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2000 - Rules and Regulations
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PART 310—PRIVACY ACT REGULATIONS
Regulations
Sec.
310.1
Purpose and scope.
310.2
Definitions.
310.3
Procedures for requests pertaining to individual records in a system of
records.
310.4
Times, places, and requirements for identification of individuals
making requests.
310.5
Disclosure of requested information to individuals.
310.6
Special procedures: medical records.
310.7
Request for amendment of record.
310.8
Agency review of request for amendment of record.
310.9
Appeal of adverse initial agency determination on access or amendment.
310.10
Disclosure of record to person other than the individual to whom it
pertains.
310.11
Fees.
310.12
Penalties.
310.13
Exemptions.
Systems of Records Maintained by the Federal Deposit Insurance
Corporation
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 Safety and
Security Incident Records.
30–64–0010 Investigative
Files of the Office of the Inspector General.
30–64–0011 Corporate
Recruitment Tacking Records.
30–64–0012 Financial
Information Management Records.
30–64–0013 Insured Bank
Liquidation Records.
30–64–0014 Personnel Benefits
and Enrollment Records.
30–64–0015 Personnel
Records.
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 Requests Records.
30–64–0023 Affordable
Housing Program Records.
30–64–0024 Unclaimed
Deposit Account Records.
30–64–0025 Beneficial
Ownership Filing (Securities Exchange Act).
30–64–0026 Transit Subsidy
Program Records.
30–64–0027 Parking Program
Records.
30–64–0028 Office of the
Chairman Correspondence Records.
30–64–0029 Congressional
Correspondence Records.
30–64–0030 Legislative
Information Tracking System Records.
Appendix A
Federal Deposit
Insurance Corporation Regional Offices
AUTHORITY: 5 U.S.C. 552a.
Source: The provisions of this Part 310 appear at 40 Fed. Reg.
39079, August 27, 1975, and at 40 Fed. Reg. 46288, 46274, October 6,
1975, effective September 27, 1975, except as otherwise
noted.
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REGULATIONS
§ 310.1 Purpose and scope.
The purpose of this part is to establish regulations implementing
the Privacy Act of 1974, 5 U.S.C. 552a. These regulations delineate the
procedures that an individual must follow in exercising his or her
access or amendment rights under the Privacy Act to records maintained
by the Corporation in systems of records.
[Codified to 12 C.F.R. § 310.1]
[Section 310.1 amended at 61 Fed. Reg. 43419, August 23,
1996]
§ 310.2 Definitions.
For purposes of this part:
(a) The term "Corporation" means the Federal Deposit
Insurance Corporation;
(b) The term "individual" means a natural person who is
either a citizen of the United States or an alien lawfully admitted for
permanent residence;
(c) The term "maintain" includes maintain, collect, use,
disseminate, or control;
(d) The term "record" means any item, collection or grouping
of information about an individual that contains his/her name, or the
identifying number, symbol, or other identifying particular assigned to
the individual;
(e) The term "system of records" means a group of any records
under the control of the Corporation from which information is
retrieved by the name of the individual or some identifying number,
symbol or other identifying particular assigned to the individual;
(f) The term "designated system of records" means a system of
records which has been listed and summarized in the Federal Register
pursuant to the requirements of 5
U.S.C. 552a(e);
(g) The term "routine use" means, with respect to
disclosure of a record, the use of such record for a purpose which is
compatible with the purpose for which it was created; and
(h) The terms "amend" or "amendment" mean any
correction, addition to or deletion from a record.
(i) The term "system manager" means the agency official
responsible for a designated system of records, as denominated in the
Federal Register publication of "Systems of Records Maintained by
the Federal Deposit Insurance Corporation."
[Codified to 12 C.F.R. § 310.2]
[Section 310.2 amended at 42 Fed. Reg. 6796, February 4,
1977, effective March 1, 1977]
§ 310.3 Procedures for requests pertaining to individual
records in a system of records.
