[Privacy Act Issuances (2003)]
[From the U.S. Government Publishing Office, www.gpo.gov]
RESOLUTION TRUST CORPORATION
Note: According to the Federal Home Loan Bank Act, as codified at
12 U.S.C. 1441(m)(1), the RTC terminated on December 31, 1995.
RTC-1
System name: Office of Inspector General Investigative Files.
System location:
Office of Inspector General, Resolution Trust Corporation,
International Place, 1735 North Lynn Street, Rosslyn, VA 22209.
Categories of records in the system:
(1) All documents and correspondence relevant to the
investigation;
(2) All internal staff memoranda, copies of all subpoenas issued
during the investigation, affidavits, statements from witnesses,
transcripts of testimony taken in the investigation and accompanying
exhibits;
(3) Documents and records or copies obtained during the
investigation;
(4) Legal briefs, memoranda, and other working papers of the
staff and other documents and records relating to the investigation;
and
(5) Opening reports, progress reports, and closing reports.
Categories of individuals covered by the system:
Individuals who are involved in or are the subject of
investigations by the OIG relating to the programs and operations of
the RTC.
Authority for maintenance of the system:
5 U.S.C. 552a, 5 U.S.C. app. 3, 12 U.S.C. 1441a(b).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records may be used as follows:
(1) In the event that a record from this system of records, by
itself or in combination with other information, maintained by the
OIG to carry out its functions, indicates a violation or potential
violation of law, whether civil, criminal, or regulatory in nature;
whether arising by general statute or particular program statute, or
by regulation, rule, or order issued pursuant thereto, then the
relevant records in the system of records may be referred, as a
routine use, to the appropriate agency, whether Federal, foreign,
State, or local, charged with enforcing or implementing the statute,
regulation, or order.
(2) Disclosure may be made where necessary to Federal, foreign,
State, or local agencies, or non-government parties, in order to
obtain records or information in connection with an OIG
investigation.
(3) Disclosure may be made to a Federal, State, or local
financial regulatory agency where records in this system of records
pertain to an applicant for employment, to a current employee of that
agency where an agency decision with regard to the hiring or
retention of the employee is pending, or to a current or former
employee of a financial institution which is or has been operating as
an RTC conservatorship or receivership. The information being
transferred consists solely of the fact that OIG has conducted an
investigation concerning the particular individual.
(4) Disclosure may be made to the Office of Special Counsel of
information relevant and necessary to carry out its functions and
relevant and necessary to carry out OIG operations to detect and
prevent fraud, waste, and abuse.
(5) Disclosure may be made to the Thrift Depositor Protection
Oversight Board of information relevant and necessary to carry out
its oversight of the RTC and to carry out OIG operations to detect
fraud, waste, and abuse.
(6) Disclosure may be made when OIG contracts with private firms
for the purpose of maintaining, collating, analyzing, aggregating or
otherwise reviewing records. Disclosure will also be made to
independent auditors who, by contract, carry out audits on behalf of
OIG. Such contractors will be required to maintain Privacy Act
safeguards with respect to such records.
(7) In the event OIG deems it desirable or necessary to determine
whether particular records are required to be disclosed under the
Freedom of Information Act, then disclosure may be made to the
Department of Justice for the purpose of obtaining its advice on
applying the Freedom of Information Act to the record(s) at issue.
(8) In the event of litigation where one of the parties is:
(i) A component of the RTC, or any employee of the RTC in his or
her official capacity,
(ii) The United States where the RTC determines that the
litigation is likely to directly affect the operations of the RTC or
any of its components or,
(iii) An RTC employee in his or her individual capacity, where
the Department of Justice and/or the Legal Division of the RTC has
agreed to represent such employee, then the OIG may disclose such
records as it deems necessary to the Department of Justice, the RTC
Legal Division, other counsel or representative for the RTC, a court,
adjudicative body, individual or entity designated by the OIG or the
RTC to resolve disputes, and/or a potential witness.
(9) Disclosure of a record of an individual may be made to a
Congressional office in response to an inquiry from that office made
at the written request of that individual.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12). Disclosures may be
made from this system to ``consumer reporting agencies'' as defined
in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal
Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)) in accordance
with Title 31 U.S.C. section 3711(f).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The Office of Inspector General Investigative Files consist of
automated data and paper records. Paper records are stored in file
cabinets and the automated data are maintained in secured offices in
OIG.
Retrievability:
The records are retrieved by the name of the subject of the
investigation or by a unique control number assigned to each
investigation.
