3486 Federal Register / Vol. 65, No. 14 / Friday, January 21, 2000 / Notices

prepare schedules proposing retention

periods for records and submit these

schedules for NARA approval, using the

Standard Form (SF) 115, Request for

Records Disposition Authority. These

schedules provide for the timely transfer

into the National Archives of

historically valuable records and

authorize the disposal of all other

records after the agency no longer needs

the records to conduct its business.

Routine administrative records

common to most agencies are approved

for disposal in the General Records

Schedules (GRS), which are disposition

schedules issued by NARA that apply

Government-wide.

On March 25, 1999, the Archivist

issued NARA Bulletin 99–04, which

told agencies what they must do to

schedule electronic copies associated

with previously scheduled program

records and certain administrative

records that were previously scheduled

under GRS 20, Items 13 and 14. On

December 27, 1999, the Archivist issued

NARA Bulletin 2000–02, which

suspended Bulletin 99–04 pending

NARA’s completion in FY 2001 of an

overall review of scheduling and

appraisal. On completion of this review,

which will address all records,

including electronic copies, NARA will

determine whether Bulletin 99–04

should be revised or replaced with an

alternative scheduling procedure.

However, NARA will accept and

process schedules for electronic copies

prepared in accordance with Bulletin

99–04 that are submitted after December

27, 1999, as well as schedules that were

submitted prior to this date.

Schedules submitted in accordance

with NARA Bulletin 99–04 only cover

the electronic copies associated with

previously scheduled series. Agencies

that wish to schedule hitherto

unscheduled series must submit

separate SF 115s that cover both

recordkeeping copies and electronic

copies used to create them.

In developing SF 115s for the

electronic copies of scheduled records,

agencies may use either of two

scheduling models. They may add an

appropriate disposition for the

electronic copies formerly covered by

GRS 20, Items 13 and 14, to every item

in their manuals or records schedules

where the recordkeeping copy has been

created with a word processing or

electronic mail application. This

approach is described as Model 1 in

Bulletin 99–04. Alternatively, agencies

may group records by program,

function, or organizational component

and propose disposition instructions for

the electronic copies associated with

each grouping. This approach is

described as Model 2 in the Bulletin.

Schedules that follow Model 2 do not

describe records at the series level.

For each schedule covered by this

notice the following information is

provided: Name of the Federal agency

and any subdivisions requesting

disposition authority; the organizational

unit(s) accumulating the records or a

statement that the schedule has agencywide applicability in the case of

schedules that cover records that may be

accumulated throughout an agency; the

control number assigned to each

schedule; the total number of schedule

items; the number of temporary items

(the record series proposed for

destruction); a brief description of the

temporary electronic copies; and

citations to previously approved SF

115s or printed disposition manuals that

scheduled the recordkeeping copies

associated with the electronic copies

covered by the pending schedule. If a

cited manual or schedule is available

from the Government Printing Office or

has been posted to a publicly available

Web site, this too is noted.

Further information about the

disposition process is available on

request.

Schedule Pending

1. Federal Communications

Commission, Compliance and

Information Bureau (N9–173–00–5, 1

item, 1 temporary item). Electronic

copies of records created using

electronic mail and word processing

regarding the development and

administration of policies and programs

relating to engineering activities

performed in the field and field

inspections or investigations required

by the Commission. Included are

electronic copies of records pertaining

to station inspections, surveys,

monitoring, direction finding, signal

measurement and investigations,

inspection of devices with

electromagnetic radiation

characteristics, and administrative

activities. This schedule follows Model

2 as described in the SUPPLEMENTARY

INFORMATION section of this notice.

Recordkeeping copies of these files are

included in Disposition Job Numbers

NC1–173–78–3, NC1–173–80–3, NC1–

173–82–7, NC1–173–83–4, NC1–173–

85–3, and N1–173–87–3.

Dated: January 13, 2000.

Michael J. Kurtz,

Assistant Archivist for Record Services—

Washington, DC.

[FR Doc. 00–1323 Filed 1–20–00; 8:45 am]

BILLIING CODE 7515–01–P

NATIONAL CREDIT UNION

ADMINISTRATION

Privacy Act of 1974; Revisions of

Systems of Records

AGENCY: National Credit Union

Administration.

ACTION: Notification of revisions and

deletions of systems of records.

SUMMARY: The National Credit Union

Administration (NCUA) is revising its

Privacy Act systems notices. The

revisions result from a review of agency

information practices conducted in

accordance with the President’s May 14,

1998, memorandum on privacy and

personal information in federal records.

In the review, NCUA identified several

changes in its record-keeping practices

which permitted the elimination of

some systems and the consolidation of

others. Due to organizational changes,

several system managers had changed.

In some systems, NCUA staff identified

new routine uses compatible with the

purposes for which the information is

collected. No new exemptions from

provisions of the Privacy Act of 1974

were required. The revisions reflect the

changes, and clarify the system notices.

EFFECTIVE DATE: The revised system

notices will be effective without further

notice on February 22, 2000, unless

comments received before that date

cause a contrary decision. If, based on

the review of comments received,

NCUA determines to make changes to

the system notices, a new final notice

will be published.

FOR FURTHER INFORMATION CONTACT:

Dianne M. Salva, Staff Attorney,

Division of Operations, Office of

General Counsel, at the National Credit

Union Administration, 1775 Duke

Street, Alexandria, Virginia 22314, or

telephone: (703) 518–6540.

SUPPLEMENTARY INFORMATION: In a

memorandum dated May 14, 1998,

President Clinton directed federal

agencies to conduct a thorough review

of all agency systems of records. The

President specifically directed agencies

to consider changes in technology,

function and organization that may have

made the systems out of date and to

review the routine uses published in the

system notices to make sure that they

continue to be necessary and compatible

with the purposes for which they were

collected. He also directed agencies to

identify systems that may not have been

described in a notice published in the

Federal Register and to publish notices

for any changes to the agency systems

of records and report to the Office of

Management and Budget within one

year regarding the results of their efforts.

Federal Register / Vol. 65, No. 14 / Friday, January 21, 2000 / Notices 3487

In its review NCUA determined to

eliminate redundancies in its system

notices, and as a result was able to

delete nine systems. Most of the changes

made by this notice are technical in

nature, reflecting the current name and

address of the office responsible for

each system and renumbering the

systems. In total NCUA reduced the

number of systems from twenty-two to

thirteen. It also updated its appendix B,

listing the addresses of the regional

offices.

The review provided an opportunity

to combine what were six identical

systems published for employee records

from each of the six NCUA regional

offices, into one unified system covering

all employees. This permitted the

revision of one system and the

elimination of five others. A routine use

was added to permit disclosure of

information relating to the qualifications

of an individual to a licensing board.

A routine use was added to the

system covering employee payroll

records, as required by the Personal

Responsibility and Work Opportunity

Reconciliation Act of 1996. 42 U.S.C.

653.

The systems covering delinquent

Freedom of Information Act request

invoices was updated and expanded to

cover the entire Freedom of Information

Act and Privacy Act request file and the

method of record storage was changed

to reflect the use of a computerized

database to track requests and invoice

payments.

Three systems previously covered the

files of failed credit unions which are

placed in liquidation by NCUA. These

three systems have been combined into

one and two new routine uses were

added. One new routine use covers

required disclosures to other agencies

and the other new routine use covers

NCUA’s maintenance of an Internet web

page listing the names associated with

unclaimed accounts at failed credit

unions.