(a) Any present or former employee of the Corporation seeking
access to, or amendment of, his/her official personnel records
maintained by the Corporation shall submit his/her request in such
manner as is prescribed by the United States Office of Personnel
Management in part 297 of its rules and regulations (5 CFR 297). For
access to, or amendment of, other government-wide records systems
maintained by the Corporation, the procedures prescribed in the
respective Federal Register Privacy Act system notice shall
be followed.
(b) Requests by individuals for access to records pertaining to
them and maintained within one of the Corporation's designated systems
of records should be submitted in writing to the Freedom of Information
Act/Privacy Act Group, Legal Division ("FOIA/PA Group"), Federal
Deposit Insurance Corporation, 550 17th Street, N.W., Washington, D.C.
20429. Each such request should contain a reasonable description of the
records sought, the system or systems in which such record may be
contained, and any additional identifying information, as specified in
the Corporation's Federal Register "Notice of Systems of Records"
for that particular system, copies of which are available upon request
from the FOIA/PA Group.
{{12-31-02 p.2189}}
[Codified to 12 C.F.R. § 310.3]
[Section 310.3 amended at 42 Fed. Reg. 6796, February 4,
1977, effective March 1, 1977; 61 Fed. Reg. 43419, August 23, 1996; 67
Fed. Reg. 71071, November 29, 2002]
§ 310.4 Times, places, and requirements for identification of
individuals making requests.
(a) Individuals may request access to records pertaining to
themselves by submitting a written request as provided in § 310.3 of
these regulations, or by appearing in person on weekdays, other than
official holidays, at the FOIA/PA Group, Legal Division, Federal
Deposit Insurance Corporation, 550 17th Street, N.W., Washington, D.C.
20429, between the hours of 8:30 a.m. and 5 p.m.
(b) Individuals appearing in person at the Corporation seeking
access to or amendment of their records shall present two forms of
reasonable identification, such as employment identification cards,
driver's licenses, or other identification cards or documents typically
used for identification purposes.
(c) Except for records that must be publicly disclosed pursuant to
the Freedom of Information Act, 5 U.S.C. 552, where the Corporation
determines it to be necessary for the individual's protection, a
certification of a duly commissioned notary public, of any state or
territory, attesting to the requesting individual's identity, or an
unsworn declaration subscribed to as true under the penalty of perjury
under the laws of the United States of America, at the election of the
individual, may be required before a written request seeking access to
or amendment of a record will be honored. The Corporation may also
require that individuals provide minimal identifying data such as full
name, date and place of birth, or other personal information necessary
to ensure proper identity before processing requests for records.
[Codified to 12 C.F.R. § 310.4]
[Section 310.4 amended at 42 Fed. Reg. 6796, February 4,
1977, effective March 1, 1977; 61 Fed. Reg. 43419, August 23, 1996; 67
Fed. Reg. 71071, November 29, 2002]
§ 310.5 Disclosure of requested information to
individuals.
(a) Except to the extent that Corporation records pertaining to an
individual
(1) are exempt from disclosure under §§ 310.6 and 310.13 of
this Part, or
(2) were compiled in reasonable anticipation of a civil action or
proceeding, the Corporation will make such records available upon
request for purposes of inspection and copying by the individual (after
proper identity verification as provided in § 310.4) and, upon the
individual's request and written authorization, by another person of
the individual's own choosing.
(b) The FOIA/PA Group will notify, in writing, the individual
making a request, whenever practicable within ten business days
following receipt of the request, whether any specified designated
system of records maintained by the Corporation contains a record
pertaining to the individual. Where such a record does exist, the
FOIA/PA Group also will inform the individual of the system manager's
decision whether to grant or deny the request for access. In the event
existing records are determined not to be disclosable, the notification
will inform the individual of the reasons for which disclosure will not
be made and will provide a description of the individual's right to
appeal the denial, as more fully set forth in § 310.9. Where access
is to be granted, the notification will specify the procedures for
verifying the individual's identity, as set forth in § 310.4.
