# NCUA AGENCY-WIDE ELECTRONIC SYSTEMS

**1. MANAGEMENT INFORMATION SYSTEM (MIS)**

**Program:** Office of Examination and Insurance

**Applicability:** Agency-wide

**Identifying Information:**

**Description:** MIS is an internal, multi-tier system containing
general information describing each of the credit unions in the agency
database. All other agency systems join from this system. MIS tracks the
current status and history of active and inactive credit unions
nationwide. MIS is also used to reserve credit union names.

**Specific Restrictions:** Confidential Credit Union Information

**Vital Record:** Yes

**Specific Legal Requirements:** Federal Credit Union Act, Title 12 of
U.S.C.

**Disposition Information:**

a.  System inputs: The major inputs are financial information on
    institutions, 5300 Call Reports, Report of Official data, and
    examination information

> TEMPORARY. Destroy/delete after the data has been transferred to the
> master file and verified.

b.  System data: General credit union information for every credit
    union, county names for credit unions, reserved names for credit
    unions, historical information on a credit union's name changes,
    financial data from credit unions, examination data, CAMEL codes
    (Capital, Assets, Management, Equity, and Liability).

```{=html}
<!-- -->
```
1.  PERMANENT copy. Copy data offline when 5 years old in 2 versions
    (public access; restricted for 30 years). Transfer to the National
    Archives in accordance with 36 CFR 1228.270.

2.  NCUA copy. TEMPORARY. Delete data when 30 years old or when no
    longer needed for

> agency business, whichever is later.

c.  System outputs: Directories of credit unions. General credit union
    information, such as address, telephone number, and manager's name.
    Description of significant credit union events, i.e., merger
    history, name changes, liquidation. Also includes total assets and
    shares, as well as current Capital codes (Capital, Assets,
    Management, Equity, and Liability).

> TEMPORARY. Destroy when 5 years old or no longer needed for agency
> business, whichever is sooner.

d.  System documentation: Record layouts, data dictionary

> PERMANENT. Transfer to the National Archives with system data as
> indicated in item 1b1 above.

2.  **EXAM SYSTEM**

**Program:** Office of Examination and Insurance

**Applicability:** Agency-wide

**Identifying Information:**

**Description:** Tabular subset of data collected from yearly
examinations of credit unions by Federal and state examiners.
Multi-client server for supervisory examinations and follow-ups.

**Specific Restrictions:** Confidential Credit Union Information

**Vital Record:** Yes

**Specific Legal Requirements:** Federal Credit Union Act, Title 12
U.S.C.

**Disposition Information:**

a.  System inputs: Examination reports, SA 110 (Smaller version of AIRES
    that examiners use in the field).

> TEMPORARY Destroy/delete after the data has been transferred to the
> master file and verified.

b.  System data: General information for every credit union, examination
    110 information (credit union's contact history), current and
    previous examination, information on last and current contact,
    assets, shares, data gathered on credit union's from questionnaire.

> TEMPORARY. Delete data when 30 years old or when no longer needed,
> whichever is sooner.

c.  System outputs: Printout of exam record, name of credit union, date
    of examination and problem areas; CAMEL (Capital, Asset, Management,
    Equity, and Liability) ratings, examiner on site hours expended.

> TEMPORARY. Destroy when no longer needed for agency business.

d.  System documentation: Record layouts, data dictionary

> TEMPORARY. Destroy/delete when the system is superseded or obsolete..

**3. AUTOMATED INTEGRATED REGULATORY EXAMINATION SYSTEM (AIRES)**

**Program:** Office of Examination and Insurance

**Applicability:** Agency-wide

**Identifying Information:**

**Description:** Data collected from annual examinations of credit
unions by Federal and state examiners in evaluating the safety and
soundness of the institution.

