Federal Deposit Insurance Corporation FDIC Records Retention and

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					                                                                                       . "J8 NUMBER
 REQUEST FOR RECORDS DISPOSITION AUTHORITY
                                                                                                   N /~()(3t/-J()7-.J/
 To        NATIONAL
            8601
                          ARCHIVES
                    ADELPHI
                                         &
                               ROAD COLLEGE
                                             RECORDS      ADMINISTRATION
                                                        PARK, MD   20740-6001
                                                                                       Date received      / / 5   7           /0
 1     FROM (Agency or establishment)

            Federal Deposit Insurance Corporation                                                     NOTIFICATION     TO AGENCY



 2     MAJOR SUBDIVISION                                                               In accordance with the provrsions of 44 USC   3303a, the
                                                                                       drspositron request, Including amendments,  IS approved
I---=--~:-:-=-=-=::-==-::--::-:::-c:::-:-.,-----------------------I                    except for Items that may be marked         "disposition   not
  3  MINOR SUBDIVISION                                                                 approved" or "withdrawn" In column 10



 4    NAME OF PERSON WITH WHOM TO CONFER
 Cheryl D Boykins
                                                           5   TELEPHONE	    NUMBER


                                                                   703/562-2237
                                                                                       DATE
                                                                                       J~/I/o;t
                                                                                                           ~~~-
                                                                                                           ARCHIVIST   OF THE UNITED STATES




 6     AGENCY CERTIFICATION
       I hereby certify that I am authonzed to act for this agency m matters pertammg to the disposition of ItS records and that the
       records proposed for disposal on the attached 68 page(s) are not needed now for the bus mess for this agency or will not be
       needed after the retention penods specified, and that written concurrence from the General Accountmg Office, under the
       provisions of TItle 8 of the GAO Manual for GUIdance of Federal Agencies,

                      [8] IS not requited         <;:          D ISattache~,      or              D has been   requested
                J            r-     /1             ---...          /        1.1
                                                                                                   TITLE
                                                                                                   ASSistant Director, Support Services
                                                                                                   Section
                                                                                                 9 GRS OR
                                                                                                                           10 ACTION TAKEN
                                                                                              SUPERSEDED JOB
                                                                                                                           (NARA USE ONLY)
                                                                                                  CITATION


 1	                  Revised Corporate Records Retention and Drspositron

                     Schedule





               115-109	                        PREVIOUS EDITION NOT USABLE                             STANDARD         FORM 115 (REV 3-91)
                                                                                                                  Prescnbed   by NARA 36 CFR 1228
FDIC RECORDS RETENTION AND DISPOSITION                                 SCHEDULE	                            xxxx
                                                                                 Please dtsreqerd previous edntons



                PERMANENT Offer to NARA with records described under 10 1a


        b	      All other copies

                Destroy one year after meeting date

lQ.12   CLASSllOllir;) INIOORM.t..TlON NONDISCbOSYAE              ACAEE~4ENTS                   GRS 18, 25a

18 13   FAEEDO~4 OF INFOA~4ATlON               AGF AEQYESTS, APPEAbS,         CONTAOb           GRS 1'1, IteFfls 11,
        AND ADMINISTMTI'JE             FlbES                                                    12, 13, & 15

10 14   FREEDOM OF INFORMATION                 ACT REPORTS FILES

        a	      Corporation annual reports to Congress specific to FOIA requests that are excluded from the
                General Records Schedule

                PERMANENT Offer to NARA With related agency records approved for permanent retention
                or when 15 years old, whichever IS sooner

                All eti'ler rCl3erts

10 15   PRIVACY ACT AEQI:JEST5, AP'ENDP'ENT, DI5CL05I:JRE,                    CONTROL,          GRS H, It:effi5 21,
        REPORTS, AND GENER-AL ADMINISTRATI'iE    FILES                                          22, 23, 24, 25 & 26

10 16   OFFICE OF THE OMBUDSMAN                CASE FILES

        Contains various documents created by the Office of the Ombudsman In support of specific
        cases Documents may Include letters, Internal memoranda, and paper copies of electronic
        (e-mail) responses NOTE Not all case files will contain each type of document

        Cut off file at conclusron of case     Destroy 5 years after cutoff

1017	   OFFICE OF THE OMBUDSMAN TREND ANALYSIS REPORTS

        Reports from Ombudsman Automated Tracking System (OATS) database containing aggregate case
        analysis information

        Cut off at end of calendar year Destroy 10 years after cutoff

11 1	   ORGANIZATION         PLANNING FILES

        a	      Contains documents relating to the establishment of and changes In organization, functions,
                and relationships affecting the management and operations of FDIC divisions and offices
                Includes FDIC organizational charts, delegations of authontv, field restructuring data, re-
                delegations, and mission and functional statements    Also contains documents relating to


section	 1, Admmtstratton and Management                                                                   PageS
FDIC RECORDS RETENTION AND DISPOSITION                                      SCHEDULE	                                XXX)(
                                                                                       Please dtsreqsrd previous ednions



10 1    COMMITTEE, CONFERENCE, AND MEETING FILES

        Records created by committee - agendas, minutes, final reports, and related records documenting
        the accomplishments of boards, committees, task forces, and similar groups Records related to
        meetmgs of the FDIC Board of DIrectors are not Included m this Item See 10 6 through 10 10

        a	      Records created by the Executive Secretary Section or other divisrons which document
                activities central to the mission of the FDIC, records documenting committee activity dealing
                With the sunset of the Resolution Trust Corporation and the transfer of Its function to the
                FDIC, and records created by the Audit Committee mcludmq agendas, minutes, final
                reports, and related records documenting and supporting committee mission

                PERMANENT               Break file annually   Transfer off site when 10 years old   Offer to NARA when
                20 years old

        80      RSl:ItlRe R=leetIR~ Hies aRE! all oti:ler COR'lIT'litteeaRd cORfereRce records          GRoS 26, 3

10 2	   ADMINISTRATIVE/SUBJECT                    FILES

        a	      AelfI'llFllstratlov'e   Files                                                           GRoS 23, 1

        b	      Subject Files Files contain correspondence not related to a specinc case, comments on
                proposed directives, policies, and regulations relating to FDIC programs and administration,
                background on FDIC operations, responses to Internal audits, FOIA requests, and
                Ombudsman mqumes, background files for Board recommendations, and other files and
                records that allow the office or division to fulfill ItS mission

                (1)	         Copies of office policy and precedent material

                             Cut off files at end of calendar year      Screen and destroy obsolete matenal           Bring
                             forward current material

                (2)	         Copies of other correspondence,        printed material, printed forms, and Similar
                             documents

                             Cut off files at end of calendar year       Destroy 5 years after cutoff

10 3	   INDICES,       LOGS, JOURNALS, AND REGISTERS

        Unless otherwise speofied In this schedule, reference sources and finding aids maintained for the
        convenience and use of the staff for listing files or Corporation actions

        Destroy when superseded or obsolete




Sectton 1, Admuustretion and Management	                                                                         Pagel
                         •

FDIC	 RECORDS RETENTION AND DISPOSITION                                    SCHEDULE                             xxxx
                                                                                    Please aisreqerd previous edtttons



10 4	   TECHNICAL REFERENCE AND WORKING FILES

        a	        Copies of documents retained for technical reference and research, filed by specific subject
                  Contains program area copies of Congressional and other controlled correspondence,
                  general correspondence, Internal memos, reports, newspapers, testimony, and comments
                  from other aqencies relating to legislative review

                  (1)	       Copies of office policy and precedent matenal

                             Cut off files at end of calendar year     Screen and destroy obsolete matenal       Bnng
                             forward current matenal

                  (2)	       Copies of other correspondence,      pnnted matenal, pnnted forms, and Similar
                             documents

                             Destroy when 5 years old or when no longer needed for reference, whichever IS
                             sooner

         b	       Copies of other documents retained for reference and informational purposes which are not
                  part of the official files Includes copies of reports, studies, clippings, vendor pnce lists, and
                  extra copies of policy and precedent files

                  Destroy when 5 years old or when no longer needed for reference, whichever IS sooner

10 5	   SCHEDULES OF DAILY ACTIVITIES

        Calendars, appointment books, schedules, logs, dianes, and other records documenting meetings,
        appointments, telephone calls, tnps, VISits, and other activities by Federal employees while serving In
        an official capacity Media may be paper or electronic

        a	        Records of high level officials of the Corporation

                  PERMANENT Offer to NARA when 20 years old

                  r;l~~g~ds gf Elil gti:ler eR=l~lo'lee6 of tl=te COF130FatioA	                    GRS 23, Sa

10 6	    OFFICIAL MINUTES OF THE BOARD OF DIRECTORS

         Bound manuscript nbbon copy of official minutes of the FDIC Board of Directors since 1933
         Compnses the official record of Board decisions relating to program activities of the Corporation

         a	       Onqinal record set held by the Executive Secretary Section




Section	 1, Administration    and Management                                                                  Page 2
FDIC RECORDS RETENTION AND DISPOSITION                                 SCHEDULE	                                 XXX)(
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                PERMANENT Break files every 5 years and transfer off site              Offer to NARA 20 years after
                the date of the last meeting In the volume

        b	      Imaged or electronic media copy

                Maintain one complete reference set In the Executive Secretary Section              After new Imaged
                or other media copy ISvenned, destroy previous versions

        c	      Copies held   In   other divrsrons and offices of the Corporation


                Destroy when no longer needed for reference


10 7	   JACKETS OF BOARD OF DIRECTORS'                 MEETINGS

        Complement official Board minutes Contains agendas, notices, and supporting documentation
        (memoranda, exhibits, correspondence, and Similar matenal) used by the Board for general
        Information or In consideratron of the requested action

        a	      Onqrnal record set held by the Executive Secretary Section

                PERMANENT          Break files every 5 years and transfer off site     Offer to NARA when no longer
                needed for reference

        b	      Copies held In other drvisions and offices of the Corporation and Legal DIVISion Board
                recommendations

                Destroy	 when no longer needed for reference

10 8	   SUPPLEMENTAL       BOARD MEETING DOCUMENTS

        Unless otherwise speofted In this schedule, documents used by Board members for general
        information or In consideration of action taken by the Board Includes, but IS not limited to, copies
        of agendas

        a       Onqmal paper or electrornc copy

                Destroy when 2 years old or when no longer needed for reference, whichever ISsooner

        b       All other copies

                Destroy when 1 year old




section 1, Admmtstretton and Management	                                                                        Page 3
FDIC RECORDS RETENTION AND DISPOSITION                                 SCHEDULE	                          xxxx
                                                                               Please disregard previous eduions



10 9	   BOARD OPINIONS         AND ORDERS

        Index to the minutes of the Board of Directors and Standing Committees'       meetings and to orders
        that are Issued under delegated authonty

        a       Hard copy Index to decrsions made at particular Board meetings and to those deosions
                made pursuant to authonty delegated by the Board Indicates case number and short
                descnption of action taken

                Destroy when no longer needed for reference

        b	      Automated     Index electronic data files

                PERMANENT Offer electronic data to NARA In 5 year blocks corresponding           to those blocks
                of hard copy records transferred under 10 6a

        c	      Matenals In electronic, Imaged, or hard copy that document technical specifications and
                content of the data transferred under b above, including record layout, data entry
                instructions, look up tables, and any additional information that will enhance access to the
                data

                PERMANENT Offer to NARA with hard copy and electronic records transferred            under 10 6a
                and 10 9b above

10 10   TRANSCRIPTS        OF BOARD OF DIRECTORS            MEETINGS

        a	      Textual records

                PERMANENT Break files every         5 years and transfer off site Offer to NARA With records
                descnbed In 10 6a above

        b       Audio tapes

                Destroy after final edited paper transcnpts have been venfied and signed by the Secretary

10 11   JACKETS OF SUBSIDIARY           COMMITTEES'         MEETINGS

        Records complement offtcial minutes of Subsidiary Committees (see 10 1a) Contain agendas and
        documentation such as memoranda, exhibits, correspondence, and Similar rnatenal used by
        committee members In formulating advisory opinions for use by the Board of Directors Jackets are
        maintained for only those committees which the Board of Directors has delegated final authonty

        a       Onqinal




section 1, Admmtstretton   and Management	                                                               Page 4
FDIC RECORDS RETENTION AND DISPOSITION                              SCHEDULE	                              XXX)(
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                workload, workload analyses, and work measurement studies, background materials, drafts,
                progress reports, decrsional memoranda, and related papers accumulated In the
                organization and planning of projects and surveys