(c) Individuals will be granted access to records disclosable under
this Part 310 as soon as is practicable. FOIA/PA Group will give
written notification of a reasonable period within which individuals
may inspect disclosable records pertaining to themselves at the
offices of the FOIA/PA Group during normal business hours.
Alternatively, individuals granted access to records under this Part
may request that copies of such
{{12-31-02 p.2190}}records be forwarded to them.
Fees for copying such records will be assessed as provided in
§ 310.11.
[Codified to 12 C.F.R. § 310.5]
[Section 310.5 amended at 42 Fed. Reg. 6796, February 4,
1977, effective March 1, 1977; 67 Fed. Reg. 71071, November 29,
2002]
§ 310.6 Special procedures: medical records.
Medical records shall be disclosed on request to the individuals to
whom they pertain, except, if in the judgment of the Corporation, the
transmission of the medical information directly to the requesting
individual could have an adverse effect upon such individual. In the
event medical information is withheld from a requesting individual due
to any possible adverse effect such information may have upon the
individual, the Corporation shall transmit such information to a
medical doctor named by the requesting individual for release to the
patient.
[Codified to 12 C.F.R. § 310.6]
[Section 310.6 amended at 61 Fed. Reg. 43420, August 23,
1996]
§ 310.7 Request for amendment of record.
The Corporation will maintain all records it uses in making any
determination about any individual with such accuracy, relevance,
timeliness and completeness as is reasonably necessary to assure
fairness to the individual in the determination. An individual may
request that the Corporation amend any portion of a record pertaining
to that individual which the Corporation maintains in a designated
system of records. Such a request should be submitted in writing to the
FOIA/PA Group, Legal Division, Federal Deposit Insurance Corporation,
550 17th Street, N.W., Washington, D.C. 20429 and should contain the
individual's reason for requesting the amendment and a description of
the record (including the name of the appropriate designated system and
category thereof) sufficient to enable the Corporation to identify the
particular record or portion thereof with respect to which amendment is
sought.
[Codified to 12 C.F.R. § 310.7]
[Section 310.7 amended at 61 Fed. Reg. 43419, August 23,
1996; 67 Fed. Reg. 71071, November 29, 2002]
§ 310.8 Agency review of request for amendment of record.
(a) Requests by individuals for the amendment of records will be
acknowledged by the Senior Attorney, FOIA/PA Group, and referred to the
system manager of the system of records in which the record is
contained for determination, within ten business days following receipt
of such requests. Promptly thereafter, the Senior Attorney, FOIA/PA
Group will notify the individual of the system manager's decision to
grant or deny the request to amend.
(b) If the system manager denies a request to amend a record, the
notification of such denial shall contain the reason for the denial and
a description of the individual's right to appeal the denial as more
fully set forth in § 310.9
[Codified to 12 C.F.R. § 310.8]
[Section 310.8 amended at 42 Fed. Reg. 6796, February 4,
1977, effective March 1, 1977; 67 Fed. Reg. 71071, November 29,
2002]
§ 310.9 Appeal of adverse initial agency determination of
access or amendment.
(a) A system manager's denial of an individual's request for access
to or amendment of a record pertaining to him/her may be appealed in
writing to the Corporation's General Counsel (or designee) within 30
business days following receipt of notification of the denial. Such an
appeal should be addressed to the FOIA/PA Group, Legal Division, FDIC,
550 17th Street NW., Washington, D.C. 20429, and contain all the
information specified for requests for access in § 310.3 or for
initial requests to amend in § 310.7, as well as any other additional
information the individual deems relevant for the consideration by the
General Counsel (or designee) of the appeal.
{{12-31-02 p.2191}}
(b) The General Counsel (or designee) will normally make a final
determination with respect to an appeal made under this part within 30
business days following receipt by the Office of the Executive
Secretary of the appeal. The General Counsel (or designee) may,
however, extend this 30-day time period for good cause. Where such an
extension is required, the individual making the appeal will be
notified of the reason for the extension and the expected date upon
which a final decision will be given.