**Specific Restrictions:** Confidential credit union information

**Vital Record:** Yes

**Specific Legal Requirement:** Federal Credit Union Act, Title12,
U.S.C.

**Disposition Information:**

a.  System inputs: Loan and share data, data from credit unions

> TEMPORARY. Destroy/delete after the data has been transferred to the
> master file and verified.

b.  System data: 5300 Call Report data, financial data from credit
    unions, spreadsheets, examiner data, examination reports

```{=html}
<!-- -->
```
1.  PERMANENT copy. Copy data off-line when 5 years old in 2 versions
    (public access; restricted for 30 years). Transfer to the National
    Archives in accordance with 36 CFR 1228.270.

2.  NCUA copy. TEMPORARY. Delete data when 30 years old or when no
    longer needed for agency business, whichever is later.

```{=html}
<!-- -->
```
c.  System outputs: Reports of Examination, work papers, CAMEL (Capital,
    Assets, Management, Equity, and Liability) ratings

TEMPORARY. Destroy when 5 years old or no longer needed for agency
business, whichever is

sooner.

d.  System documentation: Users manual, records layout, data dictionary,
    electronic help file built into application

> PERMANENT. Transfer to the National Archives with system data as
> indicated in item 3b1 above.

4.  **5300 CALL REPORT SYSTEM**

**Program:** Office of Examination and Insurance

**Applicability:** Agency-wide

**Identifying Information:**

**Description:** Financial and statistical data collected on "Natural
Person" credit unions. The data, which is collected at least
semi-annually, is stored in tables and utilized by several systems
within the agency. Includes quarterly statements of condition and
income; and supplemental schedules for the balance sheet and income
statement. The 5300 Call Report software is distributed each cycle to
credit unions. The examiner uploads the data into the system using the
NCUA Call Report program

**Specific Restrictions:** No. This information is available on the
agency web site.

**Vital Record:** Yes

**Specific Legal Requirement:** Federal Credit Union Act, Title 12
U.S.C.

**Disposition Information:**

a.  System inputs: 5300 Call Report data.

> TEMPORARY. Delete/destroy after the data has been transferred to the
> master file and verified.

b.  System data: Data submitted by individual credit unions containing
    information on the institution's financial condition and activities.
    The tables include information about assets, liabilities, income,
    expenses, net worth, balances due, investments, accruals,
    performance of loans, commitments, and collateral. The information
    is tabulated for each credit union.

> TEMPORARY. Delete when 30 years old or when no longer needed for
> agency business, whichever is sooner.

c.  System outputs: Financial Performance Reports, Consolidated Balance
    Sheet Reports, financial and statistical tables.

> TEMPORARY. Destroy when 5 years old or when no longer needed for
> agency business, whichever is sooner.

d.  System documentation: Help files instructions sent to credit unions
    electronically.

> TEMPORARY. Destroy/delete when system is superseded or becomes
> obsolete.

5.  **REPORT OF OFFICIALS (ROO) SYSTEM**

**Program:** Office of Examination and Insurance

**Applicability:** Agency-wide

**Identifying Information:**

**Description:** Contains current information on board of directors,
committee members, and managers of credit unions.

**Specific Restrictions:** Confidential credit union information

**Vital Record:** Yes

**Specific Legal Requirement:** Federal Credit Union Act, Title 12
U.S.C.

**Disposition Information:**

a.  System inputs: Two-page report submitted either electronically or in
    paper form.

> TEMPORARY. Destroy/delete after the data has been transferred to the
> master file and verified.

b.  System data: Tables containing multiple records per credit union per
    report date based upon the

number of officials submitted.

TEMPORARY. Retain data for 5 years or until no longer needed for agency
business, whichever is

sooner.

c.  System outputs: Report of Officials Annual report.

> TEMPORARY. Destroy when 5 years old or no longer needed for agency
> business, whichever
>
> is sooner.

d.  System documentation: Data Dictionary

> TEMPORARY. Destroy/delete when system is superseded or becomes
> obsolete.

6.  **CORPORATE NAME SYSTEM (CNS)**

**Program:** Office of Corporate Credit Unions

**Applicability:** Agency-wide

**Identifying Information:**

**Description:** Database containing current information regarding
corporate credit unions. The system maintains information such as
corporate addresses, state regulator addresses, and state league
addresses.