Several new routine uses were added

to the system covering investigative

records maintained by the Office of

Inspector General. One routine use

permits the disclosure of information for

audit purposes. Another routine use

permits disclosure of information to

other government agencies if it is

required in order to obtain information

about an individual. A routine use was

also added to permit disclosure of

information reflecting upon the

qualifications of an individual to a

licensing board.

The system covering consumer

complaints filed against credit unions

was amended to reflect the use of a

computerized database to track

complaints.

A routine use was added to the

system covering litigation case files that

would permit disclosure of information

reflecting upon the qualifications of an

individual to a licensing board.

NCUA has deleted the following

systems:

(NCUA–4, Verified Employee Mailing List;

NCUA–6, New Examiner Training Files;

NCUA–8, Region II Employee

Development/Correspondence Records;

NCUA–9, Region III Employee

Development/Correspondence Records;

NCUA–10, Region IV Employee

Development/Correspondence Records;

NCUA–11, Region V Employee

Development/Correspondence Records;

NCUA–12, Region VI Employee

Development/Correspondence Records;

NCUA–17, Acquired Assets and Share

Payout Records System; NCUA–19,

Trusteed Account Records System.

Having made these changes, NCUA’s

revised systems of records, along with

the appendices, are published in their

entirety below.

National Credit Union Administration

Systems of Records

Table of Contents

List of Systems

1. Employee Suitability and Security

Investigations Containing Adverse

Information, NCUA.

2. Grievance Records, NCUA.

3. Payroll Records System, NCUA.

4. Travel Advance and Voucher Information

System, NCUA.

5. Unofficial Personnel and Employee

Development/Correspondence Records,

NCUA.

6. Emergency Information (Employee) File,

NCUA.

7. Employee Injury File, NCUA.

8. Investigative Reports Involving Any Crime,

Suspected Crime or Suspicious Activity

Against a Credit Union, NCUA.

9. Freedom of Information Act and Privacy

Act Requests and Invoices, NCUA.

10. Liquidating Credit Union Records,

NCUA.

11. Office of Inspector General (OIG)

Investigative Records, NCUA.

12. Consumer Complaints Against Federal

Credit Unions, NCUA.

13. Litigation Case Files, NCUA.

Note —See Appendices for general

‘‘routine uses’’ applicable to each system of

records and for a listing of the locations of

NCUA Regional Offices.

NCUA–1

SYSTEM NAME:

Employee Suitability and Security

Investigations Containing Adverse

Information, NCUA.

SYSTEM LOCATION:

Office of Human Resources, National

Credit Union Administration, 1775

Duke Street, Alexandria, VA 22314–

3428.

CATEGORIES OF INDIVIDUALS COVERED BY THIS

SYSTEM:

NCUA employees on whom a routine

Office of Personnel Management (OPM)

security investigation has been

conducted, the results of which contain

adverse information.

CATEGORIES OF RECORDS IN THE SYSTEM:

Arrest records and/or information on

moral character, integrity, or loyalty to

the United States.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Records maintained pursuant to OPM

requirements. A separate notice is

published because these records are

maintained separately to provide

extraordinary safeguards against

unwarranted access and disclosures.

PURPOSE(S):

The information in this system of

records is used to assist in the

determination of the suitability of the

effected individual for initial or

continued NCUA employment, or other

necessary action.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

(1) Records are reviewed by the

NCUA Security Officer (the Director of

Human Resources). If the records are

determined to be of a substantive

nature, they are referred to the

appropriate Associate Regional Director

or Office Director for whatever action, if

any, is deemed necessary. (2) Standard

routine uses as set forth in Appendix A.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are maintained on paper hard

copy.

RETRIEVABILITY:

Records are indexed by name.

SAFEGUARDS:

Records are maintained in a locked

file cabinet accessible only to the

Security Officer and his/her designated

assistant.

RETENTION AND DISPOSAL:

If the investigation is favorable to the

employee, the record is destroyed. If the

investigation uncovers adverse

information, the record is held for two

years.

3488 Federal Register / Vol. 65, No. 14 / Friday, January 21, 2000 / Notices

SYSTEM MANAGER(S) AND ADDRESS:

Security Officer, Office of Human

Resources, National Credit Union

Administration, 1775 Duke Street,

Alexandria, VA 22314–3428.

NOTIFICATION PROCEDURE:

An individual may inquire as to

whether the system contains a record

pertaining to the individual by

addressing a request in person or by

mail to the system manager listed above.

If there is no record on the individual,

the individual will be so advised.

RECORD ACCESS PROCEDURE:

Upon request, the system manager

will set forth the procedures for gaining

access to available records.

CONTESTING RECORD PROCEDURES:

Requests to amend or correct a record

should be directed to the system

manager listed above.

RECORD SOURCE CATEGORIES:

OPM Security Investigations Index,

FBI Headquarters investigative files,

fingerprint index of arrest records,

Defense Central Index of Investigations,

employers within the last five years,

listed references, and personal

associates, school registrars and

responsive law enforcement agencies.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS

OF THE ACT:

In addition to any exemption to

which this system is subject by Notices

published by or regulations

promulgated by the OPM, the system is

subject to a specific exemption pursuant

to 5 U.S.C. 552a(k)(5) to the extent that

disclosures would reveal a source who

furnished information under an express

promise of confidentiality, or prior to

September 27, 1975, under an express or

implied promise of confidentiality.

NCUA–2

SYSTEM NAME:

Grievance Records, NCUA.

SYSTEM LOCATION:

Office of Human Resources, National

Credit Union Administration, 1775

Duke Street, Alexandria, Virginia

22314–3428.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Current or former Federal employees

who have submitted grievances with

NCUA in accordance with part 771 of

the OPM’s regulations. These case files

contain all documents related to the

grievance, including statements of

witnesses, reports of interviews and

hearings, examiners’ findings and

recommendations, a copy of the original

and final decision with related

correspondence and exhibits.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 1302, 3301, and 3302, E.O.

10577, 3 CFR 1954–1958 Comp., p. 218;

E.O. 10987; 3 CFR 1959–1963 Comp., p.

519.

PURPOSE(S):

The information in this system is used

in the Agency’s formal grievance

process.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

(1) Information is used by the

appropriate Federal, State, or local

agency responsible for investigating,

prosecuting, enforcing, or implementing

a statute, rule, regulation, or order

where the disclosing agency becomes

aware of an indication of a violation or

potential violation of civil or criminal

law or regulations. (2) Information is

used by any source from which

additional information is requested in

the course of processing 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. (3)

Information is used by a Federal agency

in response to its request in connection

with the hiring or retention of an

employee, the issuance of a security

clearance, the conducting of a security

or suitability investigation of an

individual, the classifying of jobs, the

letting of a contract, or the issuance of

a license, grant, or other benefit by the

requesting agency, to the extent that the

information is relevant and necessary to

the requesting agency’s decision on the

matter. (4) Information is used by the

congressional office from the record of

an individual in response to an inquiry

from that congressional office made at

the request of that individual. (5)

Information is used by another Federal

agency or by a court when the

Government is party to a judicial

proceeding before the court. (6)

Information is used by the National

Archives and Records Administration

(General Services Administration) in

records management inspections

conducted under authority of 44 U.S.C.