(c) If the General Counsel (or designee) affirms the initial denial
of a request for access or to amend, he or she will inform the
individual affected of the decision, the reason therefor, and the right
of judicial review of the decision. In addition, as pertains to a
request for amendment, the individual may at that point submit to the
Corporation a concise statement setting forth his or her reasons for
disagreeing with the Corporation's refusal to amend.
(d) Any statement of disagreement with the Corporation's refusal to
amend, filed with the Corporation by an individual pursuant to
§ 310.9(c), will be included in the disclosure of any records under
the authority of § 310.10(b). The Corporation may in its discretion
also include a copy of a concise statement of its reasons for not
making the requested amendment.
(e) The General Counsel (or designee) may on his or her own motion
refer an appeal to the Board of Directors for a determination, and the
Board of Directors on its own motion may consider an appeal.
[Codified to 12 C.F.R. § 310.9]
[Section 310.9 amended at 42 Fed. Reg. 6796, February 4,
1977, effective March 1, 1977; 52 Fed. Reg. 34209, September 10, 1987;
61 Fed. Reg. 43420, August 23, 1996; 67 Fed. Reg. 71071, November 29,
2002]
§ 310.10 Disclosure of record to person other than the
individual to whom it pertains.
(a) Except as provided in paragraph (b) of this section, the
Corporation will not disclose any record contained in a designated
system of records to any person or agency except with the prior written
consent of the individual to whom the record pertains.
(b) The restrictions on disclosure in paragraph (a) of this section
do not apply to any of the following disclosures:
(1) To those officers and employees of the Corporation who have a
need for the record in the performance of their duties;
(2) Which is required under the Freedom of Information Act (5
U.S.C. 552);
(3) For a routine use listed with respect to a designated system
of records;
(4) To the Bureau of the Census for purposes of planning or
carrying out a census or survey or related activity pursuant to the
provisions of title 13 of the United States Code;
(5) To a recipient who has provided the Corporation with advance
adequate written assurance that the record will be used solely as a
statistical research or reporting record, and the record is to be
transferred in a form that is not individually identifiable;
(6) To the National Archives and Records Administration as a
record which has sufficient historical or other value to warrant its
continued preservation by the United States Government, or for
evaluation by the Archivist of the United States or his or her designee
to determine whether the record has such value;
(7) To another agency or to an instrumentality of any
governmental jurisdiction within or under the control of the United
States for a civil or criminal law enforcement activity if the activity
is authorized by law, and if the head of the agency or instrumentality
has made a written request to the Corporation specifying the particular
portion desired and the law enforcement activity for which the record
is sought;
(8) To a person pursuant to a showing of compelling circumstances
affecting the health or safety of an individual if, upon such
disclosure, notification is transmitted to the last known address of
such individual;
(9) To either House of Congress, or, to the extent of matter
within its jurisdiction, any committee or subcommittee thereof, any
joint committee of Congress or subcommittee of any such joint
committee;
{{12-31-02 p.2192}}
(10) To the Comptroller General, or any of his or her authorized
representatives, in the course of the performance of the duties of the
General Accounting Office;
(11) Pursuant to the order of a court of competent jurisdiction.
(12) To a consumer reporting agency in accordance with section
3711(f) of Title 31.
(c) The Corporation will adhere to the following procedures in the
case of disclosure of any record pursuant to the authority of
paragraphs (b)(3) through (b)(12) of this section.
(1) The Corporation will keep a record of the date, nature and
purpose of each such disclosure, as well as the name and address of the
person or agency to whom such disclosure is made; and
(2) The Corporation will retain and, with the exception of
disclosures made pursuant to paragraph (b)(7) of this section, make
available to the individual named in the record for the greater of five
years or the life of the record all material compiled under paragraph
(d)(1) of this section with respect to disclosure of such record.