                PERMANENT Cut off at end of calendar year         Transfer off site 2 years after cutoff    Offer to
                NARA 10 years after cutoff.

        b	      Copies of delegations of authority maintained by divisions and offices that relate to
                assigned, specific dollar amounts

                Destroy	 when superseded or obsolete

11 2	   REGULATIONS      AND POLICY STATEMENT PREPARATION                  CASE FILES

        a	      Contains all documentation generated dunnq the preparation of regulations and policy
                statements by OPD Includes, but IS not limited to, drafts of the statements, briefs,
                analyses, research findings, and summaries of public comments

                PERMANENT Cut off at end of calendar year In which statement IS Issued            Transfer off site
                5 years after cutoff Offer to NARA 15 years after cutoff

        b	      Contains copies of regulations and policy statements prepared by other FDIC divrsrons and
                offices Includes all marked up copies and drafts of comments

                Cut off	 at end of calendar year   Destroy 5 years after cutoff

11 3	   FDIC RULES AND REGULATIONS SUBSCRIPTION                   FILES

        These records document the ordering of, and payment for, the FDIC Rules and Regulations The
        documents are used for reconciliation and SUbscription fulfillment purposes    Include, but are not
        limited to, subscription order blanks, renewal cards, copies of checks, bank statements, FIMS
        reports,	 and related documents

        Destroy	 when 3 years old or after audit, whichever IS sooner

12 1	   DIRECTIVES     CASE FILES

        a	      Record set of approved directives and manuals Issued through the directives process
                Includes case files for all Corporate-wide directives, Internal (program-specific) directives
                and manuals Files contain Information that relate to the historical development of the
                directive/manual and Include, but are not limited to, documents that reflect coordination and
                comments, and confirm actions affecting the Issuance of the directive/manual, current
                edited copies of reqursmons supporting printing and distribution requirements, printed copy




section 1, Admmtstretton and Management	                                                                   Page 6
FDIC RECORDS RETENTION AND DISPOSITION                               SCHEDULE	                             XXX)(
                                                                               Please dtsreqerd previous ednions


                of the directive/manual, and other pertinent background information Also Includes
                Memoranda and Notices Issued by other Drvrsion Directors to Headquarter staff

                PERMANENT Cut off when directive IS cancelled or superseded             Transfer off site 5 years
                after cutoff Offer to NARA 20 years after cutoff

        b	      Withdrawn directives Files contain a draft copy of the directive and any documentation
                created up to the time the directive was offioallv withdrawn from the system

                Cut off	 when directive IS withdrawn     Destroy 5 years after cutoff

        c	      Regional Office Memoranda and Notices Issued by Regional Directors to Regional staff, and
                program area extra copies of a above

                Destroy when superseded or obsolete

12 2	   INTERNAL DIRECTIVES/MANUALS               REVIEW FILES

        Files contain information related to the Records Management Units (RMU's) review of draft Internal
        directives/manuals, and Include a copy of the draft directive/manual, RMU comments, and any other
        relevant correspondence

        Cut off	 at end of calendar year   Destroy 5 years after cutoff

12 3	   FORMS CASE FILES

        a       RSE9rd E9f>'t'aRd Bacl~grOl,mel FRatsFlal5.


        b       Proposed new or revised forms that were never finalized and subsequently Withdrawn


                Cut off	 when form ISWithdrawn       Destroy 3 years after cutoff

1'2 ~   INTERNAL CONTROL REPORTS FILES                                                          GR£ Hi, 14

12 5    INTERNAL CONTROL ACTIVITIES FILES

        Contain documents relating to the following Internal control program procedures, schedules,
        reporting requirements, assessable unit inventories, preliminary risk assessments, Internal control
        reviews, and alternative Internal control reviews

        Cut off	 at end of calendar year In which review was completed       Destroy 10 years after cutoff

12 6	   AUDIT, REVIEW, AND INVESTIGATIVE               CASE FILES

        Case files on Internal and external reviews related to pohcies and procedures        Internal (FDIC


section 1, Admuustrettan and Management	                                                                  Page 7
FDIC RECORDS RETENTION AND DISPOSITION                                SCHEDULE	                             XXX)(
                                                                                Please disregard previous editions



        initiated) files contain the following information copy of the final report, any Immediate draft
        reports, supporting documentation for each observation noted In the report, and any additional
        supporting working papers, correspondence, and memoranda           External (non-FDIC Initiated) files
        contain	 copies of report background Information, management responses and decrsions related to
        the report's findings and recommendations

        a	       GAO Audit Reports and OIG Audit Reports, and Administrative         Compliance Reviews of the
                 FDIC Contracting and Administrative Program

                 PERMANENT Cut off when all management actions have been completed                 Transfer off site
                 3 years after cutoff Offer to NARA 10 years after cutoff

        b	       Copies of program offices responses to findings, recommendations,        audit reports, corrective
                 actions taken, and any related background files

                 Cut off when all management actions have been completed           Destroy 3 years after cutoff

        c	       Ad hoc review and analysts case files

                 Cut off at end of calendar year   In   which report was completed    Destroy 10 years after
                 cutoff

12 7	   MANAGEMENT          CONTROL CERTIFICATION            STATEMENT     FILES

        Contains copies of Annual Management Control and Certification statements and accompanying
        documentation addressmq Internal control conditions and accomplishments

        PERMANENT Cut off when all management actions Cited In the statement have been completed
        Transfer off site 3 years after cutoff Offer to NARA 10 years after cutoff

12 8	   STATISTICAL         REPORTS OF RECOR9S HOL9INGS                                         CR~ le, 4

12 9    PROJECT AN9 REPORTS CONTROL FILES	                                                      CRe 16,
                                                                                                ItCR'lS 5 &: e


12 10	 RECOR9S 9ISPOSITION            FILES                                                     CRS le, 2

12 11	 MANAGEMENT           STUDIES AND ANALYSES CASE FILES

        Contains documentation of the project including project mception, scope, procedures, and
        accomplishments    Also Includes, but IS not limited to, a copy of the finished product (such as a
        pamphlet or qraphic representation) and of the last manuscript report (If not published or
        processed)

        a	       Record set of studies and analyses held by the program office conducting the project

                 PERMANENT Transfer off site when 10 years old          Offer to NARA when 20 years old



secuon	 1/ Adrntmstretton    and Management                                                                Page 8
FDIC RECORDS RETENTION AND DISPOSITION                              SCHEDULE	                           xxxx
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        b	      Studies conducted to determine whether FDIC organizations should perform work In-house
                or use temporary contractor support  Documents may Include background material,
                decrsional memoranda, and related papers accumulated dunnq and after the review

                PERMANENT Cut off at end of calendar year In which review was completed            Transfer
                off site 2 years after cutoff Offer to NARA 10 years after cutoff

       c        Record set of Internal research papers and studies on various Issues prepared by the Office
                of Policy Development

                PERMANENT Cut off when final study results are prepared         Transfer off site 5 years after
                cutoff Offer to NARA 10 years after cutoff

        d	      All other copies of a , b , and c , above

                Destroy	 when no longer needed for reference

12 12	 INTERNAL     REVIEW INFORMATION            SYSTEM (IRIS)

        A software application providing DRR and Internal Review With an automated means of controlling,
        tracking, monitoring, and reporting the status of audit reports With their findings and corrective
        actions

        Erase obsolete data when 3 years old, or when no longer needed, whichever IS later

12 13	 MANAGEMENT          REPORTING     SYSTEM (MRS)

        An application developed for the RTC that Includes information on OIG and GAO audits MRS
        contains summaries of audit conditions, recommendations, and management corrective action plans
        Data entry ceased January, 1997

        Cut off data when replaced by a new version or system of record       Destroy 5 years after all data has
        been converted to a replacement system

12 14	 AUTOMATED       RECORDS MANAGEMENT             SYSTEM (ARMS)

        An application developed for the FDIC to Inventory and track active asset files, inactive institution
        records, and corporate generated records The data captured In ARMS provides a description,
        current location, and a chain of custody for each record ARMS captures data at the box, folder, and
        document level and provides tracking information at all levels ARMS IS used In all offices and
        drvisions of headquarters and field sites

        Cut off data when corresponding inventoried records are destroyed       Transfer to electrornc storage 1
        year after cutoff Destroy 3 years after cutoff

12 15	 CORRESPONDENCE           CONTROL MANAGEMENT             SYSTEM (CCMS)

        A database system for tracking correspondence       used In several program areas




Section 1, Admmtstretion   and Management	                                                             Page 9
FDIC RECORDS RETENTION AND DISPOSITION                              SCHEDULE                             xxxx
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        a        Data regarding mqumes to the FDIC under FOIA or Congressional inqumes, or other
                 inquiries which may pertain to failed institution proceedings or asset disposition resolutions

                 Erase obsolete data when 3 years old

        b        Office of the Ombudsman data

                 Cut off data annually, retaining the most recent 3 years of data on-line    Destroy data when
                 4 years old

12 16   CHIEF FINANCIAL OFFICERS ACT (CFOA) SYSTEM

        The Chief Financial Officers Act (CFOA) System provides a means for each drvrsron/office of the FDIC
        to evaluate and report on Internal controls used to carry out the mission, programs, and functions
        within their drvrsion Quarterly reports are provided to the CFO and a yearly report IS sent to
        Congress

        Cut off data quarterly     Destroy when 10 years old

13 1    ELECTRONIC DATA SYSTEMS

        All electroruc information systems used at the FDIC have 5 record elements In common software,
        documentation, Input/source documents, electroruc data, and output (reports)       Electronic data and
        ItS peripheral documents have a life cycle Similar to paper records they are created, maintained,
        retained, and destroyed

        a        System Software and System Documentation

                 System software IS source code In a compiled language that causes a system to run
                 System documentation Includes all documents required by the System Development Life
                 Cycle (SDLC) procedures, which IS defined as the organized series of descriptive documents
                 required to initiate, develop, operate, and maintain specific applications of Information
                 Technology (IT) systems These may be In electronic or hard copy format

                 (1)        When the system IS upgraded or replaced

                            Cut off when system IS replaced by a new version or new system and data are
                            migrated to the new platform     Destroy 1 year after new version or new system IS
                            operational and data IS inactive

                 (2)        When the system ISterminated

                            Cut off at the termination date Destroy software In accordance With the data
                            contained In the system once data IS inactive

                 IR(3l!1t/Sol:lFce Rec8F85                                                   6RS 20,2




Section 1/ Administration    and Management                                                           Page 10
FDIC RECORDS RETENTION AND DISPOSITION                            SCHEDULE	                                xxxx
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13 2	   INFORMATION        TECHNOLOGY (IT) PLANNING DOCUMENTS FILES

        Consists of master plan, feasibility studies with associated charts and diagrams, and supporting data
        that reflect the characteristics of data automation activity

        a	      Adopted studies

                PERMANENT Cut off when plan IS superseded         Offer to NARA with related materials 3
                years after cutoff

        b	      Unadopted studies


                Destroy 5 years after completion of study


13 3	   DATA AUTOMATION PLANNING AND OPERATIONAL RECORDS

        Created by the Infrastructure Services' Engineering Section of DIT In the course of their operations
        and dealings with planning, managmg, procuring, selecting, utilizing, and accounting for the physical
        IT faohty Investment withm the division and ItS composite elements

        a	      Selection criteria for hardware procurement consisting of Corporation requirements,
                specifications for hardware, software, and support capabilities of vendors

                Destroy 2 years after specific equipment configuration   IS discontinued

        a	      Dally and summary machme utilization and maintenance records used for management of
                operations and copies from Invoices (If retained separately from original used for accountmg
                purposes) for rental and other IT charges

                Destroy	 when 3 years old

        c	      IT supply requirements (for magnetic tape cartridges, optical CDs, etc) and supply
                Inventory