2904 and 2906. (7) Information is used

by NCUA in the production of summary

descriptive statistics and analytical

studies in support of the function for

which the records are collected and

maintained, or for related work force

studies. While published statistics and

studies do not contain individual

identifiers, in some instances, the

selection of elements of data included in

the study may be structured in such a

way as to make the data individually

identifiable by inference. (8)

Information is used by officials of the

Office of Personnel Management, the

Merit Systems Protection Board,

including the Office of the Special

Counsel, the Federal Labor Relations

Authority and its General Counsel, or

the Equal Employment Opportunity

Commission when requested in

performance of their authorized duties.

(9) Information (that is relevant to the

subject matter involved in a pending

judicial or administrative proceeding) is

used to respond to a request for

discovery or for appearance of a

witness. (10) Information is used by

officials of labor organizations

reorganized under the Civil Service

Reform Act when relevant and

necessary to their duties of exclusive

representation concerning personnel

policies, practices, and matters affecting

work conditions. (11) Standard routine

uses as set forth in appendix A.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are maintained in file folders.

RETRIEVABILITY:

Records are retrievable by the names

of the individuals on whom they are

maintained.

SAFEGUARDS:

Records are maintained in lockable

metal filing cabinets to which only

authorized personnel have access.

RETENTION AND DISPOSAL:

Records are disposed of three (3) years

after closing of the case. Disposal is by

shredding or burning.

SYSTEM MANAGER(S) AND ADDRESS:

Director, Office of Human Resources,

National Credit Union Administration,

1775 Duke Street, Alexandria, Virginia

22314–3428.

NOTIFICATION PROCEDURE:

An individual may inquire as to

whether the system contains a record

pertaining to the individual by

addressing a request in person or by

mail to the system manager listed above.

If there is no record on the individual,

the individual will be so advised.

RECORD ACCESS PROCEDURES:

Upon request, the system manager

will set forth the procedures for gaining

access to available records.

Federal Register / Vol. 65, No. 14 / Friday, January 21, 2000 / Notices 3489

CONTESTING RECORD PROCEDURES:

Request to amend or correct a record

should be directed to the system

manager listed above.

RECORD SOURCE CATEGORIES:

Individual on whom the record is

maintained; testimony of witness;

agency officials; related correspondence

from organization or persons.

NCUA–3

SYSTEM NAME:

Payroll Records System, NCUA.

SYSTEM LOCATION:

(1) Office of the Chief Financial

Officer, National Credit Union

Administration, 1775 Duke Street,

Alexandria, Virginia 22314–3428. (2)

General Services Administration,

Region VI, Kansas City, Missouri.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Employees of NCUA.

CATEGORIES OF RECORDS IN THE SYSTEM:

Salary and related payroll data,

including time and attendance

information.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 703; 44 U.S.C. 3301.

PURPOSE(S):

This system documents time and

attendance and ensures that employees

receive proper compensation.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

(1) Information is used to ensure

proper compensation to all NCUA

employees and to formulate financial

reports and plans used within the

agency or is sent to the General Services

Administration (GSA). (2) Also,

information is used to document time

worked and provide a record of

attendance to support payment of

salaries and use of annual, sick, and

nonpaid leave. (3) Users of the time and

attendance information include the

employee’s supervisor, the office’s

timekeeper the payroll officer, and the

GSA National Payroll Center in Kansas

City, Missouri. (4) Further information

in this system is used to make

reportings to state and local taxing

authorities. (5) The names, social

security numbers, home addresses,

dates of birth, dates of hire, quarterly

earnings, employer identifying

information, and State of hire of

employees may be disclosed 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 or modify orders of

child support, identify sources of

income and for other child support

enforcement actions as required by the

Personal Responsibility and Work

Opportunity Reconciliation Act

(Welfare Reform Law, Pub. L. 104–193).

(6) Standard routine uses as set forth in

appendix A.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are maintained in file folders.

RETRIEVABILITY:

Records are retrieved by name or

social security number.

SAFEGUARDS:

Records are maintained in secured

offices, accessible by written

authorization only.

RETENTION AND DISPOSAL:

Records are retained and disposed of

in accordance with GSA policy.

SYSTEM MANAGER(S) AND ADDRESS: PRIMARY:

Payroll Officer, Office of the Chief

Financial Officer, National Credit Union

Administration, 1775 Duke Street,

Alexandria, Virginia 22314–3428.

SECONDARY:

Office Timekeepers, National Credit

Union Administration, Central Office

(1775 Duke Street, Alexandria, Virginia

22314–3428) and Regional Offices (see

Appendix B for Regional Offices’

addresses).

NOTIFICATION PROCEDURE:

An individual may inquire as to

whether the system contains a record

pertaining to the individual by

addressing a request in person or by

mail to the system manager listed above.

If there is no record on the individual,

the individual will be so advised.

RECORD ACCESS PROCEDURES:

Upon request, the system manager

will set forth the procedures for gaining

access to available records.

CONTESTING RECORD PROCEDURES:

Requests to amend or correct a record

should be directed to the system

manager listed above.

RECORD SOURCE CATEGORIES:

Information is primarily obtained

from the individual whom the record

concerns, the Office of Personnel

Management, and the GSA. Also, time

and attendance information is prepared

and submitted by the timekeeper in a

given employee’s office.

NCUA–4

SYSTEM NAME:

Travel Advance and Voucher

Information System, NCUA.

SYSTEM LOCATION:

Office of the Chief Financial Officer,

National Credit Union Administration,

1775 Duke Street, Alexandria, Virginia

22314–3428. Some relocation files are

maintained in the Office of

Administration, at the same address.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

All NCUA employees who have

traveled or relocated in the course of

performing their duty and who have

been reimbursed for the expense of such

travel.

CATEGORIES OF RECORDS IN THE SYSTEM:

This system contains information

from the following forms: Travel

Vouchers (NCUA 1012), Relocation

Travel Order (NCUA 1617) Application

for Travel Advance (NCUA 1371), and

Travel Voucher Cover Sheet (NCUA

1364), Agreement to Remain in Federal

Service (NCUA 1030), Statement of

Difference (NCUA 1310), Repayment of

Travel Advance (NCUA 1372).

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 5701–5752; Executive Order

11609 (July 22, 1971); Executive Order

11012 (March 27, 1962); 5 U.S.C. 4101–

4118; Federal Travel Regulations, FPMR

101–7, Chapter 2, Section 6.3.

PURPOSE(S):

The purpose of this system is to

provide documentary support for

reimbursements to employees.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

(1) Records are used to provide

documentary support for

reimbursements to employees for onthe-job and relocation travel expenses.

(2) Users of the information include first

and second line supervisors, NCUA

accounting staff, and budgeting staff. (3)

Standard routine uses as set forth in

appendix A.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are stored in paper hard copy

form and in a computer system.

RETRIEVABILITY:

Records are retrievable by social

security number.

3490 Federal Register / Vol. 65, No. 14 / Friday, January 21, 2000 / Notices

SAFEGUARDS:

The paper hard copy records are

maintained in secured offices. The

computer disc is located in a secured

office and its access is limited to user

employees who know the logical

identification access number.

RETENTION AND DISPOSAL:

Records are maintained in the

Division of Accounting Services until

the annual GAO audit is completed.

After the audit, the paper hard copy

records are stored in a Federal Records

Center for a minimum of three years and

the computer disc is purged.

SYSTEM MANAGER(S) AND ADDRESS:

Director, Accounting Services

Division, Office of the Chief Financial

Officer, National Credit Union

Administration, 1775 Duke Street,

Alexandria, Virginia 22314–3428.

