congressional investigation, or otherwise having
been deemed to have historic value) are retained permanently. For
records that are investigative in nature but not related to a specific
investigation, the retention period is five years. For records related
to a specific investigation, except significant investigations
(national media attention, Congressional investigation, or substantive
changes in agency policies and procedures), the retention period is ten
years after the Office of Investigations' closure of the file.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
FDIC and FDIC OIG have imposed strict controls to minimize the risk
of compromising the information that is being stored. Access to the
records in this system is limited to those individuals who have
completed mandatory privacy and security training and have a need to
know the information for the performance of their official duties. FDIC
and FDIC OIG have also implemented policies and procedures to safeguard
the records. This includes maintaining files in secured facilities and
restricting access to records to individuals who have appropriate role
based permissions.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to records about them in this
system of records must submit their request in writing to the FDIC FOIA
& Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or email
<a href="/cdn-cgi/l/email-protection#88edeee7e1e9c8eeece1eba6efe7fe"><span class="__cf_email__" data-cfemail="3356555c5a527355575a501d545c45">[email protected]</span></a>. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
CONTESTING RECORD PROCEDURES:
Individuals wishing to contest or request an amendment to their
records in this system of records must submit their request in writing
to the FDIC FOIA & Privacy Act Group, 550 17th Street NW, Washington,
DC 20429, or email <a href="/cdn-cgi/l/email-protection#0164676e686041676568622f666e77"><span class="__cf_email__" data-cfemail="284d4e474149684e4c414b064f475e">[email protected]</span></a>. Requests must specify the
information being contested, the reasons for contesting it, and the
proposed amendment to such information in accordance with FDIC
regulations at 12 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals wishing to know whether this system contains
information about them must submit their request in writing to the FDIC
FOIA & Privacy Act Group, 550 17th Street NW, Washington, DC 20429, or
email <a href="/cdn-cgi/l/email-protection#5134373e383011373538327f363e27"><span class="__cf_email__" data-cfemail="264340494f476640424f4508414950">[email protected]</span></a>. Requests must include full name, address, and
verification of identity in accordance with FDIC regulations at 12 CFR
part 310.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
This system of records, to the extent that it consists of
information compiled for the purpose of criminal investigations, has
been exempted from the requirements of subsections (c)(3) and (4); (d);
(e)(1), (2) and (3); (e)(4)(G) and (H); (e)(5); (e)(8); (e)(12); (f);
(g); and (h) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). In
addition, this system of records, to the extent that it consists of
investigatory material compiled: (A) for other law enforcement purposes
(except where an individual has been denied any right, privilege, or
benefit for which he or she would otherwise be entitled to or eligible
for under Federal law, so long as the disclosure of such information
would not reveal the identity of a source who furnished information to
the FDIC under an express promise that his or her identity would be
kept confidential); or
[[Page 26305]]
(B) solely for purposes of determining suitability, eligibility, or
qualifications for Federal civilian employment or Federal contracts,
the release of which would reveal the identity of a source who
furnished information to the FDIC on a confidential basis, has been
exempted from the requirements of subsections (c)(3); (d); (e)(1);
(e)(4)(G) and (H); and (f) of the Privacy Act pursuant to 5 U.S.C.
552a(k)(2) and (k)(5), respectively. Note, records in this system that
originated in another system of records shall be governed by the
exemptions claimed for this system as well as any additional exemptions
claimed for the other system.
HISTORY:
84 FR 35184 (July 22, 2019).
Federal Deposit Insurance Corporation.
Dated at Washington, DC, on April 24, 2023.
James P. Sheesley,
Assistant Executive Secretary.
[FR Doc. 2023-09017 Filed 4-27-23; 8:45 am]
BILLING CODE 6714-01-P
</pre><script data-cfasync="false" src="/cdn-cgi/scripts/5c5dd728/cloudflare-static/email-decode.min.js"></script></body>
</html>Indexed from Federal Register on April 28, 2023.
This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.