                Destroy when one year old

        d       Magnetic tape library transaction records used as a control

                Destroy when the fourth update cycle IS created or when 90 days old, dependmg on record
                media

        e       All other onqmal files concerning the management of the IT equipment

                Destroy 2 years after the equipment ISdiscontinued

13 ~    IT PRINTOUTS                                                                          GR:S 20, G



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13 5    MAGNETIC TAPE AND SIMILAR FILE MEDIA

        Magnetic tape cartridges, optical compact disks, and digital audio tape (DAT) used for summary
        data, reproductions, statistical analyses, models, and simulation studies

        Delete when no longer needed for administrative,       legal, audit, or other operational purposes

13 6    IT FEASIBILITY     STl:J9IES                                                            GRS 16, 9

13 7    IT SECURITY PROGRAM FILES
        Includes certification and accreditation documents for general support systems and major
        applications    Documentation Includes sensitivity assessment questionnaires, security plans, risk
        assessments, security test and evaluation reports, certification and accreditation letters that define
        security requirements for new applications, and initial and on-going security reviews for automated
        systems Also Include security certifications, accreditation statements, evaluation reports, FISMA
        Compliance Statements, Control MatriX Reports, and documentation related to the preparation of the
        DIT Annual Internal Security Planning Document
        Cut off at end of calendar year    Destroy 5 years after cutoff

13 8    IT SECURITY LOGS AND REPORT

        Electronic files and hard-copy printouts created to monitor system usage, including, but not limited
        to, log-In files, password files, audit trail files, and system usage files These files are created for all
        platforms used Within the FDIC

        au                                                                                      GRS 20, lc

        b        MOnitOring from intrusion detection systems, firewalls, and mcident reports

                 Destroy when 3 years old

13 9    COMPUTER, LAN, MAINFRAME, APPLICATION,                    WEB, AND ENTRUST CERTIFICATE
        ACCESS REQUESTS

        Records including e-mails and memoranda that are produced electronically          and maintained on-line
        for computer, mainframe, application, web, and entrust certificate access

        Cut off when employee resigns or     IS   transferred to another Federal agency    Delete electroruc
        information 120 days after cutoff

13 10   FDIC ACCESS CONTROL ENTRY SYSTEM (FACES)

        The FACES application generates, processes, and tracks electrornc requests for FDIC application
        computer access




section 1, Admtrustretton and Management                                                                    Page 12
FDIC RECORDS RETENTION AND DISPOSITION                              SCHEDULE	                            xxxx
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        Cut off individual data as It terminates Transfer terminated data to inactive portion of system at
        end of calendar year Destroy after 3 years

13 11   S¥STI!M gOCYMEiNTATION                                                                        GRS 20, 11

13 12   ERASABLE MEDIA

        Covers all devices (e g magnetic tape, optical CDs, etc) which store machine readable records In an
        erasable media

        a         Temp rary erasable media used by operators to facihtate general computer runs such as
                  sort an

                                    mediate re-use

        b         Tape or other media used by programmer for individual run testing and not under library
                  control

                  Destroy after system has been accepted or rejected

        b	        Tape or other media which contains system acceptance test data or system debugging test
                  data used to exercise all possibledata system options within the complete set of programs
                  pnor to final acceptancetesting

                  Destroy when related program ISdiscontinued

        d         Erasable media containing sequence of instructions required to accomplish the processing of
                  data or solving of a problem

                  (1)	       Updated media

                             Re-useor erase In accordance with three generation cycle

                  (2)	       Last update of a discontinued system

                             Destroy when no longer needed

        e	        Erasable media containing new data Input abstracted from source documents and entered
                  Into the system for the first time

                  (1)	       Used for updating under an existmq program and required to support master file
                             construction

                             Destroy upon successfulcompletion of fourth subsequent processing pass




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FDIC RECORDS RETENTION AND DISPOSITION                            SCHEDULE	                             XXX)(
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               (2)	    Used for a one-time study or not required for reconstruction

                       Destroy when processed Into final data and proved satisfactory

               (3)	    Used offlciallv to replace or service the basic source data In lieu of hard copy

                       Dispose In accordance with the disposition of the hard copy or other file
                       documenting the same process

       f	      Working media that contains Input/output to or from one run to a subsequent run that
               manipulates, sorts, and/or moves data, including rerun tapes, unmatched data, and
               correction lists

               (1)	    Used In an updated system

                       Destroy after subsequent media containing accepted data has been created and
                       proven satisfactory

               (2)	    Used In one-time survey
                       Destroy after master tape has been proven satisfactory

       g       Media containing valid file of Items used with a master data Input file for creation of a
               master data output file, not used In additional statistical analysis

               Destroy after third update cycle

       h      "Housekeeping" systems master data file used for financial, supply management,         payroll,
              and other operations

               Destroy In accordance with the disposition of the hard copy or other file documenting       the
               same process

               Print media file containing source output data extracted from the system and used for
               producing required printouts

               Destroy when output has been released and approved

               Security backup media file

               (1)	    For files that are updated

                       Reuse or erase In accordance with three generation cycle

               (2)	    For one-time surveys

                       Destroy when no longer needed for reference



Seaton	 1, Admmtstretton and Management                                                              Page 14
FDIC RECORDS RETENTION AND DISPOSITION SCHEDULE	                                                         XXX)(
                                                                             Please disregard previous editions



         k	      Media file created by other agencies


                 Destroy when no longer needed for reference


13 13	 IT STANDARDIZATION FILES AND SPECIFIC SYSTEMS, AND ELECTRONIC DATA
       PROCESSING (EDP) PROGRAM MANAGEMENT FILES

         Consists of data elements, codes, and standardization requests for all data systems developed by or
         for the Corporation, system documentation containing definition of, and Justification for speofic
         systems, including all documents required by the SDL procedures, and development plans, policies,
         and procedures governing the conversion of electroruc machine operations and the supervision,
         control, coordination, and operation of the mechanization

         PERMANENT     Offer to NARA With related matenal 3 years after being superseded

13 14	 COMPUTER OPERATIONS ENVIRONMENT

         a       Change control documents pertaining to the control, testing, and review of changes to the
                 FDIC computer operations environment, including control committee decisions

                 Destroy when 1 year old

         b       Quality Assurance Standards which document the development        and maintenance of
                 mainframe computer systems

                 Destroy when superseded or obsolete

13 15    ELECTRONIC     MAIL                                                                 GRS 20, 104

13 16    WEB RECORDS

         a	      Web Content Records     All matenal available on FDIC's website

                 Review annually and delete/destroy when superseded, obsolete, or no longer needed for the
                 conduct of agency busmess Maintain quarterly snapshots and destroy when 10 years old
                 In the event system changes are encountered, the content, as well as quarterly snapshots
                 must be migrated to ensure continuous access to information

         b	      Web Management and Operations Records Documents created or received In the
                 development, desiqn, Implementation, operation, and maintenance of FDIC's website

                 Destroy/delete when superseded or obsolete   Maintain quarterly snapshots and destroy
                 when 10 years old In the event system changes are encountered, the Site, as well as
                 quarterly snapshots must be migrated to ensure continuous access to information




seaton   1, Admmtstretton and Management	                                                             Page 15
FDIC	 RECORDS RETENTION AND DISPOSITION                            SCHEDULE                               xxxx
                                                                             Please disregard previous ednions



14 1	   REPORTS TO CONGRESS

        Includes all FDIC management reports to Congress      GRS 16, 14d excludes those types of reports
        submitted directly to Congress

        a	      Chief Financial Officer Act (CFOA) report Annual management       report to Congress as
                required by the Chief Fmanoal Officers' Act of 1990

                PERMANENT Cut off at end of the reporting penod        Transfer off site 5 years after cutoff
                Offer to NARA 10 years after cutoff

        b	      Semi-annual Report to Congress FDIC management response that accompanies the Office
                of the Inspector General Semiannual Report to Congress

                PERMANENT Cut off at end of calendar year       Transfer off site 5 years after cutoff     Offer to
                NARA 10 years after cutoff

        c	      Reports on a vanety of subjects that various Units of the FDIC are required to transmit to
                Congress

                Cut off at the end of each Congress Transfer to the FDIC Library Services Section for
                reference 10 years after cutoff Destroy when no longer needed for reference

142	    PUBLICATIONS

        Publications pertaining to banking informational services, FDIC news and consumer news, statistical
        data published for dtstnbution to banks, news media, and the public

        a	      Record set

                PERMANENT Transfer off site when 5 years old       Offer to NARA when 10 years old

        b	      Working papers and background matenals

                Destroy 6 months after final action on project report or 3 years after completion of report If
                no final action was taken

143	    PUBLIC INFORMATION         CENTER DOCUMENT         FILES

        Publications and documents pertaining to banking informational services, and analytical and
        statistical data published for distnbutron to banks, news media, and the public Collection
        Includes, but IS not limited to, FDIC and bank operational data, RTC histoncal reports, rules
        and regulations, charts and booklets, annual reports and studies, consumer information,
        and Similar matenal

        PERMANENT Cut off and retain on-site until no longer needed for reference or until
        documents are Imaged and venfied Offer to NARA 15 years after cutoff

secaon 1, Admuustretton   and Management	                                                                Page 16
FDIC RECORDS RETENTION AND DISPOSITION SCHEDULE	                                                         XXX)(
                                                                               Please dtsreqerd previous edmons


144	    AVAYA CALL MANAGEMENT            SYSTEM

        Call Center incoming call operations statistics, real-time and historical

        Destroy when 3 years old

145	    WITNESS

        Telephone/online call quality rnorutonnq system which randomly records incoming telephone
        calls and captures keystrokes by call center specialists

        Destroy	 when no longer needed for reference

14 6	   SPECIAL EVENTS RECORDS

        Documents and memorabilia pertaining to special events sponsored by the Corporation,         such as the

        FDIC 50th Anniversary Celebration Items may Include proposals, guest lists, public responses,
        advertisements, and promotional Items

        Destroy when no longer needed for reference




        P-5Rf'4ANEPU Offer to r~ARA wllell sopelseded 6r ebsolete

14 8	   PUBLIC RELATIONS         FILES

        Financial Institution Letters sent to selected institutions announcing new quidehnes, reporting
        requirements, policy statements, and proposed and adopted regulations, news/press releases
        containing announcements Issued for distribution to the news media and the public, and speeches
        and Congressional testimony of the Chairman and other personnel testifying on behalf of the
        Corporation

        a	       Record copy

                 PERMANENT Cut off files every 5 years and transfer off site        Offer to NARA when 10 years
                 old




Section 1, Administration   and Management	                                                           Page 17
FDIC RECORDS RETENTION AND DISPOSITION SCHEDULE	                                                           XXX)(
                                                                                Please dtsreqsrd previous ednions



         b       All other copies

                 Destroy when 10 years old or when no longer needed for reference

14 9     SPECIAL CASE RESEARCH FILES

         Special or one-time compilations of records, speeches, news releases, and other documentation
         involving major FDIC cases or other Significant or precedent setting events

         PERMANENT      Cut off files every 10 years and transfer off site   Offer to NARA when 20 years old

14 10	 CONGRESSIONAL          CORRESPONDENCE           CASE FILES

         a	      Congressional and White House correspondence,        Signed by the Chairman of the FDIC,
                 regarding a legislative or public policy Issue

                 PERMANENT Cut off files at end of every second Congress and transfer off site          Offer to
                 NARA when 10 years old

         b	      Congressional and White House correspondence Signed by the Director, Office of Legislative
                 Affairs (OLA) or Regional Directors Includes, but IS not limited to, the followmq rnqumes
                 from Members of Congress on behalf of constituents and referrals by the White House of
                 citizen mall addressed to the President Files may also Include Incoming correspondence,
                 hard copies of logging information, and review abstracts

                 Destroy	 at end of every second Congress

1411	    CONGRESSIONAL        HEARING AND TESTIMONY             FILES

         Files on Congressional hearings In which the Chairman and other FDIC personnel participate,
         including FDIC statements, both oral and written, statements of other parncipants, hearing
         transcripts, correspondence, and Internal memoranda

         Review at the end of each Congress and destroy when no longer needed for technical reference