NOTIFICATION PROCEDURE:

An individual may inquire as to

whether the system contains a record

pertaining to the individual by

addressing a request in person or by

mail to the system manager listed above.

If there is no record on the individual,

the individual will be so advised.

RECORD ACCESS PROCEDURES:

Upon request, the system manager

will set forth the procedures for gaining

access to available records.

CONTESTING RECORD PROCEDURES:

Requests to amend or correct a record

should be directed to the system

manager listed above.

RECORD SOURCE CATEGORIES:

Records are prepared by the

individual whom the record concerns.

NCUA–5

SYSTEM NAME:

Unofficial Personnel and Employee

Development/Correspondence Records,

NCUA.

SYSTEM LOCATION:

For employees of a regional office, the

system is located at the regional office

where the employee is assigned,

National Credit Union Administration,

(See appendix B for addresses of

Regional Offices). For employees of the

central office, the system is located at

the assigned office, National Credit

Union Administration, 1775 Duke

Street, Alexandria, Virginia 22314–

3428.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

NCUA employees.

CATEGORIES OF RECORDS IN THE SYSTEM:

The system contains information on

NCUA employees assigned to the

particular regional or central office

related to some or all of the following

areas: Name; address; telephone

number; birthdate; ethnicity and gender

codes; cu grade; employee identification

number; work performance appraisals;

district management; chartering efforts;

reactions from credit union officials;

individual development plans; supply

and equipment information; for new

examiners, bi-weekly training reports,

training progress reports and training

evaluations; work product samples;

suggestions; awards; data on time and

attendance, leave and pay; memos or

notations and evaluations by superiors

or others; and copies of personnel,

travel and grievance records.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301; 44 U.S.C. 3301.

PURPOSE(S):

Information is used for recording

time, attendance and leave, controlling

equipment inventories, contacting

employees; evaluating and training staff,

evaluating work progress; and for

general administrative matters. For new

examiners, training information is used

to determine the examiner’s retention or

termination after 23 weeks of on-the-job

training.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

(1) The information in this system

may be disclosed to the United States

Office of Personnel Management, the

Merit Systems Protection Board, the

Office of Special Counsel, the Equal

Employment Opportunity Commission,

the Federal Labor Relations Authority,

the General Services Administration or

an arbitrator or agent, to the extent the

disclosure is needed to carry out the

government-wide personnel

management, investigatory, adjudicatory

and appellate functions within their

respective jurisdictions, or to obtain

information. (2) The information in this

system may be disclosed to federal,

state, local or professional licensing

boards or Boards of Medical Examiners,

when such records reflect on the

qualifications of an licensed individual

or an individual seeking to be licensed.

(3) This information is used to generate

a telephone directory for all NCUA

employees. (4) Standard routine uses as

set forth in appendix A.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are maintained on paper hard

copy. Some records are also maintained

on computer systems electronically.

RETRIEVABILITY:

Records are indexed alphabetically by

name.

SAFEGUARDS:

Physical security consists of

maintaining records in locked metal file

cabinets within secured offices and

password protected computer systems.

RETENTION AND DISPOSAL:

Current and relevant information is

maintained generally for a period of at

least one to two years. Obsolete material

is maintained in the same file cabinets

and is periodically destroyed or

returned to the originator.

SYSTEM MANAGER(S) AND ADDRESS:

For employees assigned to a regional

office the system manager is the

Administrative Officer, Regional Office,

National Credit Union Administration.

(See appendix B for addresses of

Regional Offices). For employees

assigned to an office within the central

office, the system manager is the Office

Director, National Credit Union

Administration, 1775 Duke Street,

Alexandria, Virginia 22314.

NOTIFICATION PROCEDURE:

An individual may inquire as to

whether the system contains a record

pertaining to the individual by

addressing a request in person or by

mail to the Regional Director where the

system is located. If there is no record

on the individual, the individual will be

so advised.

RECORD ACCESS PROCEDURES:

Upon request, the Regional Director

will set forth the procedures for gaining

access to available records.

CONTESTING RECORD PROCEDURES:

Requests to amend or correct a record

should be directed to the Regional

Director.

RECORD SOURCE CATEGORIES:

Sources may include the individual

whom the record concerns, supervisors

of the individual, fellow employees,

credit union officials, administrative

officer or office assistant, and other

persons whom the individual may

encounter in the course of work

performance. For payroll- and

personnel-related information, the

sources may include the General Service

Federal Register / Vol. 65, No. 14 / Friday, January 21, 2000 / Notices 3491

Administration and Office of Human

Resources.

NCUA–6

SYSTEM NAME:

Emergency Information (Employee)

File, NCUA.

SYSTEM LOCATION:

For employees of a regional office, the

system is located at the regional office

where the employee is assigned,

National Credit Union Administration,

(See appendix B for addresses of

Regional Offices). For employees of the

central office, the system is located at

the assigned office, National Credit

Union Administration, 1775 Duke

Street, Alexandria, Virginia 22314–

3428.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

This system contains personal

information on the NCUA employee,

such as height, weight, hair color, eye

color, current address, and telephone

number. Also, this system identifies the

individual to contact in case of an

emergency involving the employee.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.

PURPOSE(S):

The information in this system is used

to create employee identification cards

and in case of emergency.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

(1) The information on the individual

to contact in cases of emergency may be

disclosed in case of emergency to any

federal, state or local authority

responding to the emergency. (2) In the

event of an emergency, the information

may be disclosed to the individual

listed as a contact in case of emergency,

or other person identified as a family

member of the employee. (3) The

Security Officer maintains a list of all

employees, with their addresses and

telephone numbers. This list is updated

as necessary. The listed information is

used to contact the employee if there is

a national emergency. (4) Standard

routine uses as set forth in appendix A.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are stored on paper hard

copy.

RETRIEVABILITY:

Records are indexed alphabetically by

name.

SAFEGUARDS:

Records are maintained in locked file

drawer.

RETENTION AND DISPOSAL:

Records are disposed of after an

employee is separated from the agency.

SYSTEM MANAGER(S) AND ADDRESS:

(1) For employees of a regional office,

the system manager is the regional

director of the regional office where the

employee is assigned, National Credit

Union Administration, (See appendix B

for addresses of Regional Offices). For

employees of the central office, the

system manager is the Office Director of

the assigned office, National Credit

Union Administration, 1775 Duke

Street, Alexandria, Virginia, 22314–

3428. (2) Security Officer,

Administrative Office, at the same

address above.

NOTIFICATION PROCEDURE:

An individual may inquire as to

whether the system contains a record

pertaining to the individual by

addressing a request in person or by

mail to the appropriate system manager

listed above. If there is no record on the

individual, the individual will be so

advised.

RECORD ACCESS PROCEDURES:

Upon request, the system manager

will set forth the procedures for gaining

access to available records.

CONTESTING RECORD PROCEDURES:

Requests to amend or correct a record

should be directed to the appropriate

system manager listed above.

RECORD SOURCE CATEGORIES:

Individual on whom the record is

maintained.

NCUA–7

SYSTEM NAME:

Employee Injury File, NCUA.

SYSTEM LOCATION:

Office of Human Resources, National

Credit Union Administration, 1775

Duke Street, Alexandria, Virginia

22314–3428.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Any employee who has sustained a

job-related injury or disease.

CATEGORIES OF RECORDS IN THE SYSTEM:

Copies of reports submitted by

individual who has sustained a jobrelated injury or disease. Copies of any

further claims made regarding the same

injury or disease or any other material

required for documenting and

adjudicating the claim.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Occupational Safety and Health Act of

1970, 29 CFR part 1960.