(d) Whenever a record which has been disclosed by the Corporation
under authority of paragraph (b) of this section is, within a
reasonable amount of time after such disclosure, either amended by the
Corporation or the subject of a statement of disagreement, the
Corporation will transmit such additional information to any person or
agency to whom the record was disclosed, if such disclosure was subject
to the accounting requirements of paragraph (c)(1) of this section.
[Codified to 12 C.F.R. § 310.10]
[Section 310.10 amended at 61 Fed. Reg. 43420, August 23,
1996]
§ 310.11 Fees.
The Corporation, upon a request for records disclosable pursuant to
the Privacy Act of 1974 (5 U.S.C.
552a), shall charge a fee of $0.10 per page for duplicating,
except as follows:
(a) If the Corporation determines that it can grant access to a
record only by providing a copy of the record, no fee will be charged
for providing the first copy of the record or any portion thereof;
(b) Whenever the aggregate fees computed under this section do not
exceed $10.00 for any one request, the fee will be deemed waived by the
Corporation; or,
(c) Whenever the Corporation determines that a reduction or waiver
is warranted, it may reduce or waive any fees imposed for furnishing
requested information pursuant to this section.
[Codified to 12 C.F.R. § 310.11]
[Section 310.11 amended at 61 Fed. Reg. 43420, August 23,
1996]
§ 310.12 Penalties.
Subsection (i)(3) of the Privacy Act of 1974 (5 U.S.C. 552a(i)(3))
imposes criminal penalties for obtaining Corporation records on
individuals under false pretenses. The subsection provides as follows:
"Any person who knowingly and willfully requests or obtains any
record concerning an individual from an agency under false pretenses
shall be guilty of a misdemeanor and fined not more than $5,000."
[Codified to 12 C.F.R. § 310.12]
§ 310.13 Exemptions.
(a) Investigatory material compiled for law enforcement purposes in
the following systems of records is exempt from §§ 310.3 through
310.9 and § 310.10(c)(2) of these rules; Provided, however,
That if any individual is denied any right, privilege, or benefit
to which he/she would otherwise be entitled under federal law, or for
which he/she would otherwise be eligible, as a result of the
maintenance of such material, such material shall be disclosed to such
individual, except to the extent that the disclosure of such material
would reveal the identity of a source who furnished information to the
Government under an express promise that the identity of the source
would be held in confidence, or, prior to September
{{8-30-96 p.2193}}27, 1975, under an implied
promise that the identity of the source would be held in confidence:
"30--64--0002"--Financial institutions investigative and
enforcement records system.
"30--64--0010"--Investigative files and records.
(b) Investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for Corporation
employment to the extent that disclosure of such material would
reveal the identity of a source who furnished information to the
Corporation under an express promise that the identity of the source
would be held in confidence, or, prior to September 27, 1975, under an
implied promise that the identity of the source would be held in
confidence, in the following systems of records, is exempt from
§§ 310.3 through 310.9 and § 310.10(c)(2) of these rules:
"30--64--0001"--Attorney-legal intern applicant system.
"30--64--0010"--Investigative files and records.
(c) Testing or examination material used solely to determine or
assess individual qualifications for appointment or promotion in the
Corporation's service, the disclosure of which would compromise the
objectivity or fairness of the testing, evaluation, or examination
process, in the following system of records, is exempt from
§§ 310.3-310.9 and § 310.10(c)(2) of these rules:
30--64--0009--Examiner training and education records.
[Codified to 12 C.F.R. § 310.13]
[Section 310.13 amended at 42 Fed. Reg. 6797, February 4, 1977,
effective March 1, 1977; 42 Fed. Reg. 33720, July 1, 1977; 52 Fed. Reg.
34209, September 10, 1987; 53 Fed. Reg. 7340, March 8, 1988, effective
May 23, 1988; 54 Fed. Reg. 38507, September 19, 1989, effective October
19, 1989; 61 Fed. Reg. 43420, August 23, 1996]
[The page following this is 2203.]
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