Safeguards:
These records are available only to those persons whose official
duties require such access. The records are kept in limited access
areas during duty hours and in locked offices at all other times.
Access to automated data is controlled by computer access codes.
Retention and disposal:
Files containing information or allegations, which are of an
investigative nature but do not relate to a specific investigation,
are retained for a period of 5 years and then destroyed. All other
investigative files are placed in inactive files when the case is
closed. From the end of the fiscal year in which the case is closed
the files are retained for 10 years and then destroyed unless the
record is deemed to have historical significance.
System manager(s) and address:
Inspector General, Office of Inspector General, Resolution Trust
Corporation, International Place, 1735 North Lynn Street, Rosslyn,
VA, 22209.
Notification procedure:
Individuals seeking to determine whether this system of records
contains information about themselves, seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves, should write to the System Manager at
the above address. The request should contain the full name, Social
Security Number, signature of the individual, and copies of two forms
of identification which contain the signature of the individual. An
affidavit attesting to the identity of the individual is suggested.
Record access procedures:
See Notification Procedures above.
Contesting record procedures:
See Notification Procedures above.
Record source categories:
Information in these records is obtained from RTC staff and
records, and from non-RTC persons and records, to the extent
necessary to carry out OIG investigative operations by 5 U.S.C. app.
3. Individuals to be interviewed and records to be examined are
selected based on the nature of the allegations being investigated.
System exempted from certain provisions of the act:
Under 5 U.S.C. 552a(j)(2), this system of records is exempt from
5 U.S.C. 522a except subsections (b), (c)(1), and (2), (e)(4)(A)
through (F), (e)(6), (7), (9), (10), and (11), and (i) to the extent
the system of records pertains to the enforcement of criminal laws.
Pursuant to 5 U.S.C. 552a(k)(2), this system of records is exempt
from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I) and
(f) to the extent it consists of investigatory material compiled for
law enforcement purposes, other than material within the scope of the
exemption at 5 U.S.C. 552a(j)(2), provided, however, that if any
individual is denied any right, privilege, or benefit that he would
otherwise be entitled to by Federal law, or for which he would
otherwise be eligible, as a result of the maintenance of such
material, such material shall be provided 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 January 1, 1975, under an implied
promise that the identity of the source would be held in confidence.
Pursuant to 5 U.S.C. 552a(k)(5), this system of records is also
exempted from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and
(I) and (f) to the extent the system of records contains
investigatory material compiled solely for the purpose of determining
suitability, eligibility, or qualifications for Federal civilian
employment, Federal contracts, or access to classified information,
but only 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 January 1, 1975, under an
implied promise that the identity of the source would be held in
confidence. These exemptions are contained at 12 CFR 1680.33.
RTC-2
System name: FDIC/RTC Employee Financial Disclosure Statements
System. RTC-2.
System location:
Confidential Statements of Employment and Finanical Interests,
Reports of Interest in Bank Securities, Confidential Reports of
Employment Upon Resignation, Employee Certification and
Acknowledgement of FDIC/RTC Standards of Conduct Regulation, and any
financial disclosure/conflict of interest or similar form required to
be completed by the Office of Government Ethics, and related records
are located in designated divisional, regional, or consolidated
offices to which individuals covered by the system are assigned.
Duplicate copies of the above records are maintained in the Office of
Ethics and Protests, RTC, 801 17th Street, NW, Washington, DC 20434-
0001, for the purpose of certification of review and resolution of
conflicts of interest disclosed therein. Confidential Reports of
Indebtedness and related records are located in the Office of Ethics.
A list of the RTC's divisional, regional and consolidated offices is
available from the RTC Reading Room, 801 17th Street, NW, Washington,
DC 20434-0001, (202) 416-6940.
Categories of individuals covered by the system:
Current and former Federal Deposit Insurance Corporation officers
and employees who are working for or who have worked for the RTC, and
special government employees required to file any of the following
forms: (1) Confidential Statement of Employment and Financial
Interests; (2) Confidential Report of Indebtedness; (3) Report of
Interest in Bank Securities and Interest in RTC Decision; (4)
Confidential Report of Employment Upon Resignation; and (5) Employee
Certification and Acknowledgement of FDIC/RTC Standards of Conduct
Regulation.