14 12	   CONGRESSIONAL        BILL TRACKING

         Tracks congressional legislative activity and allows the OLA to track bill progress, analysis, and data
         through a shared database

         Cut off files at the end of every second Congress     Delete when superseded or obsolete

14 13	 CONGRESSIONAL          HEARING TRACKING          SYSTEM

         An on-line database of information on congressional hearings and testimony given at hearings by
         FDIC officials The application ISa system of record for the positions that the FDIC has taken



Section	 1, Admuustretton and Management                                                                Page 18
FDIC RECORDS RETENTION AND DISPOSITION                              SCHEDULE	                               xxxx
                                                                               Please dtsreqerd prevtoos ednions


        publicly on Issues Informational Items Included In this database are date, subject, witness, and
        related legislation and ISthe full text of oral and written FDIC testimony provided at the hearing

        Delete when superseded or obsolete

1414	   CHAIRMAN'S      AND CONGRESSIONAL           CORRESPONDENCE          SYSTEM

        Tracks congressional correspondence addressed to the FDIC The system provides an assignment
        sheet for dissemination to the action office, three reports, a control list by due date, and a control
        list of all pending correspondence

        Delete when superseded or obsolete

1415    RTC CONGRESSIONAL          CORRESPONDENCE          MANAGEMENT        SYSTEM

        This system enables the FDIC OLA to retrieve data on correspondence handled by RTC Office of
        Government Relations In use from 1989 to 1995, the system provides reports as needed by
        subject, author, member of Congress, date, etc

        Cut off at end of calendar year Destroy when 15 years old

1416	   CONSUMER      CREDIT REPORT REQUESTS

        Record of requestor, debtor/consumer researched and supervisory approval of credit report
        requests handled by FDIC Library staff

        Destroy when 2 years old

14 17	 LIBRARY ELECTRONIC          DATABASES

        Databases related to the Library's online catalog, circulation records, financial records, credit
        report searches, database password users, and serials routing system

        Erase data when obsolete, or when no longer needed for reference

15 1    EMEREiENCY PREPAREBNESS                                                               €iRS 18 !tel iis 26,
                                                                                              27,28,29
16 1    IDENTIFICATION       CARD FILES

        a	      Employee Identification credentials including cards, badges, photographs,      visrtor passes, and
                other Identification credentials

                Cut off when employee separates, transfers, or retires     Transfer off site 2 years after cutoff
                Destroy 5 years after cutoff




section 1, Admmtstretion and Management	                                                               Page 19
FDIC RECORDS RETENTION AND DISPOSITION                              SCHEDULE	                               XXX)(
                                                                               Please dtsreqerd previous   edtttons


        b	       Contractor Identification credentials mcludmq cards, badges, photographs,      VIsitor passes and
                 other Identification credentials

                 Cut off	 at termmation of contract   Destroy 2 years after cutoff

16 2    PERSONNEL SECURITY	                                                                    GRS 18, Iteffis 1,
                                                                                               2, 3, 4, 5, 6, 7, 21,
                                                                                               22, 23, 24

16 3    PllYSICAl SECURITY	                                                                    GRS 18, Item~ 8,
                                                                                               9, 10, 11, 12, 13,
                                                                                               14, 15, 16, 17

171	    HEALTH UNIT CONTROL FILES

        Cumulative register of VISits to the various health units nationwide and the occupational     health and
        well ness services rendered

        Destroy when 3 years old

17 2	   INDIVIDIIAI       EMPLOYEE HEAL.:rHAND EMER.GENCY CONTACT                              GRS 1, 2113


'173    STATISTICAL 5U.04ARIE5                                                                 GRS 1, 22

174     WATER AND INDOOR QUALITY REPORTS

        Results of dnnkmq water testmg and mdoor air quality evaluations of all FDIC occupied butldmqs,
        owned and leased

        Retam records as long as FDIC owns or leases buildmq        Destroy 30 years after date of test or when
        no longer needed for litigation, whichever IS sooner

17 5	   HEALTH AND SAFETY INSPECTION              RECORDS

        Records of documented health and safety hazards deterrruned dunnq the course of physical
        mspections of FDIC occupied buildmqs, owned or leased

        Destroy	 when facihtv IS no longer owned or leased by the Corporation

17 6	   WORKER COMPENSATION             (OWCP) FILES

        Includes forms for notification of mjurv, Illness, claims, case number cards and other related forms,
        and transmittal     letters

        Destroy	 10 years after settlement of claim

Section	 1, Admmtstretton     and Management                                                               Page 20
FDIC RECORDS RETENTION AND DISPOSITION                                 SCHEDULE                              xxxx
                                                                                 Please dtsreaerd previous editions


HI 1    PROI'ERTV     PASS FILES                                                                 GRS 18, 12

18 2    SURPLUS PROPERTY CASE FILES

        Case files on surplus personal property, compnsmq Invitations, bids, acceptances, lists of matenals,
        evidence of sales, and related correspondence   This Item covers all transactions, regardless of the
        dollar value

        Cut off at end of year   In   which sale closed   Destroy 6 years and 3 months after cutoff

18 3    ACCOYNTABLE         PROPERTY INVENTORY            FILES                                  €iRS 3, 9




section 1, Administration   and Management                                                                Page 21
FDIC RECORDS RETENTION AND DISPOSITION SCHEDULE                                                                xxxx

                                                                                   Please dtsreqerd previous edittons


20 1      OFFICIAL PERSONNEL FOLDERS                                                              GRS 1, 1s

:20 2     SUPER'IISOR     AND OTIIER DUPLICATE PERSONNEL FILES                                    GRS 1, 18

20 3      TEMPORARY INDI\'IDUAL          EMPLOYEE RECORDS                                         6RS 1, 10

20 4      STATISTICAL     REPORTS AND SUMMARIES                                                   GRS 1, 16

205       STAFFING TABLES

          Contains staffing requirements for each division and office   In   the Corporation

          Cut off when superseded by new assumptions and analyses            Destroy 10 years after cutoff

21 1      MERIT PROMOTION CASE FILES                                                              6RS 1, 32

21 2      OFFERS OF H4PLOn4ENT           FILES                                                    GRS 1, <I

213       INTER'JIE""J RECOR9S                                                                    6RS 1, 8

21   <I   CERTIFICATES OF ELIGIBLES FILES                                                         GRS 1, 5

21 5      APPLICATION      FOR EMPLOYMENT FILES

          Applications (including OF-612, resumes, and any other application format) that the Corporation
          develops or uses for unique Jobs with specialized requirements and related records, but EXCLUDING
          records relating to appointments requmnq Senatonal confirmation and applications resulting In
          appointment which are filed In the OPF

          ii.                                                                                     6RS 1, 331

          b       Excepted Service Applications

                  Destroy 180 days after notification of selections or other action

22 1      l:I.S. OP~4 POSITION CLASSIFICATION          AN9 9ESCRIPTION            FILES           GRS 1, 7

22 2      POSITION     19ENTIFICATlON       STRIPS                                                GRS 1, 11

22 3      SA-'/INGS BOND FILES                                                                    6RS 2, 14

22 4      PAYROLL DEDUCTION AUTIIORIZ:ATIONS                                                      GRS 2, Iteffis 13,
                                                                                                  15, 16, 17 & 18

22 5      PAYROLL CIIANGE FILES                                                                   GRS 2, 23


          section 2, DIVIsIon of Adrnuustration                                                              Page 24
FDIC RECORDS RETENTION AND DISPOSITION                                 SCHEDULE	                                xxxx
                                                                                 Please disregard previous editions



22 G    INDIVID"AL       EARNINGS SLIIZS                                                            GRS 2, 1

23 1    TIME AND ATTENDANCE RECORDS                                                                 GRS 2, Ueffls 7, 8, 9

24 1    EMPLO¥EE       RECOGNITION,       AWARDS,       AND INCENTI\'ES                             GRS 1, 12

2'4 2   FINANCIAL      DISCLOSURE       REPORTS                                                     GRS 25, 2

24 3    ETHICS REPORTS

        a       Ethrcs Transaction Journal        BI-weekly report generated from the Hub Table that consists of
                personnel changes

                Destroy when 2 years old

        b       Annual report of all employees required to file a Confidential Disclosure Report

                Destroy when 6 years old

25 1    COMMERCIAL       FREI6tt'f    =fRANSPOIN"ATION         FILES                                GRS 9, la

25 2    NON COMMERCIAL TRA'.·EL REIMBURSEMENT                     FILES                             GRS 9, 3

26 1    'fR"AININ6     RECORDS CASE FILES                                                           6RS 1, 29

        a       Employee case, lies Includes copies of individual training plans, course records, requests,
                authonzations, a d completed forms

                Transfer to Offioal P sonnel File at employee separation

        b       Federal Financial Institutions     Examination Counsel (FFIEC) Instructor   files

                Destroy when 1 year old or when no longer needed for reference, whichever IS later

26 2	   COURSE EVALUATIONS            AND CRITIQUES

        Written evaluations by students, Instructors, or administrators    regarding course quality and/or
        individual performance

        a	      Course critiques covering the effectiveness of course matenal and teaching methods
                employed

                (1)	     Non Continuing Professional Education/Continuing       Education Units (CPE/CEU) credit

                         Destroy when 6 months old



        Sect/on 2, DIVISIon of   Admuustrstton	                                                             Page 25
FDIC RECORDS RETENTION AND DISPOSITION                          SCHEDULE	                             xxxx
                                                                           Please dtsreqsrd previous edtttons


               (2)	    CPEjCEU credit

                       Destroy when 5 years old

       b       Evaluations of student performance forwarded to appropriate   regional or headquarters office

               (1)	    Non CPEjCEU credit


                       Destroy when 1 year old


               (2)	    CPEjCEU credit

                       Destroy when 5 years old

       c       Course evaluation ledger summary of critiques prepared by course administrators

               (1)	    Non CPEjCEU credit


                       Destroy when 1 year old


               (2)	    CPEjCEU credit

                        Destroy when 5 years old

26 3   COURSE INSTRUCTIONAL          MATERIAL FILES

       In-house training files containing lesson plans, problem studies, FDIC printed or purchased program
       instruction books, and other materials specific to teaching a course Also Includes vendor material for
       instruction on various software programs

       Destroy when superseded or obsolete

264

       Spec    FDIC exercise desiqned for training bank personnel In all phases of bank management
       Include    anuals explaining how to "play" the game, special program studies, forms, charts, and EDP
       magnetic    pe

       a

                              Offer to NARA when superseded or obsolete

       b




                                                                                                    Page 26
FDIC RECORDS RETENTION AND DISPOSITION                                  SCHEDULE	                            XXX)(
                                                                                  Please disregard previous edtttons



26 5	   BANK EXAMINER AND FINANCIAL INSTITUTION                       SPECIALIST COURSE CORRESPONDENCE
        AND SUBJECT FILES

        Course correspondence and training files on bank examiners and financial institution specialists

        a	      Materials on trainees   In   the FDIC Bank Examiner and Financial Institution     Speciahst Training
                Program

                Destroy when no longer needed for reference

        b       Student records on the Graduate School of Banking


                Destroy when no longer needed for administrative         use


        c       Course listings Issued annually


                PERMANENT Offer to NARA           In   5 year blocks when 5 years old


26 6	   BANK EXAMINER AND FINANCIAL INSTITUTION                       SPECIALIST CANDIDATES ASSESSMENTS
        CASE FILES

        Assessments of individual progress In acqumnq skills necessary to function as a Commissioned Bank
        Examiner or Commissioned Financial Institution Specialist

        a       Record copy of successful candidate assessment

                Destroy 1 year followmq successful assessment

        b       Other copies

                Destroy 1 year after the candidate has obtained a commission

        c	      Unsuccessful candidate assessments

                Destroy 1 year followmq the candidate's successful assessment or when the candidate leaves
                the Corporation's employ, whichever IS sooner