**Specific Restrictions:** None

**Vital Record:** No

**Specific Legal Requirements:** Federal Credit Union Act, Title 12
U.S.C.

**Disposition Information:**

a.  System inputs: Name and telephone numbers of corporate officials,
    changes in corporate structure,

examiner information, analyst information, et cetera.

TEMPORARY. Destroy/delete after the data has been transferred to the
master file and verified.

b.  System data: Data from MIS system (see item 1 of this schedule)

> TEMPORARY. Retain data until no longer needed for agency business.

c.  System outputs: Corporate Managers Directory by State, master
    listing, State Supervisors

Directory, State League Directory, Corporate Examiner Data Listing.

TEMPORARY. Destroy when 5 years old or no longer needed for agency
business, whichever

is sooner.

d.  System documentation: Internally developed software.

> TEMPORARY. Destroy/delete when the system is superseded or becomes
> obsolete.

7.  **5310 CORPORATE CREDIT UNION CALL REPORT SYSTEM (5310)**

**Program:** Office of Corporate Credit Unions

**Applicability:** Agency-wide

**Identifying Information:**

**Description:** Financial and statistical data collected on corporate
credit unions. The data, which is collected at least semi-annually, is
stored in tables and utilized by several systems within the agency.
Includes quarterly statements of condition and income; and supplemental
schedules for the balance sheet and income statement.

**Specific Restrictions:** Confidential credit union information

**Vital Record:** Yes

**Specific Legal Requirement:** Federal Credit Union Act, Title 12
U.S.C.

**Disposition Information:**

a.  System inputs: The 5310 Call Report Form. The 5310 Call Report Form
    software is distributed each cycle to corporate credit unions. The
    examiner uploads the data into the system using the NCUA Call Report
    Program.

> TEMPORARY. Destroy/delete after the data has been transferred to the
> master file and verified.

b.  System data: Data submitted by individual credit unions containing
    information on the institution's financial condition and activities.
    The tables include information about assets, liabilities, income,
    expenses, net worth, balances due, investments, accruals,
    performance of loans, commitments, and collateral. The information
    is tabulated for each credit union.

> TEMPORARY. Store data off-line when 5 years old. Delete data when 30
> years old or when no longer needed for agency business, whichever is
> sooner.

c.  System outputs: Monthly financial reports pertaining to individual
    credit unions.

> TEMPORARY. Destroy when 5 years old, or when no longer needed,
> whichever is sooner.

d.  System documentation: Electronic help file instructions sent to
    credit unions.

> TEMPORARY. Destroy/delete when the system is superseded or becomes
> obsolete.

8.  **CORPORATE 110 (Corp 110) SYSTEM**

**Program:** Office of Corporate Credit Unions

**Applicability:** Agency-wide

**Identifying Information:**

**Description:** Database used to track examination information.

**Specific Restrictions:** Confidential credit union information

**Vital Record:** Yes

**Specific Legal Requirements:** Federal Credit Union Act, Title 12
U.S.C.

a.  System inputs: Examination data input by examiners.

> TEMPORARY. Destroy/delete after the data has been transferred to the
> master file and verified.

b.  System data: Financial data on individual corporate credit unions.

> TEMPORARY. Retain data until no longer needed for agency business.

c.  System outputs: One-page report summarizing corporate examination
    information.

> TEMPORARY. Destroy when 5 years old or when no longer needed for
> agency business, whichever is sooner.

d.  System documentation:

> TEMPORARY. Destroy/delete when the system is superseded or becomes
> obsolete.

9.  **CENTRAL LIQUIDITY FACILITY (CLF) ACCOUNTING SYSTEM**

**Program:** SAP system maintained by the Office of the Chief
Information Officer

**Applicability:** Office of Examination and Insurance, Central
Liquidity Facility

**Identifying Information:** SAP System -- CLF Model

**Description:** Database used to record accounting entries to account
for regular and agent member stock subscriptions and liquidity reserve
accounts and loan transactions and the Central Liquidity Facility's
investment income and expenses and budget preparation.