PURPOSE(S):

This information is maintained to

provide data to the Department of Labor,

when needed, for adjudication of a

claim, and to prepare reports as required

by the Department of Labor.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

(1) Information is disclosed to the

Department of Labor. (2) Standard

routine use as set forth in appendix A.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are stored on paper in file

cabinets.

RETRIEVABILITY:

Records are indexed by NCUA

Region, and date of injury.

SAFEGUARDS:

Records are maintained in locked file

drawer.

RETENTION AND DISPOSAL:

Records are disposed five years after

the year to which they relate.

SYSTEM MANAGER(S) AND ADDRESS:

Director, Office of Human Resources,

National Credit Union Administration,

1775 Duke Street, Alexandria, Virginia

22314–3428.

≤NOTIFICATION PROCEDURE:

An individual may inquire as to

whether the system contains a record

pertaining to the individual by

addressing a request in person or by

mail to the system manager listed above.

If there is no record on the individual,

then individual will be so advised.

RECORD ACCESS PROCEDURES:

Upon request, the system manager

will set forth the procedures for gaining

access to available records.

CONTESTING RECORD PROCEDURES:

Requests to amend or correct a record

should be directed to the system

manager listed above.

RECORD SOURCE CATEGORIES:

Individual on whom the record is

maintained; superiors of individual;

individual’s physician; hospital

attending individual; Department of

Labor.

3492 Federal Register / Vol. 65, No. 14 / Friday, January 21, 2000 / Notices

NCUA–8

SYSTEM NAME:

Investigative Reports Involving Any

Crime, Suspected Crime or Suspicious

Activity Against a Credit Union, NCUA.

SYSTEM LOCATION:

Office of General Counsel, National

Credit Union Administration, 1775

Duke Street, Alexandria, VA 22314–

3428. Computerized records of

Suspicious Activity Reports (SAR), with

status updates, are managed by the

Financial Crimes Enforcement Network

(FinCEN), Department of the Treasury,

pursuant to a contractual agreement,

and are stored in Detroit, Michigan.

Authorized personnel at NCUA’s

Central Office and six regional offices

have on-line access to the computerized

database managed by FinCEN through

individual work stations that are linked

to the database central computer.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Directors, officers, committee

members, employees, agents, and

persons participating in the conduct of

the affairs of federally insured credit

unions who are reported to be involved

in suspected criminal activity or

suspicious financial transactions and

are referred to law enforcement officials;

and other individuals who have been

involved in irregularities, violations of

law, or unsafe or unsound practices

referenced in documents received by the

NCUA in the course of exercising its

supervisory functions.

CATEGORIES OF RECORDS IN THE SYSTEM:

Inter- and intra-agency

correspondence, memoranda and

reports. The SAR contains information

identifying the credit union involved,

the suspected person, the type of

suspicious activity involved, and any

witnesses.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

12 U.S.C. 1786 and 1789.

PURPOSE(S):

The overall system serves as a NCUA

repository for investigatory or

enforcement information related to its

responsibility to examine and supervise

federally insured credit unions. The

system maintained by FinCEN serves as

the database for the cooperative storage,

retrieval, analysis, and use of

information relating to Suspicious

Activity Reports made to or by the

NCUA Board, the Federal Reserve

Board, the Office of the Comptroller of

the Currency, the Federal Deposit

Insurance Corporation, the Office of

Thrift Supervision, (collectively, the

federal financial regulatory agencies),

and FinCEN to various law enforcement

agencies for possible criminal, civil, or

administrative proceedings based on

known or suspected violations affecting

or involving persons, financial

institutions, or other entities under the

supervision or jurisdiction of such

federal financial regulatory agencies.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS, AND

THE PURPOSES OF SUCH USES: INFORMATION IN

THESE RECORDS MAY BE USED TO:

(1) Determine if any further agency

action should be taken. (2) Provide the

federal financial regulatory agencies and

FinCEN with information relevant to

their operations; (3) Disclose

information to third parties during the

course of an investigation to the extent

necessary to obtain information

pertinent to the investigation; (4) With

regard to formal or informal

enforcement actions; release

information pursuant to 12 U.S.C.

1786(s), which requires the NCUA

Board to publish and make available to

the public final orders and written

agreements, and modifications thereto;

and (5) Standard routine uses as set

forth in appendix A.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

The records will be maintained in

electronic data processing systems and

paper files.

RETRIEVABILITY:

Computer output and file folders are

retrievable by indexes of data fields,

including name of the credit union,

NCUA Region, and individuals’ names.

SAFEGUARDS:

Paper records and word processing

discs are stored at the NCUA in lockable

metal file cabinets. The database

maintained by FinCEN complies with

applicable security requirements of the

Department of the Treasury. On-line

access to the information in the database

is limited to authorized individuals who

have been designated by each federal

financial regulatory agency and FinCEN,

and each such individual has been

issued a nontransferable identifier or

password.

RETENTION AND DISPOSAL:

Records are maintained indefinitely.

SYSTEM MANAGER(S) AND ADDRESS:

General Counsel, NCUA, 1775 Duke

Street, Alexandria, VA 22314–3428.

NOTIFICATION PROCEDURE:

Inquiries should be sent to the System

Manager as noted above.

RECORD ACCESS PROCEDURES:

Same as ‘‘Notification procedure’’

above.

CONTESTING RECORDS PROCEDURES:

Same as ‘‘Notification procedure’’

above.

RECORD SOURCE CATEGORIES:

Information received by the NCUA

Board from various sources, including,

but not limited to law enforcement and

other agency personnel involved in

sending inquiries to the NCUA Board,

NCUA examiners, credit union officials,

employees, and members. The

information maintained by FinCEN is

compiled from SAR and related

historical and updating forms compiled

by financial institutions, the NCUA

Board, and the other federal financial

regulatory agencies for law enforcement

purposes.

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS

OF THE ACT:

This system is exempt from 5 U.S.C.

552a(c)(3), (d)(1), (d)(2), (d)(3), (d)(4),

(e)(1), (e)(4) (G), (H) and (I), and (f) of

the Privacy Act pursuant to 5 U.S.C.

552a(k)(2).

NCUA–9

SYSTEM NAME:

Freedom of Information and Privacy

Act Requests and Invoices, NCUA.

SYSTEM LOCATION:

For requests processed by the central

office, the system is located at the Office

of General Counsel, National Credit

Union Administration, 1775 Duke

Street, Alexandria, Virginia 22314–

3428. For requests processed by a

regional office, the system is located at

the regional office (See appendix B for

a list of addresses of the regional

offices.) For requests processed by the

Office of Inspector General, the system

is located in the Office of the Inspector

General, National Credit Union

Administration, 1775 Duke Street,

Alexandria, Virginia 22314. For requests

processed by the Asset Management and

Assistance Center, the system is located

at AMAC, 4807 Spicewood Springs

Road, Austin, Texas 78759.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

This system of records includes

information pertaining to any Freedom

of Information Act (FOIA) or Privacy

Act requester.

Federal Register / Vol. 65, No. 14 / Friday, January 21, 2000 / Notices 3493

CATEGORIES OF RECORDS IN THE SYSTEM:

The system may contain the

requester’s name, company name or

organization, address, date of request,

invoice number, amount due, phone

number, social security or tax

identification number, description of

information requested and documents

located or result of search for

documents.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

12 U.S.C. 1789, 5 U.S.C. 552, 5 U.S.C.

552a.