26 7	   SLIDE AND MOTION PICTURE FILMS, SOUND RECORDINGS,                          AND VIDEO RECORDINGS

        Duplicate documentary and/or educational films produced outside of the Corporation and acquired
        through purchase or lease, magnetic sound recordings purchased or produced by the FDIC, and
        Videotape records produced, purchased, or leased by the FDIC for training of Corporation employees




        section 2, DIVIsIon of Admuustretion	                                                             Page 27
FDIC RECORDS RETENTION AND DISPOSITION                               SCHEDULE                                 xxxx
                                                                                Please dtsreqsrd previous    edtttons


        a       Record sets

                PERMANENT      Offer to NARA In 5 year blocks when 5 years old

        b       Commercially produced

                Destroy when no longer needed

268     AUDIOVISUAL      FINDING AIDS AND PRODUCTION                FILE

        Finding aids used for the proper Identification and retneval of audiovisual records and production files
        on the onqm, acqursmon, release, and ownership of the production

        PERMANENT      Offer to NARA when 5 years old (along with appropnate audtovisual records) In 5 year
        blocks

26 9    AUTOMATED TRAINING          SYSTEM (ATS)

        An electronic database designed to track and schedule FDIC sponsored training courses (both In-house
        and vendor), maintain attendance lists, manage training class waiting lists, track training related
        information about on-site personnel, and maintain hrstoncal records of training completed by
        employees The system produces monetary quarterly and annual reports

        Destroy when 5 years old or 5 years after completion of specific training program

26 10   INTERNAL AND EXTERNAL JOB ROTATION PROGRAM FILES

        Files containing correspondence, applications, and information      on the program and program
        partio pants

        Destroy when 3 years old

27 1    LABOR ~4ANAGEMENT RELATIONS RECORDS                                                    GRS 1, 28

27 2    EQUAL EMPLOYMENT OPPORTUNITY                 FILES                                     GRS 1, 25

27 3    GRIEVANCE, DISCIPLINARY             AND ADVERSE ACTION FILES                           GRS 1, 30

27 4    MWOB CONTRACT CASE FILES

        Contains all documentation from sohotation to award of contract Copies of statement of work, e-mail
        correspondence, background papers, and copies of the Request for Proposal

        Cut off at completion of contract    Destroy 7 years after cutoff




        Section 2, DIVISIon of Admtmstretton                                                                Page 28
FDIC RECORDS RETENTION AND DISPOSITION                              SCHEDULE	                             xxxx
                                                                               Please dtsreasrd prevtous edittons


28 1	   EMPLOYEE BENEFIT FILES

        a       FDIC Life Insurance Files

                Includes correspondence, forms for enrollment, designations of beneficiary, claims, conversion
                notices, and certifications of Insurance

                Place In TCC file when employee separates       Destroy Life Insurance files 5 years after
                separation

        b	      FDIC Dental and VIsion Insurance Files

                Includes claim forms and termination   of coverage reports

                Place In TCC file when employee separates       Destroy 2 years after employee's date of
                separation


        c       FDIC Savings Plan Files


                Includes forms for enrollment, changes/cancellations,    lump sum redemptions,      hardship
                withdrawals, and loans

                Place In TCC file when employee separates       Destroy 10 years after employee's date of
                separation


        d       Retirement and Death Case Files


                (1)	    Reports, registers or other control documents, and other records relating to
                        retirement, such as SF-2807 or equivalent, and documents relating to death cases
                        Incorporate health and life Insurance files If covered by FDIC plans

                        Place In inactive file after employee retires   Retire to FRC when volume warrants
                        Destroy 10 years after date of transfer

                (2)	    CSRS/FERS related records      (Not Included In d(l)   above)

                        Destroy upon receipt of offtcral OPM acceptance of annual summary

                (3)	    Correspondence, memoranda, annuity estimates, and other records used to assist
                        retmnq employees or survivors claim Insurance or retirement benefits

                        Destroy	 1 year after claim ISsettled




        section 2, DIVISIonof Admunstretion	                                                            Page 29
FDIC RECORDS RETENTION AND DISPOSITION                          SCHEDULE                                   XXX)(
                                                                           Please   dtsreqerd previous    ednions


282    FDIC SAVINGS      PLAN DOCUMENTS

       a       Participant account records, and onqinal constituent documents

               Cut off at end of agreement Destroy 10 years after cutoff

       b       Testing, Informational, and committee matenals

               Destroy when 10 years old

28 3   CORPORATE BUYOUT RECORDS

       a       Policy and program development files

               Destroy when superseded or obsolete

       b       Application and supporting documentation

               Destroy 1 year after final payment




       section 2, DIVISIon of Admmtstrstion                                                              Page 30
FDIC RECORDS RETENTION AND DISPOSITION                                                          SCHEDULE	                                        XXX)(
                                                                                                               Please dtsreqerd previous        edtttons


30 1	       NON-PROCUREMENT                      REQUISITION            FILES

            Contains requismons and requests for services that do not directly result                                  In   a procurement action

            a	          ReqUiSitions for non personal services such as duplicating,                                                GRS 3, IteAls 7 & 8
                        gra~""e5, ete , aRe!fef 5t1~plies aRe!e~tJI~AleRt freAl CtlfFeRt Inventery

            b           Re~t1ests fer btJIldlRg and e~tJlPAleRt AlalRteRaRce services                                              GRS 11, 5

31 1        TElEPllONE           RECORDS                                                                                           GRS 3, 10

3t-2        CAll     DETAIL RECORDING (CDR)                                                                                        GRS 12, 4

31 3        MESSENGER SERVICE FILES                                                                                                GRS 12,1

31 4        MAILING LISTS                                                                                                          GRS 13, .q

31 5        POSTAL AND MAIL CONTROL FILES                                                                                          GRS 12, &

32 1        RESERVED

33 1        GRAPHICS AND PRINTING JOB CONTROL REGISTER                                                                             GRS 13, 3

33 2        GRAPHICS AND PRINTING lOB flb6S                                                                                        GRS 13, 2

34 1        PARI(ING CREDENTIALS                                                                                                   GRS 11,.q

~344.;J.2--II".t4110::1=TRO:)lR~'1~EHH:J4ICgL~E~~\II,1IAA=IH!I'\I=IfT~E~NhtAk-I\NH=C;EE-lAWlN"D~O.pP~ERARA=TAIH:OHNII-FlFIH:L:EE5S-----GRS-IO

35 1	       SPACE MANAGEMENT AND FACILITY SURVEY AND INSPECTION                                                        FILES

            Pertain to the allocation, utilization, and release of space under Corporation control
            Includes correspondence, reports, and buildmq plan files used In space planning,
            assignment, and adjustment Also contain reports of surveys and inspection of FDIC
            facrhties conducted to ensure adequacy of protective and preventive measures taken
            against hazards of fire, explosion, and accidents, and to safeguard information and
            faohties against sabotage and unauthorized entry

            Destroy when facility           IS   no longer owned or leased by the Corporation

35 2        OFFICE LEASE FILES                                                                                                      GRS 3, 3




section	 3, DIVISIonof Admunstretton                                                                                                            Page 31
FDIC RECORDS RETENTION AND DISPOSITION                                  SCHEDULE	                             XXX)(
                                                                                    Please dtsreqerd previous edmons


35 3	   CONSTRUCTION DRAWINGS, SCHEMATICS, FLOOR PLANS, AND OPERATIONAL AND
        MAINTENANCE PROCEDURES

        Transfer off site when 3 years old     Destroy when no longer needed for reference

36 1    INVENTORY STOCI( AND REQUISITION                    FILES                                 GRS 3, 8 & 9

37 1    CONTRACT CASE FILES

        Includes contracts, procurement reqursrtions, purchase orders, and bond and surety records, including
        correspondence and related papers pertaining to award (e g , Request for Proposal (RFP), Statement
        of Work (SOW), winning offeror's proposal package, and contract administration documents)

        a	      Contracts of $100,000 or less and construction        contracts under $2,000

                Destroy	 3 years after final payment

        b	      Contracts over $100,000 and construction contracts $2,000 and over

                Destroy	 6 years and 3 months after final payment

372	    FDIC BANKCARD PARTICIPATION                FILES

        Contains material relating to the FDIC's participation In the GSA-sponsored Commercial Credit Card
        Program Includes information relating to initial program set-up, policy, procedures, delegations of
        authority, purchase limits, individual account detail, and purchase reports Also contains
        correspondence, forms, and program literature

        Cut off at end of calendar year      Destroy 5 years after cutoff

373	    SOLICITATION       OF UNSUCCESSFUL PROPOSALS

        Includes unsuccessful proposals submitted      In   response to speciflc solicitations

        19      Plop05el5 fel avoalds 91eatel tl iail $25,000


                Dcs~Fey 1 ycaF aA::cr ~l9c sate ef a...... 01 final paYFfleAt 'A'RIERCyer IS la~cF

                                                       ard                     j




        b                  ~r
                r>~Q~Qgi!llg awaFels $25,000 01 lesS"





section ~ DIVISIonof   Admunstretton	                                                                      Page 32
FDIC RECORDS RETENTION AND DISPOSITION                                  SCHEDULE	                              xxxx
                                                                                   Please dtsreqerd prevtous edittons


40 1	      PRINCIPAL     FDIC FINANCIAL RECORDS

           Those accounting records which document, often In summary form, the Corporation's accounting
           transactions, expenditures, budget, periodic statements of financial status, and accounting policy
           and practice

           a	      Corporation annual budget, staffing tables, and accounting policy files

                   PERMANENT Cut off at end of budget year          Transfer off site 5 years after cutoff    Offer
                   to NARA when 20 years old

           b                                                                                       GRS 7,2

40 2       FINANCIAL SYSTEMS

           New Financial Envrronrnent (NFC), and Reports Delivery System (RDS)

           Cut off	 data monthly   Destroy when 10 years old

4~   ;3	   COLLECTION      AND DISBURSEMENT          FILES                                         GRS 6, 4

10 1	      REPORTS OF FINANCIAL STATUS                                                             GRS 6, 113

405	       BANKING TRANSACTION           AUTHORIZATION         FORMS

           Forms executed by FDIC staff to enable access to various banking transactions     Includes copies
           of signature cards authorizing ACH transactions, check signatures, outgoing Wires, secunties
           safekeeping instructions on behalf of the FDIC In ItS corporate capacity and the FDIC as receiver,
           and other transactions with a financial institution

           Cut off file at end of agreement with mdivrdual financial institution    Destroy 5 years after cutoff

411	       BUDGET BACKGROUND, ESTIMATES, AND JUSTIFICATION                         FILES

           Budget estimates, Justifications, and working papers

           Cut off	 at end of budget period   Destroy 5 years after cutoff

41 2	      BUDGET REPORT FILES AND ACCOUNTING                  RECORDS

           Reports produced by the financial system NFE that document, often In summary form, the
           Corporation's accounting transactions, expenditures, budget, and penodic statements of financial
           status Reports Include, but are not limited to, Status Reports, Program Reports, Monthly



section	 4, DIVISIon of Fmance                                                                               Page 34
FDIC RECORDS RETENTION AND DISPOSITION                                SCHEDULE	                              xxxx
                                                                                 Please dtsreqsrd previous edittons



        Expense Tnal Balance Reports, Penod Spread Reports, Summary of Corporate Programs Reports,
        and Expense Type Reports

        a	       Corporate-level executive summary reports and accounting records surnrnanzmq cash
                 receipts and disbursements

                 Destroy when 10 years old

                 AAAt,JalFe138rts(eng of bl:lgget@g year), and all oth€lr r€lports              G~S 5, ~a & 13

41 3	   BUDGET SOURCE DOCUMENT                FILES                                             6RS 20, 2a

42 1	   EXPENDITURE        fiLES                                                                (;R5 7, 41

43 1	   TAX EXEMPTION         FILES                                                             GRS 3, 12

44 1	   CORPORATE,       RECEIVERSHIP,        INVESTMENT,     AND FUNDS MANAGEMENT               FILES

        Records and reports documenting the Investment of Corporate and Receivership funds In U S
        Treasury secunties, the borrowing of funds from the U S Treasury or Federal Financing Bank,
        and the lending of funds to receiverships