**Specific Restrictions:** Confidential credit union information

**Vital Record:** Yes

**Specific Legal Requirements:** Federal Credit Union Act, Title 12
U.S.C.

**Disposition Information:**

a.  System inputs:

```{=html}
<!-- -->
```
1.  Bank statements and cancelled checks, etc., written and verbal
    instructions (i.e., notes from conversations) from members, billing
    invoices, member deposits and requests for funds, cash
    receipts/disbursements and non-cash journal vouchers and supporting
    documentation, wire transfer authorizations, data disks, and
    electronic data files from corporate credit unions.

TEMPORARY. Destroy/delete data 10 years after the close of the
applicable calendar year or

when no longer needed for reference, whichever is later.

2.  Membership applications.

> TEMPORARY. Destroy/delete 25 years after membership is terminated or
> when no longer needed for agency business, whichever is longer.

3.  Member loan applications and other related loan documentation.

> TEMPORARY. Destroy/delete data 10 years after the loan is paid in full
> or when no longer needed for reference, whichever is later.

b.  System data: Annual stock subscription billing statements, regular
    and agent member quarterly dividend statements, financial statement
    packages, general ledger line item summaries, member total reports,
    trial balances, general ledger account summaries.

> TEMPORARY. Delete 25 years after membership is terminated or when no
> longer needed for agency business, whichever is longer.

c.  System outputs: General Ledger Account Summaries, Annual Stock
    Subscription Billing

Statements, Quarterly Regular and Agent Member Account Statements, Trial
Balances, General

Ledger Line Item Summaries, Member Total Reports, Agency Budget Reports
for calculating CLF

portion of NCUA's operating expenses.

TEMPORARY. Destroy when 10 years old or when no longer needed for
reference, whichever is

later.

d.  System documentation: Online SAP help, desktop procedural manuals

> TEMPORARY. Destroy/delete when the system is superseded or becomes
> obsolete.

10. **FIELD OF MEMBERSHIP INTERNET APPLICATION (FOMIA) SYSTEM**

**Program:** Office of Examination and Insurance

**Applicability:** Agency-wide

**Identifying Information:**

**Description:** System used for credit unions to quickly submit Field
of Membership applications for occupational SEGs of 500 or less.

**Specific Restrictions:** No

**Vital Record:** Yes

**Specific Legal Requirements:** Federal Credit Union Act, Title 12
U.S.C.

**Disposition Information:**

a\. System inputs: Credit union data and MIS information

TEMPORARY. Destroy/delete after the data has been transferred to the
master file and verified.

b.  System data: FOMIA applications

> TEMPORARY. Delete when 5 years old or when no longer needed fore
> reference, whichever is sooner.

c.  System outputs: GENISIS Reports.

TEMPORARY. Destroy after 5 years or when no longer needed for agency
business, whichever is

sooner.

d.  System documentation: User manual

> TEMPORARY. Destroy/delete when system is superseded or becomes
> obsolete.

11. **GENERATING EFFICIENT NATIONAL INFORMATION SYSTEMS FOR INSURANCE**

**SERVICES (GENISIS)**

**Program:** Office of Examination and Insurance

**Applicability:** Agency-wide

**Identifying Information:**

**Description:** System used to maintain consistent administrative
record of insurance-related processes.

**Specific Restrictions:** Yes

**Vital Record:** Yes

**Specific Legal Requirements:** Federal Credit Union Membership Access
Act

**Disposition Information:**

a.  System inputs: 5300 Reports, MIS data, EXAM information, and other
    data

> TEMPORARY. Destroy/delete after the data has been transferred to the
> master file and verified.

b.  System data:

> TEMPORARY. Destroy/delete when 5 years old or when no longer needed
> for agency business, whichever is sooner.

c.  System outputs: Various reports.

> TEMPORARY. Destroy after 5 years or when no longer needed for agency
> business, whichever is sooner.

d.  System documentation: User manual

TEMPORARY. Destroy/delete when the system is superseded or becomes
obsolete.