PURPOSE(S):

Records in this system are used to

process requests received. These records

may be used by the NCUA for collection

of the amount due, as well as to identify

subsequent requests made by the same

individuals.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

(1) The information may be disclosed

to a consumer reporting agency. The

information disclosed to a consumer

reporting agency is limited to: (a)

Information necessary to establish the

identity of the individual, including

name, address, and social security or

taxpayer identification number; (b) the

amount, status, and history of the claim;

and (c) the agency or program under

which the claim arose.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are maintained on paper hard

copy and computer disk.

RETRIEVABILITY:

Records in this system are retrievable

by requester’s name, company name or

organization, date of request, category of

requester or invoice number.

SAFEGUARDS:

Physical security consists of storing

records on a password protected

computer database and a hard copy

secured in a metal file cabinet which is

accessible only to those individuals

responsible for processing requests and

collecting outstanding payments.

RETENTION AND DISPOSAL:

Records are retained for various

periods depending on the determination

made on the request, but normally no

greater than six years following the year

in which the request was processed.

SYSTEM MANAGER(S) AND ADDRESS:

For requests processed at the central

office, the system manager is the

Freedom of Information Act Officer,

Office of General Counsel, National

Credit Union Administration, 1775

Duke Street, Alexandria, Virginia 22314.

For requests processed in a regional

office, the system manager is the

Regional Director (See appendix B for a

list of addresses of the regional offices.)

For requests processed by the Office of

Inspector General, the system manager

is the Inspector General, National Credit

Union Administration, 1775 Duke

Street, Alexandria, Virginia 22314. For

requests processed by the Asset

Management and Assistance Center, the

system manager is the President,

AMAC, 4807 Spicewood Springs Road,

Austin, Texas 78759.

NOTIFICATION PROCEDURE:

An individual may inquire as to

whether the system contains a record

pertaining to the individual by

addressing a request in person or by

mail to the system manager listed above.

If there is no record on the individual,

the individual will be so advised.

RECORD ACCESS PROCEDURES:

Upon request, the system manager

will set forth the procedures for gaining

access to available records.

CONTESTING RECORD PROCEDURES:

Requests to amend or correct a record

should be directed to the system

manager listed above.

RECORD SOURCE CATEGORIES:

The sources of records for this system

of records are the FOIA and Privacy Act

request files.

NCUA–10

SYSTEM NAME:

Liquidating Credit Union Records

System, NCUA.

SYSTEM LOCATION:

Information within this system of

records is located at the Asset and

Management Assistance Center (AMAC)

4807 Spicewood Springs Road, Suite

5100, Austin, Texas 78759.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Members, employees and creditors of

liquidating federally-insured credit

unions.

CATEGORIES OF RECORDS IN THE SYSTEM:

Share and account records; personal

data regarding income and debts;

payment or employment history;

accounts payable records.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

12 U.S.C. 1787.

PURPOSE(S):

The information in this system is used

to determine insurance, collect loan

amounts due and for all purposes

necessary to close out the affairs of the

liquidated credit union.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

(1) Information is used for payment of

insurance claims to shareholders in

liquidating federally-insured credit

unions. (2) Information is used in the

collection of outstanding loans, which

may include referral of information to

third party servicer providers or

potential purchasers of the loans. (3)

Information is used for all purposes

necessary to close out the affairs of the

liquidated credit union and carry out all

appropriate liquidation-related

functions of NCUA. (4) Information may

be disclosed to address locators or a

surety company in pursuit of a fidelity

bond claim. (5) Information on

unclaimed insured shares is included in

a database on the NCUA web site after

other efforts to locate account holders

have failed. (6) Information may be

disclosed to the appropriate federal,

state or local government agency, such

as the Internal Revenue Service, if

required by law or regulation or upon

appropriate request. (7) Standard

routine uses as set forth in Appendix A.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

This information is maintained on

computer databases and hard copy.

Copies of share and loan documents,

incoming payments, and loan portfolios

may also be maintained on microfilm

copy.

RETRIEVABILITY:

Information is indexed by name of

individual and by name of closed

insured credit union.

SAFEGUARDS:

Information is maintained in secured

offices and in password protected

computer databases.

RETENTION AND DISPOSAL:

Information is disposed of when no

longer needed or within seven years

after date of charter cancellation.

SYSTEM MANAGER(S) AND ADDRESS:

President, AMAC, 4807 Spicewood

Springs Road, Suite 5100, Austin, Texas

78759.

NOTIFICATION PROCEDURE:

An individual may inquire as to

whether the system contains

3494 Federal Register / Vol. 65, No. 14 / Friday, January 21, 2000 / Notices

information pertaining to the individual

by addressing a request in person or by

mail to the system manager listed above.

If there is no information on the

individual, the individual will be so

advised. Written inquiries should

include name of inquirer, name of

closed insured credit union of which

inquirer was a member, and share and

loan account numbers, if known.

RECORD ACCESS PROCEDURES:

Upon request, the system manager

will set forth the procedures for gaining

access to available information.

CONTESTING RECORD PROCEDURES:

Requests to amend or correct a record

should be directed to the system

manager listed above. Record source

categories: Information is obtained from

outside address locators; share and loan

account files of the liquidating credit

union of which the individual was a

member; third party service providers;

and credit bureaus.

NCUA–11

SYSTEM NAME:

Office of Inspector General (OIG)

Investigative Records, NCUA.

SYSTEM LOCATION:

Office of Inspector General, NCUA,

1775 Duke Street, Alexandria, VA

22314–3428.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Subjects of investigation,

complainants, and witnesses referred to

in complaints or actual investigative

cases, reports, accompanying

documents, and correspondence

prepared by, compiled by, or referred to

the OIG.

CATEGORIES OF RECORDS IN THE SYSTEM:

The system is comprised of paper files

of all OIG and some predecessor Office

of Internal Auditor reports,

correspondence, cases, matters, crossindices, memoranda, materials, legal

papers, evidence, exhibits, data, and

workpapers pertaining to all closed and

pending investigations and inspections.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

The Inspector General Act of 1978, as

amended, 5 U.S.C. App.3; 12 U.S.C.

1766.

PURPOSE(S):

Records in this system document the

investigative work of the Office of

Inspector General.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

The National Credit Union

Administration Office of Inspector

General (OIG) may disclose information

contained in a record in this system of

records without the consent of the

individual if the disclosure is

compatible with the purpose for which

the record was collected, under the

following routine uses. (1) The OIG may

disclose information from this system of

records as a routine use to any public

or private source, including a federal,

state, or local agency maintaining civil,

criminal, or other relevant enforcement

information or other pertinent

information, but only to the extent

necessary for the OIG to obtain

information from those sources relevant

to an OIG investigation, audit,

inspection, or other inquiry. (2) The OIG

may disclose information from this

system of records as a routine use to the

Department of Justice to the extent

necessary to obtain its legal advice on

any matter relevant to an OIG

investigation, audit, inspection, or other

inquiry related to the responsibilities of

the OIG. (3) The OIG may disclose

information to other federal entities,

such as other Offices of Inspector

General, to the General Accounting

Office, or to a private party with which

the OIG or the NCUA has contracted or

with which it contemplates contracting,

for the purpose of auditing or reviewing

the performance or internal

management of the OIG’s investigative

program, or for performing any other

functions or analyses that facilitate or

are relevant to an OIG investigation,

audit, inspection or other inquiry. Such

contractor or private firm shall be

required to maintain Privacy Act

safeguards with respect to such

information. (4) The OIG may disclose

information from this system of records

to any federal, state, local, or foreign

agency maintaining civil, criminal, or

other relevant enforcement or other

pertinent records, or to another public

authority or professional organization, if

necessary to obtain information relevant

to an OIG decision concerning the

retention of an employee or other

personnel action (other than hiring), the

retention of a security clearance, the

letting of a contract, or the issuance or

retention of a grant or other benefit. (5)

The OIG may disclose information in

this system to federal, state, local or

professional licensing boards or Boards

of Medical Examiners, when such

records reflect on the qualifications of

an licensed individual or an individual

seeking to be licensed. (6) The OIG may

disclose information from this system of

records for the purposes set forth in

Appendix A.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Information contained in this system

is stored manually in files.