        Cut off	 at close of fiscal year   Destroy 6 years and 3 months after cutoff

~~ 2	   REAL PROPERTY ACQUISITION               FILES                                           GRS 3, 1

45 1	   RESERVED

46 1	   RESERVED

47 1	   INSURANCE       ASSESSMENT CASE FILES

        Records that document deposit and FinanCing Corporation (FICO) assessment payments from
        Insured depository institutions

        a	       Certified statements from banks for assessments, related correspondence, audit reports,
                 Insurance appeal files, and records documenting errors In call reports that affect
                 Insurance assessments Also Includes agreements, correspondence, and reports covenng
                 FDIC's collection of FICO assessments

                 Destroy when 5 years old




Section 4, DIVISion of Fmance	                                                                            Page 35
FDIC RECORDS RETENTION AND DISPOSITION                              SCHEDULE	                           XXX)(
                                                                              Please dtsreqsrd previous edmons


        b	      Closed bank assessment files


                Destroy 5 years after bank ISclosed


        c       Assessment deosrons and assessment appeals committee files

                Destroy when superseded or obsolete

        d	      Federal Deposit Insurance Corporation (FDIC) and FICO Memorandum of Understanding
                (MOU) of FDIC as collection agent for FICO assessments

                PERMANENT Cut off data annually         Transfer off site when 10 years old   Offer to NARA
                when 20 years old

47 2	   INSURANCE      APPEAL FILES

        Contain	 letter request or "green sheet," and acknowledgement letters If appropnate, Case
        DIscussion Memos, Regional Office Correspondence, DSC Division Director's Response,
        Supervision Review Committee case, and Executive secretary's Response

        Cut off at end of 'calendar year   Destroy 5 years after cutoff




Section 4, DIVIsIon of Fmance	                                                                       Page 36
FDIC RECORDS RETENTION AND DISPOSITION                                SCHEDULE	                             xxxx
                                                                                 Please disreqerd previous edntons



50 1	     FDIC LEGAL OPINION            FILES

          Memoranda and correspondence on opinions developed on various legal Issues           Includes
          program area(s) subject/topic files prepared by the Legal Drvrsion

          a        Final copies of the Legal DIVISion's opmions, but without related documentation     (see b
                   below)

                   Destroy when superseded or obsolete

          b        Work papers used to write final opinions

                   Destroy 1 year after date of opinion

50 2	     AGENTS FOR SERVICE OF PROCESS FILES

          Records document appointment of FDIC bank examiners to receive legal documents on behalf of
          the Corporation In states, territories, and JUrisdictions In which a depository institution IS located

          Original	 record set     Hold current and preceding agents records   Destroy prior agents records

50 3	     LEGAL INFORMATION             MANAGEMENT        SYSTEM (UMS)

          Automated system for tracking hours and work associated with the Legal DIVISion's staff time on
          FDIC legal matters

          Destroy	 when superseded, Incorporated Into a data warehouse, or obsolete

51 1	     PROPOSED LEGISLATION               CASE FILES

          Document preparation and processing of legislation proposed by or In the Interest of the
          Corporation

          a	       Drafts of legislation, reports to committees on Introduced legislation, and comments on
                   legislative proposals Includes final comments regarding proposed legislation by the
                   Chairperson and Director, Office of Legislative Affairs (OLA)

                   (1)	        Legal DIVISionfiles

                               PERMANENT Cut off when proposal ISenacted Into law or killed Transfer off site
                               5 years after cutoff Offer to NARA 10 years after cutoff




section   5, Legal DIVISIon	                                                                              Page 37
FDIC RECORDS RETENTION AND DISPOSITION                                       SCHEDULE	                            xxxx
                                                                                        Please dtsreqerd previous ednions


                  (2)	        Office of Legislative Affairs files

                              PERMANENT Break files at the end of every second Congress and transfer
                              off site Offer to NARA when 10 years old

                  (3)	        Other~gram       copies

                                            retention and disposmon mstructions
                              See 10 2b"ro.z..

        b         Copies of bills of Interest to the FDIC, "tracking sheets," and bill summaries (analysts)

                  Cut off at end of legislative session       Destroy after 3 sessions

        c	        Related material including, but not limited to, background materials, testimony and
                  committee reports drafts of legislation, reports to committees on Introduced legislation,
                  comments on leqisl tive proposals, and analyses of proposed and/or final legislation

                  See 10 2b for retentto       and   dtsposttton tnstructtons

512	    LEGISLATIVE        HISTORY        FILES

        Files relating to the legislative history of bills of Interest to the FDIC May Include drafts, copies of
        bills, copies of hearings, committee reports, Congressional Record entries, and related historical
        material

        Review	 at end of each Congress If OLA has no continuing need for the records when they are
        10 years old, transfer them to the FDIC Library and Public Information Center for reference
        purposes Destroy when no longer needed for reference

52 1	   EMPLOYMENT            OF COUNSEL FILES

        Records document the employment of local counsel to represent the FDIC dunnq open or closed
        institution proceedings

        Cut off at termination      of employment contract          Destroy 1 year after cutoff

522	    ATTORNEY         FEE BILL LOG

        Includes information on the vendor name, institution name, mvoice date, mvoice number, and the
        date the mvoice was received Also contains information on the Fee Bill Memorandum number,
        PAV number, fees requested, expenses requested, total amount requested, dates approved by




seaton	 5,   Legal Dtvtston                                                                                     Page 38
FDIC RECORDS RETENTION AND DISPOSITION SCHEDULE	                                                                    XXX)(
                                                                                       Please dtsreqsrd previous edmons



        field staff, dates sent to Washington, and dates sent to the Drvrsron of Finance for payment                 Log
        may be In hard copy or electronic

        Destroy when superseded or obsolete

52 3	   ATTORNEY FEE BILL PACKAGE FILES

        a          Attorney Fee bill from outside counsel, copy of Fee Bill memorandum              and Payment
                   Authonzation Voucher (PAV)

                   Cut off at end of calendar year       Transfer off site 3 years after cutoff     Destroy 10 years
                   after cutoff

        b          Status reports

                   Destroy when superseded by a new status report

        c          Other copies of a and b above,        In   either hard copy or electroruc

                   Destroy when 1 year old or when no longer needed for reference, whichever               IS   sooner

53 1    RESERVED

54 1    RESERVED

55 1    INSURED DEPOSITORY OPEN INSTITUTION                          LITIGATION CASE FILES

        Correspondence, motions, briefs, memoranda, pleadings, and other related documents for federal
        or state court cases mvolvmq open institutions and corporate matters, or litigation

        a	         Litigation Pleading Files consist of documents filed With the courts, including motions,
                   briefs, court orders, decrsions, correspondence, and other documents related to the
                   cases

                   Cut off when matter    IS   closed   Transfer off site 5 years after cutoff    Destroy 20 years
                   after cutoff

        b	         Litigation Discovery Files consist of documents produced by or for the FDIC dunnq
                   litigation and other miscellaneous attorney work products

                   Cut off after final termination of litigation      Destroy 1 year after cutoff




Section 5, Legal   DIVISIon	                                                                                      Page 39
FDIC RECORDS RETENTION AND DISPOSITION SCHEDULE	                                                              XXX)(
                                                                                   Please dtsreqerd previous edttions



        c       Grand Jury Subpoenas

                (1)	        Information    copies of subpoenas and response letters

                            Cut off file at end of calendar year   Destroy 1 year after cutoff

                (2)	        Document Production Files containing subpoenas, responses and other pertinent
                            materials, including copies of documents submitted to the grand JUry

                            Retain for the life of grand JUry or 5 years, whichever IS sooner


        d       Third Party CiVil Subpoenas


                (1)	        Information    copies of CIVilsubpoena responses

                            Cut off when case IScompleted      Destroy 1 year after cutoff

                (2)	        Files containing subpoenas, responses, court papers, and copies of documents
                            related to CIvil subpoenas

                            Cut off when case IScompleted      Transfer off site 7 years after cutoff   Destroy 20
                            years after cutoff

        e	      AmiCUSCUriae

                (1)	        Miscellaneous requests for FDIC amicus participation      and negative responses
                            thereto

                            Cut off at the end of calendar year    Transfer off site 3 years after cutoff   Destroy
                            5 years after cutoff

                (2)	        AmiCUSParticipation files containing pleadings, letters, memoranda, and other
                            miscellaneous documents pertaining to private cases where FDIC has filed
                            amicus briefs

                            Cut off when case IScompleted      Transfer off site 7 years after cutoff   Destroy 20
                            years after cutoff

552	    INSURED        DEPOSITORY         CLOSED INSTITUTION       LITIGATION      CASE FILES

        Correspondence, bond claims, court briefs, and other related documents concerning closed
        institutions and court cases involving closed institutions Maintained as case files and arranged
        alphabetically by state, and thereunder by institution




Sectton	 ~ Legal DIVISion                                                                                   Page 40
FDIC RECORDS RETENTION AND DISPOSITION                                    SCHEDULE	                              ><XXX
                                                                                      Please disreqerd previous edmons


        a	       General Litigation and Bankruptcy Files These records consist of Individual sub case files
                 documenting FDIC SUitSbrought against debtors (both individual and business) of the
                 institution being liquidated In some Instances, the SUitSare brought against the
                 Corporation    The sub-case files represent the great majority of the volume of the closed
                 institution legal files

                 Cut off files at termination of SUIt Destroy individual sub-case files 3 years after cutoff,
                 or when no longer needed, whichever IS longer

        b	       Subdrvrsion entitled Bridge Banks, Litigation, Closmq Documents and/or Purchase and
                 Assumption Transaction Materials, Preliminary Matenals, Cnrnmal Proceedings,
                 Termination of Receiverships, and all other records found In the case file except those
                 described In a ,above     At the discretion of representatives of the Legal DIVISion,
                 individual sub-case files described In a above may be selected under this part b

                 PERMANENT Cut off files upon termination           of bank case   Transfer off site when 2 years
                 old Offer to NARA when 20 years old

        c	       Criminal Proceedings Files maintained by defendant name Collection tracks the
                 proceedings from investigation, indictment, tnal, or plea bargain, through sentencing
                 Other individual speofic files address tracing of assets hidden by an mdividual and may
                 Include CIVil litigation Instituted to freeze and repatriate these assets Other files pertain
                 to the enforcement of restitution orders

                 Transfer off site 1 year after CIVillitigation IS completed or 1 year after sentence IS
                 discharged, whichever IS later Destroy 20 years from date of receivership

56 1	   RESERVED

57 1	   FINANCIAL CRIMES ENFORCEMENT NETWORK FILES (FinCEN)

        Files are maintained for speonc asset and background searches for Criminal restitution
        defendants, and for other regulatory purposes They are maintained under the name of each
        mdrvidual or entity Files contain highly sensitive data that Includes personal financial
        information   The file information IS used to attempt to Identify and locate assets that may have
        been hidden by debtors and may Include CIVil litigation to freeze and repatriate these assets

        Cut off after case IScompleted       Transfer off site 2 years after cutoff     Destroy 10 years after
        cutoff

572	    INVESTIGATIONS          CASE FILES

        Collections relate to filing failed financial institution   D&O, bond, and accountant liability claims

        a	       Files, case exhibit books, work papers, and documents compiled In connection With filing
                 failed financial Institution claims and actions of former officers and directors, bond claims,


Section	 ~ Legal DIVISion                                                                                    Page 41
                                                                        •




FDIC RECORDS RETENTION AND DISPOSITION SCHEDULE                                                                 XXX)(
                                                                                    Please disregard previous editions



                   and accountant liability claims   Also Includes Criminal coordinator files, Criminal referrals,
                   and supporting documentation

                   Destroy 10 years after case or matter IS closed, settled, or final Judgment entered

        b          Imaged or electronic media copies of a above

                   Destroy when 5 years old or other period established by subpoena, court order, or state
                   law, whichever IS longer

57 3    RESOLUTION-RELATED             CRIMINAL      PROCEEDING       CASE FILES

        Closed bank files which parallel resolution case files maintained for specific Criminal proceedings
        by the name of the institution/defendant    Case files Include, but are not limited to, Criminal
        referrals, general correspondence, pleadings, briefs, transcripts of testimony, restitution and
        forfeiture information, and other case information regarding FDIC claims against debtors where
        parallel Criminal proceedings have been instituted

        Cutoff after case IScompleted      Transfer off site 2 years after cutoff    Destroy 10 years after
        cutoff