Categories of records in the system:
Information in this system includes data directly furnished by
the individual on the following five forms or related records that
may be generated in the course of the RTC`s administration of
Executive Orders 12674 and 12731 as amended or as superseded, and/or
12 CFR part 1605:
(1) Confidential Statement of Employment and Financial
Interests--Contains statements of personal and family holdings,
interests in business enterprises and real property, creditors, and
outside employment.
(2) Confidential Report of Indebtedness--Contains information on
extensions of credit (loans and credit cards) by insured and non-
insured depository institutions and their affiliates; and may also
contain memoranda and correspondence relating to requests for
approval of certain loans extended by insured depository institutions
or affiliates thereof.
(3) Report of Interest in Bank Securities and Interest in RTC
Decision--Contains information on whether or not an employee owns or
controls, directly or indirectly, any securities of insured
depository institutions or affiliates thereof, and if so, lists
specific securities, the nature and extent of such interests and the
manner of acquisition, contains information on other outside
interests which may have an impact on an employee's official duties,
and may contain memoranda and correspondence relating to requests for
approval of retention of securities of insured depository
institutions by employees.
(4) Confidential Report of Employment Upon Resignation--Contains
information as to the employee's prospective employer, the nature of
the business or organization activities of the prospective employer,
the position the employee will occupy, dates of negotiation for such
employment, and the employee's official involvement, if any, with the
prospective employer.
(5) Employee Certification and Acknowledgement of FDIC/RTC
Standards of Conduct Regulation--Contains employee's certification
and acknowledgement that he or she has received a copy of the
standards of conduct, has viewed the FDIC/RTC Orientation Ethics
Video, and has a positive responsibility to comply with the standards
of conduct.
Authority for maintenance of the system:
Section 502 of E.O. 12674, 3 CFR 215 (1989), as amended by E.O.
12731, 3 CFR 306 (1990); section 21A of the Federal Home Loan Bank
Act of 1932 (12 U.S.C. 1441a(b)), as amended. The Financial
Institutions Reform, Recovery, and Enforcement Act of 1989, 12 U.S.C.
1441(p).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information in this system may be disclosed where the Director of
the U.S. Office of Government Ethics or the RTC's Chief Executive
Officer, or designee, determines that good cause has been shown for
such use:
(1) To the appropriate federal, state, or local agency or
authority responsible for investigating or prosecuting a violation of
or for enforcing or implementing a statute, rule, regulation, or
order when the information indicates a violation or potential
violation of law whether civil, criminal, or regulatory in nature,
and whether arising by general statute or particular program statute
or by regulation, rule, or order issued pursuant thereto.
(2) To a congressional office in response to an inquiry made at
the request of the individual to whom the information pertains.
(3) To any source where necessary to obtain information relevant
to a conflict-of-interest investigation or determination.
(4) To a court, magistrate, or administrative tribunal in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation or settlement
negotiations, or in connection with the criminal proceedings.
(5) To the United States Office of Personnel Managment, Office of
Government Ethics, the Merit Systems Protection Board, the Office of
the Special Counsel, the Federal Labor Relations Authority, an
aribtrator, and the Equal Employment Opportunity Commission, to the
extent disclosure is necessary to carry out the government-wide
personnel management, investigatory, adjudicatory and appellate
functions with their respective jurisdiction.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Maintained in file folders in Office of Ethics and Protests and
designated divisional, regional, or consolidated offices to which
individuals covered by the system are located, and on an automated
tracking system.
Retrievability:
Indexed by name.
Safeguards:
Maintained in lockable metal file cabinets in lockable offices
and, on a password-protected automated index system.
Retention and disposal:
Retained for six years and then destroyed by shredding except
when the documents are relevant and/or needed in an ongoing
investigation they will be retained until no longer needed.
System manager(s) and address:
Ethics Program Manager (Employees), RTC, 801 17th Street, NW,
Washington, DC 20434-0001.
Notification procedure:
Requests must be in writing and addressed to the Office of the
Secretary, RTC, International Place, 1735 North Lynn Street, Rosslyn,
VA 22209. The request must contain the name and office of the
individual covered by the system, and a notarized statement attesting
to the individual's indentity may be required.
Record access procedure:
Same as ``Notification'' above.
Contesting record procedures:
Same as ``Notification'' above.
Record source categories:
The information is obtained from the individual on whom the
record is maintained or a person designated by him or her and from
the RTC's Ethics Program Manager (Employees) and support personnel.
Information may also be obtained from the other parties to whom the
RTC has supplied information in connection with evaluating the
records maintained in the Employee Financial Disclosure Statements
system.
Systems exempted from certain provisions of the act:
None.