RETRIEVABILITY:

Information is retrieved in files by

case number, general subject matter, or

name of the subject of investigation.

SAFEGUARDS:

Case reports and workpapers are

maintained in approved security

containers and locked filing cabinets in

a locked room. Associated paper records

are stored in locked metal filing

cabinets, safes, or similar secure

facilities.

RETENTION AND DISPOSAL:

Investigative Case Files

1. Case files are normally destroyed

when they are 5 years old.

2. Significant cases (those that result

in national media attention,

congressional investigation, or

substantive changes in agency policy or

procedures)—To be determined by the

National Archives and Records

Administration on a case-by-case basis.

SYSTEM MANAGER(S) AND ADDRESS:

Inspector General, National Credit

Union Administration, 1775 Duke

Street, Alexandria, VA 22314–3428.

NOTIFICATION PROCEDURE:

This System of Records is generally

exempt from the notice, access, and

amendment requirements of the Privacy

Act. However, the NCUA will entertain

written requests to the systems manager

on a case by case basis for notification

regarding whether this system of records

contains information about an

individual. Requests should be marked

‘‘Privacy Act request,’’ and should state

the name and address of the requester,

and provide a notarized statement, or

other documentation, e.g., copy of a

driver’s license, attesting to the

individual’s identity. Requests

submitted on behalf of other persons

must include their written

authorizations. Such requests in the

form prescribed may also be presented

in person at the Office of Inspector

General, National Credit Union

Administration, 1775 Duke Street,

Alexandria, VA 22314–3428.

Simultaneously with requesting

notification of inclusion in his system of

records, the individual may request

record access as described in this

section.

RECORD ACCESS PROCEDURES:

Same as ‘‘Notification procedure.’’

Federal Register / Vol. 65, No. 14 / Friday, January 21, 2000 / Notices 3495

CONTESTING RECORD PROCEDURES:

Same as ‘‘Notification procedure.’’

RECORD SOURCE CATEGORIES:

The OIG collects information from

many sources, including the subject

individuals, employees of the NCUA,

other government employees, and

witnesses and informants, and nongovernmental sources.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS

OF THE ACT:

Pursuant to 5 USC 552a(j)(2), this

system of records is exempt from

subsections (c)(3) and (4), (d), (e)(1),

(e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I),

(e)(5), (e)(8), (f) and (g) of the Act. This

exemption applies to information in the

system that relates to criminal law

enforcement and meets the criteria of

the (j)(2) exemption. Pursuant to 5 USC

552(k)(2), to the extent that the system

contains investigative material compiled

for law enforcement purposes, other

than material within the scope of

subsection (j)(2), this system of records

is exempt from 5 USC 552a(c)(3), (d),

(e)(1), (e)(4)(G), (H), and (I), and (f). The

exemption rule is contained in 12 CFR

792.34 of the NCUA regulations.

NCUA–12

SYSTEM NAME:

Consumer Complaints Against

Federal Credit Unions, NCUA.

SYSTEM LOCATION:

Information is maintained in NCUA’s

six regional offices (see appendix B for

regional office locations).

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Persons who submit complaints

concerning operating federal credit

unions.

CATEGORIES OF RECORDS IN THE SYSTEM:

Complaint letters, investigation

reports, and related correspondence

concerning the complainants and the

federal credit union involved.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

12 U.S.C. 1766(i)(1) and 1789(a)(7); 5

U.S.C. 301; 15 U.S.C. 1601–1693.

PURPOSE(S):

This system documents the number

and type of consumer complaints

received and processed by NCUA.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

(1) Information may be disclosed to

officials of Federal credit unions and

other persons mentioned in a complaint

or identified during an investigation. (2)

Disclosures may be made to the Federal

Reserve Board, other federal financial

regulatory agencies, the Federal

Financial Institutions Examination

Council, the White House Office of

Consumer Affairs, and the Congress or

any of its authorized committees in

fulfilling reporting requirements or

assessing implementation of applicable

laws and regulations. (Such disclosures

will be made in a nonidentifiable

manner when feasible and appropriate.)

(3) Referrals may also be made to other

federal and nonfederal supervisory or

regulatory authorities when the subject

matter is a complaint or inquiry which

is more properly within such agency’s

jurisdiction. (4) Standard routine uses as

set forth in appendix A.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are stored on paper or

computer database.

RETRIEVABILITY:

Records are retrievable from files by

federal credit union name, by

complainant name, or assigned control

number.

SAFEGUARDS:

Records are maintained in secured

offices in either a file cabinet or on a

password protected computer system.

RETENTION AND DISPOSAL:

Records are retained for three years,

then destroyed. Consumer’s name,

federal credit union’s name, subject of

complaint, date received, and date

resolved are kept until no longer

needed.

SYSTEM MANAGER(S) AND ADDRESS:

The System Manager is the Regional

Director in the regional office where the

complaint was processed. (See appendix

B for Regional Office addresses.)

NOTIFICATION PROCEDURE:

An individual may inquire as to

whether the system contains a record

pertaining to the individual by

addressing a request in person or by

mail to the system manager listed above.

If there is no record on the individual,

the individual will be so advised.

RECORD ACCESS PROCEDURES:

Upon request, the system manager

will set forth the procedures for gaining

access to available records.

CONTESTING RECORD PROCEDURES:

Request to amend or correct a record

should be directed to the system

manager listed above.

RECORD SOURCE CATEGORIES:

Complainant (and his or her

representative, which may include, e.g.,

a member of Congress or an attorney);

federal credit union officials; employees

and members of the credit union

involved; and NCUA examiners and

central files on federal credit unions.

NCUA–13

SYSTEM NAME:

Litigation Case Files, NCUA.

SYSTEM LOCATION:

Office of General Counsel, National

Credit Union Administration, 1775

Duke Street, Alexandria, Virginia

22314–3428.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Records are maintained in files by the

case name of individuals who are: The

subject of NCUA investigations made in

contemplation of legal action; involved

in civil litigation with NCUA or

involved in administrative proceedings;

involved in litigation of interest to

NCUA; or pursuing tort claims.