574     ALTERNATE        DISPUTE RESOLUTION          CASE FILES

        Contains background information on Issues, statutes, regulations, presentations, and projects
        mvolvinq the Alternate Dispute Resolutions Unit Includes, but IS not limited to, quarterly filings
        from FDIC field offices on the status of disputes attempting settlement through ADR, copies of
        materials distributed at FDIC-sponsored ADR seminars, news and Journal articles, and documents
        on fee information of arbitrators, mediators, and other outside protessionals used In the
        mediation process

        Cut off when matter ISclosed       Destroy 5 years after cutoff

57 5    ASSET RECORDS RESEARCH

        Research compiled from a failed fmancral institution at the order of the FDIC, FBI, DOJ, or other
        governmental agencies In establishment of an acquired asset by the FDIC

        a          Subpoena research for Criminal action or referral

                   Destroy 10 years after case ISclosed/settled or other period established by subpoena,
                   court order, or state law, whichever IS longer

        b          Conversion asset packages and dosmq put back binders




Section 5, Legal   DIVISIon                                                                                  Page 42
FDIC RECORDS RETENTION AND DISPOSITION                          SCHEDULE                             xxxx
                                                                          Please disregard previous edtttons


                Destroy when 6 years old or other penod established by subpoena, court order, or state
                law, whichever IS longer

        c       Imaged media copies of institution records Incorporated Into a and b above

                Destroy when 3 years old or other penod established by subpoena, court order, or state
                law, whichever IS longer




section 5, Legal DIVIsIon                                                                          Page 43
FDIC RECORDS RETENTION AND DISPOSITION                                 SCHEDULE	                             xxxx
                                                                                 Please dtsreqerd previous edtttons



60 1	   BANK CERTIFICATE NUMBERS

        Listing of certificate numbers assigned to institutions that have been Insured by the FDIC

        Destroy when no longer needed for reference

60 2	   MEMORANDA CONCERNING BANK CHANGES

        Special Internal memoranda and histoncal microfilm matenals indicating the vanous
        classes of banks, including branches established that have been Insured by the FDIC

        Destroy	 2 years after microfilm has been Inspected and venfied

60 3	   VIRTUAL SUPERVISORY             INFORMATION       ON THE NET (VISION)

        An umbrella database containing several related systems that provide examiners,
        analysts, other government agencies, and state banking departments easy access to a
        wide vanety of information pertaining to financial institutions

        Cut off data at the end of the calendar year       Destroy when 30 years old or when no longer
        needed for reference, whichever IS longer

61 1    RESERVED

621     PENDING APPLICATION             FILES

        Hardcopy retention instructions for applications from various financial institutions,    including
        Notices of Acqutsition or Control

        a	      Approv d applications

                Transfer to       SC Bank Files In Regional Offices   See 661 for further retention and
                dtspostuon    I


        b       Denied or Withdrawn applications

                Cut off on denial or Withdrawal date       Transfer off site when 3 years old   Destroy when
                10 years old

        c       Denied new bank applications

                Transfer off site when 3 years old      Destroy when 30 years old




section 6, DIVISIon of Supervtston and Consumer Protection	                                               Page 44
FDIC RECORDS RETENTION AND DISPOSITION                                    SCHEDULE                                XXX)(
                                                                                       Please dtsreqsrd previous edttions



622     PUBLIC MERGER/CONSOLIDATION                   FILES

        Files containing copies of non-confidential matenal pertaining to mergers or consolidations                See
        66 2/ State Nonmember Bank Flies for tntormetton on record set materials

        Destroy 6 months from the time the merger        IS   accepted

63 1    ANALYSIS AND MONITORING               FILES

        Reports and other on-line system data used to aid In off site analysis and onsite examination of
        banks and bank holding companies Reports Include Large Bank analysis reports of holding
        companies and Insured commercial banks, Interagency Country Exposure Review Committee
        (ICERC) results, listing classiflcations/desiqnauons and information where applicable, Letters
        detailing Allocated Transfer Risk Reserves (ATRR) requirements, Shared National Credit (SNC)
        results, Bank Holding Company performance reports (magnetic tapes/hard copy reports), Country
        Exposure Lending Survey, and reports (quarterly summaries of country outstanding provided by
        FFIEC, OCC and FRB), and SCOR (Statistical CAMELS Off site Rating) which IS a system for
        required off site reviews as a replacement to Capitalization, Asset Quality, Earnings, and uquiditv
        (CAEL)

        Destroy when no longer needed, superseded or obsolete

63 2    MUNICIPAL SECURITIES          DEALER FILES

        Matenals pertaining to the regulation of bank rnuruopal secunty dealer acnvmes, except
        examination reports The collection Includes card files containing data on bank municipal
        secunties dealers and their representatives and pnncipals

        Review files annually and transfer off site after 3 years        Destroy when 10 years old

63 3    REGISTERED TRANSFER AGENT FILES

        Files Include Form TA-1, registrations, amendments,        exemptions, correspondence,          and summanes
        of active agent and dereqistered transfer agents

        Cut off when agent dereqisters and/or dereqrstration date expires              Transfer off site 3 years after
        cutoff  Destroy 10 years after cutoff

63 4    SUMMARY OF TRANSFER AGENT EXAMINATION                        REPORTS

        a        Sum manes of actlv~ransfer     agent examination        reports

                Transfer to b below ~n        transfer agent dereqrsters

        b        Summanes of dereqrstered transfer agent examination               reports

                Transfer off site when 3 years old      Destroy when 10 years old
section 6, DIVISIon of supervtson   and Consumer      Protecuon                                                 Page 4S
FDIC RECORDS RETENTION AND DISPOSITION                              SCHEDULE	                             xxxx
                                                                               Please disregard previous edttions



63 5	   TRANSFER AGENT STRUCTURE/EXAMINATION                   SYSTEM/ AGENT VIOLATIONS

        All records of examinations conducted by FDIC for the State Authonty If conducted under
        the cooperative examination program for FDIC-supervised, registered transfer agent
        Files Include, but are not limited to, administrative data regarding the exammation,
        examination rating, scope of activities of the transfer agent, IT servicers, existence of
        violations, and review comments

        Cut off when agent ISdereqistered    Transfer off site 3 years after cutoff   Destroy 10 years after
        cutoff

63 6	   SECURITIES     ANALYSIS FILES

        Information pertinent to FDIC Investment appraisal service for bank-held secunties which usually
        are not rated by organizations, such as Moody's and Standard and Poor's

        a	      Credit Reviews - confidential FDIC reports recommending credit-quality classifications for
                municipal obligations   Distributed to examiners for use while evaluating secunties held
                by a bank dunng an examination

                Destroy	 when 10 years old

        b	      Non-FDIC Secunties Publications

                (1)	    Manuals published annually covenng Issues of United States Government,
                        mumopal, and corporate debt

                        Destroy when 10 years old

                (2)	    Vanous audit reports and other published matenals used for analyses

                        Destroy when 5 years old

63 7	   SUMMARY OF FINANCIAL INSTITUTION                INFORMATION TECHNOLOGY (IT)
        EVALUATIONS

        a       Summary of IT examination reports on data centers

                Cut off files at the end of the calendar year Transfer off site 5 years after cutoff
                Destroy 30 years after cutoff or when no longer needed, whichever IS longer

        b       Computenzed summary information taken from a above and placed on an FDIC tape file

                Coded to automatically delete electroruc information    after 10 examinations

section 6, DIVISIon of Supervtston and Consumer Protection	                                             Page 46
FDIC RECORDS RETENTION AND DISPOSITION                              SCHEDULE                               xxxx
                                                                                 Please dtsreasrd previous ednions



        c       Reports and analyses prepared from b above

                Destroy when 2 years old or when no longer needed for reference, whichever IS sooner

63 8    IT WORK PROGRAMS

        Structured work programs for information technology examinations for bank and non-bank data
        centers

        Destroy after receipt of next full-scope work program

639     IT FILES FOR NON-BANK        DATA CENTERS

        Examination reports, correspondence, and other material related to non-bank data
        centers

        Cut off at the end of the calendar year   Transfer off site 3 years after cutoff    Destroy 30 years
        after cutoff

63 10   ANNUAL REPORT OF TRUST ASSETS SYSTEM (ARTAS)

        Database used to process surveys of financial institution trust assets

        Cut off data at the end of the calendar year     Destroy when 30 years old

63 11   DSC MICROCOMPUTER          INVENTORY      FILE

        Database file for each piece of equipment or software which costs over $100

        Destroy when no longer needed for reference       Delete obsolete information      as updated
        information ISadded

64 1    CONSUMER      COMPLAINT      AND INQUIRY       FILES

        Correspondence from individuals regarding complaints or mqumes concerning activities or
        practices of FDIC Insured depository institutions The information IS used to Identify
        concerns of individuals, to manage correspondence received from Individuals, and to accurately
        respond to complaints, inqumes, Views, and concerns expressed by individuals The information In
        this system supports the FDIC regulatory and supervisory functions

        Destroy individual case files when 5 years old provided that no correspondence        has been received
        In the latter of the 2-year period




Section 6, DIVISion of Supervision and Consumer Protection                                               Page 47
FDIC RECORDS RETENTION AND DISPOSITION                            SCHEDULE	                           xxxx
                                                                            Please dtsreaerd previous edmons



64 2	   REQUESTS FOR RELIEF FROM REIMBURSEMENT                  UNDER REGULATION         Z AND TRUTH
        IN-LENDING

        Files containing memoranda, reports, correspondence, loan documents, legal opiruons, and other
        related documents pertaining to bank requests for relief

        Destroy	 when no longer needed for reference

64 3	   TRUST EXAMINATION          REVIEW CARDS

        Information   on trust powers granted and summaries with short narratives of examination
        findings

        Cut off at the end of the calendar year In which the cards were created   Transfer off site 10 years
        after cutoff  Destroy 20 years after cutoff

64 4	   SYSTEM OF UNIFORM REPORTING OF COMPLIANCE                   AND COMMUNITY
        REINVESTMENT ACT (CRA) EXAMS (SOURCE)

        SOURCE replaced the BITS Compliance Statistical System (CSS) as the system of records for the
        compliance and examination program It IS used to support reporting requirements for all
        compliance and CRA examination data

        Destroy when no longer needed for reference

65 1	   PROBLEM BANK FILES

        a	      Problem Bank list - a monthly listing of all banks, including bank name, composite rating,
                examination dates, class, and information on total assets and total deposits

                 PERMANENT Transfer off site when 10 years old      Offer to NARA when 15 years old

        b	      Problem Bank Files - Memorandum (prepared by Regional Office) containing Information
                on a problem bank, nature of Its business, competition, nature of problems, and
                enforcement action against bank (Improved, closed, and or banks approved for support
                under an assistance agreement)

                Transfer off site when 3 years old   Destroy when 30 years old

        c	      Duplicate of Regional and Field Office matenal Includes bank correspondence    and
                examination reports

                 Retain for current year and 1 pnor year



Section	 6/ DIVISIon of Supervtston and Consumer Protecuon                                           Page 48
FDIC RECORDS RETENTION AND DISPOSITION SCHEDULE	                                                               XXX)(
                                                                                 Please dtsreqerd previous edmons



        d	      Work files on Section 8 Actions

                Destroy	 10 years after resolution of case

65 2	   ENFORCEMENT       ACTION FILES

        a	      Memoranda, copies of legal documents, and other information          pertinent to an
                Enforcement Action

                Transfer off site after action ISterminated   or withdrawn     Destroy 8 years after action IS
                terminated or withdrawn

        b	      List of Enforcement Action Activity - cumulative quarterly list prepared from the
                Enforcement Action Tracking System, showmq status of enforcement action activity

                Destroy when superseded by a new listing

65 3	   COMPLIANCE      AND ENFORCEMENT CASE FILES

        Documents relating to banks or individuals that have violated laws and rules or regulations
        pertaining to deposit Insurance, safety and soundness, unsafe or unsound practices, or
        undesirable personnel In bank operations

        a	      Cases of a heanng In which a final decision IS Issued by the FDIC Board of Directors, or
                ItS designee