CATEGORIES OF RECORDS IN THE SYSTEM:

Records in case files include:

Investigative reports relating to possible

felonies or violations of the Federal

Credit Union Act; transcripts of

testimony or affidavits; documents and

other evidentiary matters, pleadings and

other documents filed in court; orders

filed or issued in civil, administrative or

criminal proceedings; correspondence

relating to investigatory or litigation

matters; information provided by the

individual under investigation or from a

federal credit union; and other

memoranda gathered and prepared by

staff in performance of their duties.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

12 U.S.C. 1766, 1786, 1787, and 1789;

28 U.S.C. 2671–2680.

PURPOSE(S):

This system documents the

preparation and progress of legal

proceedings and investigations

conducted by the Office of General

Counsel.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

(1) The staff of the Office of General

Counsel may use such records to render

legal advice concerning investigations

or courses of legal action; to represent

NCUA in all judicial and administrative

proceedings in which NCUA or any of

its employees who, within the scope of

employment and in an official capacity,

is a party; or to intervene as an amicus

3496 Federal Register / Vol. 65, No. 14 / Friday, January 21, 2000 / Notices

curiae. (2) The information in this

system may be disclosed to federal,

state, local or professional licensing

boards or Boards of Medical Examiners,

when such records reflect on the

qualifications or fitness of a licensed

individual or an individual seeking to

be licensed. (3) Standard routine uses

set forth in appendix A.

SYSTEM MANAGER(S) AND ADDRESS:

General Counsel, National Credit

Union Administration, 1775 Duke

Street, Alexandria, Virginia 22314–

3428.

NOTIFICATION PROCEDURE:

An individual may inquire as to

whether the system contains a record

pertaining to the individual by

addressing a request in person or by

mail to the system manager listed above.

If there is no record on the individual,

the individual will be so advised.

RECORD ACCESS PROCEDURES:

Requests to amend or correct a record

should be directed to the system

manager listed above.

CONTESTING RECORD PROCEDURES:

Requests to amend or correct a record

should be directed to the system

manager listed above.

RECORD SOURCE CATEGORIES:

Record source categories vary

depending upon the legal issue but

generally are obtained from the

following: NCUA staff and internal

agency memoranda; federal employees

and private parties involved in torts;

contracts; federal credit union files or

officials; general law texts and sources;

law enforcement officers; witnesses and

others; administrative and court

pleadings, transcripts or judicial orders/

decisions; evidence gathered in

connection with the matter involved;

and from individuals to whom the

records relate.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS

OF THE ACT:

This system is subject to the specific

exemption provided by 5 U.S.C.

552a(k)(2), as the system of records is

investigatory material compiled for law

enforcement purposes.

Appendix A—Standard Routine Uses

Applicable to NCUA Systems of

Records

1. If a record in a system of records

indicates a violation or potential violation of

civil or criminal law or a regulation, and

whether arising by general statute or

particular program statute, or by regulation,

rule, or order, the relevant records in the

system or records may be disclosed as a

routine use to the appropriate agency,

whether federal, state, local, or foreign,

charged with the responsibility of

investigating or prosecuting such violation or

charged with enforcing or implementing the

statute, rule, regulation, or order issued

pursuant thereto. 2. A record from a system

of records may be disclosed as a routine use

to a federal, state, or local agency which

maintains civil, criminal, or other relevant

enforcement information or other pertinent

information, such as current licenses, if

necessary, to obtain information relevant to

an agency decision 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. 3. A record from a system of records

may be disclosed as a routine use to a federal

agency, in response to its request, for a matter

concerning 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 the

issuance of a license, grant, or other benefit

by the requesting agency, to the extent that

the information is relevant and necessary to

the requesting agency’s decision in the

matter. 4. A record from a system of records

may be disclosed as a routine use to an

authorized appeal grievance examiner,

formal complaints examiner, equal

employment opportunity investigator,

arbitrator or other duly authorized official

engaged in investigation or settlement of a

grievance, complaint, or appeal filed by an

employee. Further, a record from any system

of records may be disclosed as a routine use

to the Office of Personnel Management in

accordance with the agency’s responsibility

for evaluation and oversight of federal

personnel management. 5. A record from a

system of records may be disclosed as a

routine use to officers and employees of a

federal agency for purposes of audit. 6. A

record from a system of records may be

disclosed as a routine use to a member of

Congress or to a congressional staff member

in response to an inquiry from the

congressional office made at the request of

the individual about whom the record is

maintained. 7. A record from a system of

records may be disclosed as a routine use to

the officers and employees of the General

Services Administration (GSA) in connection

with administrative services provided to this

Agency under agreement with GSA. 8.

Records in a system of records may be

disclosed as a routine use to the Department

of Justice, when (a) NCUA, or any of its

components or employees acting in their

official capacities; or (b) Any employee of

NCUA in his or her individual capacity

where the Department of Justice has agreed

to represent the employee; or (d) The United

States, where NCUA determines that

litigation is likely to affect the agency or any

of its components, is a party to litigation or

has an interest in such litigation, and NCUA

determines that use of such records is

relevant and necessary to the litigation,

provided, however, that in each case, NCUA

determines that disclosure of the records to

the Department of Justice is a use of the

information contained in the records that is

compatible with the purpose for which the

records were collected. 9. Records in a

system of records may be disclosed as a

routine use in a proceeding before a court or

adjudicative body before which NCUA is

authorized to appear, when (a) NCUA, or any

of its components or employees acting in

their official capacities; or (b) Any employee

of NCUA in his or her individual capacity

where NCUA has agreed to represent the

employee; or (d) The United States, where

NCUA determines that litigation is likely to

affect the agency or any of its components,

is a party to litigation or has an interest in

such litigation, and NCUA determines that

use of such records is relevant and necessary

to the litigation, provided, however, that in

each case, NCUA determines that disclosure

of the records to the Department of Justice is

a use of the information contained in the

records that is compatible with the purpose

for which the records were collected.

Appendix B—List of Regional Offices

(Addresses and States Covered by Each

Region)

I. NCUA Region I Regional Office: 9

Washington Square, Washington Square

Extension, Albany, NY, Phone (518) 472–

4554.

States covered: Connecticut, Maine,

Massachusetts, New Hampshire, New

Jersey, New York, Puerto Rico, Rhode

Island, Vermont, Virgin Islands.

II. NCUA Region II Regional Office: 1775

Duke Street, Suite 4206, Alexandria, VA

22314, Phone: (703) 519–4600.

States covered: Delaware, District Of

Columbia, Maryland, New Jersey,

Pennsylvania, Virginia.

III. NCUA Region III Regional Office: 7000

Central Parkway, Suite 1600, Atlanta, GA

30328, Phone (678) 443–3000.

States covered: Arkansas, Alabama,

Florida, Georgia, Kentucky, Louisiana,

Mississippi, North Carolina, Puerto Rico,

South Carolina, Tennessee, Virgin

Islands.

IV. NCUA Region IV Regional Office: 4225

Naperville Road, Suite 125, Lisle, IL 60532,

Phone:(630) 955–4100.

States covered: Illinois, Indiana, Michigan,

Missouri, Ohio, West Virginia,

Wisconsin.

V. NCUA Region V Regional Office: 4807

Spicewood Springs Road, Suite 5200,

Austin, TX 78759, Phone: (512) 342–5600.

States covered: Arizona, Colorado, Iowa,

Kansas, Minnesota, Nebraska, New

Mexico, North Dakota, Oklahoma, South

Dakota, Texas.

VI. NCUA Region VI Regional Office: 2300

Clayton Road, Suite 1350, Concord, CA

94520, Phone: (925) 363–6200.

States covered: Alaska, California, Guam,

Hawaii, Idaho, Montana, Nevada,

Oregon, Utah, Washington, Wyoming.

By the National Credit Union

Administration Board on January 4, 2000.

Becky Baker,

Secretary of the Board.

[FR Doc. 00–1393 Filed 1–20–00; 8:45 am]

BILLING CODE 7535–01–U