                PERMANENT Cut off after case IScompleted            Transfer off site 3 years after cutoff     Offer
                to NARA 15 years after cutoff

        b	      Cases that Involve the removal of individuals from office, or prohibition from further
                participating under Section 8(e) or 8(g) of the FDI Act

                Cut off files after case IScompleted    Transfer off site 7 years after cutoff    Destroy 20
                years after cutoff

        c	      Legal Division case files such as, but not limited to, Section 19, Denials of Requests to
                serve as officer, director, or employee of a bank, Assessment of Civil Money Penalties,
                Section 7, Change of Control In Insured Banks, Section 10c, Conduct of Examination,
                Administration of Oaths, and Affirmations, Taking of Testimony, Issuance of Subpoenas,
                and Section 23 Separability provisions

                Transfer off site 3 years after case IS completed     Destroy 15 years after case IS
                completed



section	 6, DIVISIon of Supervtston and Consumer Protectton                                                  Page 49
FDIC RECORDS RETENTION AND DISPOSITION                                SCHEDULE	                             xxxx
                                                                                Please disregard previous editions



        d	      Copies of file designated as historical precedent

                Destroy	 when superseded or obsolete

654	    ENFORCEMENT          ACTION SYSTEM (EAS)

        The Formal and Informal Actions Tracking System (FIATS) ISa module In the VISION system that
        adds, updates, and deletes data related to the processing of both formal and Informal
        enforcement actions

        Cut off data at the end of the calendar year     Destroy when 30 years old

661	    DSC NATIONAL         BANK, MEMBER BANK, AND SAVINGS AND LOAN ASSOCIATION                          FILES

        a	      Examination reports and related correspondence       for national banks, savings and loan
                associations, and member banks

                Cut off at the end of the calendar year In which report ISwritten      Transfer off site 3 years
                after cutoff Destroy 30 years after cutoff

        b	      Examination reports conducted JOintly by the FDIC and other financial regulatory
                aqencies

                (1)	       Open institutions

                           Cut off at the end of the calendar year In which report IS written   Transfer off site
                           3 years after cutoff Destroy 30 years after cutoff

                (2)	       Closed institutions

                           Transfer files to the Drvtsion of Resolutions and Receiverships when bank IS
                           closed

66 2	   DSC STATE NONMEMBER              BANK FILES

        a	      Examination Reports for Safety and Soundness, Compliance, Trust, IT, Transfer Agent
                Acnvrties, MUniCipal Securities Dealer Activrties, and International Banking VIsitation
                reports, State Banking Authority reports under drvided examination program, and as
                determined by Regional Directors

                (1)	       Regional Office copy

                           (a)	     Open Bank




section	 6, DIVISIon of Supervtston and Consumer Protection                                              Page 50
FDIC RECORDS RETENTION AND DISPOSITION                           SCHEDULE	                                 xxxx
                                                                             Please dtsreqsrd previous    edutons


                                Cut off at the end of the calendar year In which the exam was
                                completed Transfer off site when 3 years old Destroy when 30 years
                                old

                        (b)	    Closed Bank

                                Transfer files to the DIVISion of Resolutions and Receiverships when bank
                                ISclosed

                (2)	    Washington Office, Field Office, and Pencil Copies

                        Destroy when 2 years old or when no longer needed for reference, whichever IS
                        sooner (pencil copy - after review by field office supervisor and/or examiner In
                        charge of regional office changes)

        b	      Correspondence, applications, and other materials with long-term Importance to the
                FDIC Correspondence with banks, Applications to the FDIC, Notices of Acquismon of
                Control, Reports of Investigation, Enforcement Actions, Requests for Relief,
                Correspondence relative to applications for net worth certificates, Regional Office
                recommendations, Washington Office addenda, quarterly reports under assistance
                agreement, applications for net worth certificates, copies of legal documents, and
                Memoranda of Understanding

                (1)	    Open Bank

                        Cut off at the end of the calendar year In which the exam was completed
                        Transfer off site when 3 years old Destroy when 30 years old

                (2)	    Closed Bank

                        Transfer files to the DIVISion of Resolutions and Receiverships when bank IS
                        closed

        c	      Copies of b above

                Destroy when no longer needed for reference

        d	      Work Files including routine correspondence and other general matenals with no long-
                term Importance to FDIC supervisory responsibihtres

                Destroy when one year old or when no longer needed for reference, whichever ISshorter

66 3	   STATE AUTHORITY BANK EXAMINATION REPORTS

        Examination reports prepared by individual state banking authonties that are not kept     In   DSC


Section	 6/ DIVISIonof Supervtston and Consumer Protection                                               PageSl
FDIC RECORDS RETENTION AND DISPOSITION SCHEDULE	                                                         XXX)(
                                                                             Please disregard previous editions



        State Nonmember Bank Files

        Destroy when 2 years old or when no longer needed for reference, whichever IS longer

664	    FOREIGN BANK FILES

        a	      Examinations, applications, correspondence, and other matenals related to foreign banks
                With branches In the United States that are Insured by the FDIC

                Cut off at the end of the calendar year In which the exam was conducted      Transfer off site
                3 years after cutoff Destroy 30 years after cutoff

        b	      Washington Office copy


                Destroy when no longer needed for reference


66 5	   CONFIDENTIAL      FOREIGN BANK FILES

        Financial statements and other confidential materials concerning foreign banks With branches In
        the United States that are Insured by the FDIC

        Destroy	 when 30 years old or when no longer needed for reference, whichever IS sooner

66 6	   SUMMARY ANALYSIS OF SAFETY AND SOUNDNESS                   AND INDEPENDENT
        EXAMINATION

        a	      Concise, analytical, columnar summary of annual bank examination reports on mdrvidual
                FDIC member banks rated 1 through 5 With short narratives attached These summanes
                provide a quick history of banks In the United States since 1933

                PERMANENT Copy files electronically and transfer off site at 10 year Intervals      Offer to
                NARA at 30 years Intervals

        b       Summary information taken from a above and placed on the Summary AnalYSISof
                Examination Reports (SAER) on-line computer system

                Coded to automatically delete information   after 10 examination   cycles

        c       Washington Office copies of a above

                Destroy when no longer needed for reference




Section	 ~ DIVISIonof Supervtston and Consumer Protectton                                             Page 52
FDIC RECORDS RETENTION AND DISPOSITION                            SCHEDULE	                                xxxx
                                                                              Please disregard previous editions



        d	      Pnntouts requested from b above

                Destroy when 2 years old, or when no longer needed for reference, whichever         IS   sooner

67 1	   IRREGULARITIES      FILES

        Reports of apparent cnrmnal rrrequlanties and correspondence      pertaining to possible cnrrunal
        irrequlanties

        a       Hard copy and electronic documentation of reported cnmmal irrequlannes uncovered In
                the course of FDIC examinations and/or reported directly by banks

                Destroy by shredding and/or deletion when 10 years old

        b       SUSPICIOUS ActiVity Report (Form FDIC 6710/06), Input Into FFIEC database by FINCEN
                (U S Treasury Department)

                Cut off at the end of the fiscal year Once the records are venfied as accurate In the
                database, reports are stored on-site (Detroit Computer Center) for a penod of not less
                than one year, and not to exceed 6 years Destroy 11 years after reports were processed
                Into the database

        c       Documentation   used to prepare annual report of defalcations over $10,000 involving bank
                personnel

                Destroy one year after completion of report

        d       Regional and Field Office copies of a , b , and c above

                Destroy when 2 year old

67 2	   INTELLIGENCE NAME INDEX AND CHANGE OF CONTROL DATA

        Hard copy and electronic records on individuals and corporations for whom there IS intelligence
        data, or change of control data Information refers to possible or actual cnrrunal activity

        Destroy by shredding and/or deletion when 10 years old or when no longer needed for
        reference, whichever IS sooner

67 3	   FBI REPORTS AND NAME AND IDENTIFICATION                CHECK

        a	      FBI Reports provided to the Corporation pertaining to individuals with possible or actual
                cnrrunal activity



Seaton	 6, DIVISIonof Supervtston and Consumer Protectton                                                PageS3
FDIC RECORDS RETENTION AND DISPOSITION                            SCHEDULE	                           XXX)(
                                                                            Please dtsreqsrd previous edntons



                Destroy (by shredding individual card) when 5 years old or when no longer needed for
                reference, whichever IS later

        b	      Name and Identification checks document criminal history or lack thereof on proposed
                bank directors, officers, and purchasers

                Destroy (by shredding mdividual card) when 5 years old or when no longer needed for
                reference, whichever IS sooner

68 1	   CHANGE OF CONTROL FILES

        Interagency Notice of Change In Control, or Change In Director or Senior Executive Officer, and
        Summary of Investigation - Notice of Acquismon of Control (Form 6200/36), or Management
        Change (Form 6200/35)

        a       Open Bank

                Transfer off site when 3 years old   Destroy when 10 years old

        b       Closed Bank

                Transfer files to the Divisron of Resolutions and Receiverships when bank ISclosed

68 2	   BANK HOLDING COMPANY FILES

        a       Analyses Folder including Analyses of Bank Holding Company Inspection Report prepared
                by Regional Offices

                Transfer off site when 5 years old   Destroy when 30 years old

        b       Report/Correspondence Folder including Inspection reports, correspondence,     and other
                materials related to bank holding companies

                Transfer off site when 5 years old   Destroy when 30 years old

        c       Copies of Holding Company Inspection analysis report

                Destroy when 2 years old or when no longer needed for reference, whichever IS sooner

        d       Bank Holding Company Performance Reports (received from the Federal Reserve
                Quarterly)

                Destroy when next report IS received



Section	 ~ DIVISIonof Supervtston and Consumer Protection                                            Page 54
FDIC RECORDS RETENTION AND DISPOSITION                          SCHEDULE                            xxxx
                                                                          Please disreqsrd previous ednions



       e       Publicly available Annual Reports, Form 10-Ks, and other Information from the 50 largest
               bank holding companies

               Destroy when no longer needed for reference

       f       Bank Holding Company Inspection Reports and examination     of the lead bank for the 25
               largest bank holding companies

               Destroy when next report IS received




Seaton ~ DIVISIon of Supervtston and Consumer Protection                                          Page 55
                         •
FDIC RECORDS RETENTION AND DISPOSITION SCHEDULE	                                                                xxxx
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70 1	   RESOLUTIONS          AND RECEIVERSHIPS         CASES SIGNED UNDER DELEGATED
        AUTHORITY

        Cases relating to resolution and/or receivership activities, specifically cases with an onqmal
        signature that IS signed under delegated authonty

        Break files every 5 years and transfer off site     Destroy 10 years after termination   of receivership

71 1	   FAILED FINANCIAL INSTITUTION                RESOLUTION CASE FILES

        Files created by FDIC pertaining to FDIC parnopanon In failed financial institution proceedings
        Case files contain, but are not limited to, documents and work papers detailing the resolution of
        failed financial institutions, dtsposrtion of deposits and assets, monetary/non-monetary servicing
        of assets, assets purchased, state and Federal receiverships, loans, correspondence and
        reconciliations    Case files located In the Legal DIVISion generally contain copies of
        correspondence, memoranda, debt documents, term sheets, bidder instructions, apphcanons/
        bids, Board memoranda, Board resolutions, agreements, consummation documents, pleadings
        and fee bills

        a	       Falling Bank Case file and briefing documents containing information on a falling financial
                 institution, nature of Its business and problems, valuation of assets, estimation of loss,
                 letter from chartenng authority, competitive report, bids, bid approval memo, and
                 information on uninsured depositors and contingent liabilities Includes ASSistance
                 Transactions, Open ASSistance Transactions, and Conservatorship and Bndge Bank case
                 files

                 Permanent Transfer off site 3 years after bank closmq         Offer to NARA 10 years after
                 bank closmq

        b	       Case file documenting resolutions that were initiated and discontinued because the
                 institution no longer needed assistance/resolution     Files contain documents including, but
                 not limited to, regulatory letter, due diligence resolutions, contingent liability reports, call
                 reports, failed bank letter, information package, and Asset Valuation Review (AVR)
                 documents

                 Destroy 2 years after case ISdiscontinued

        c	       Pre-closing documentation      Items Include, but are not limited to, failed financial
                 institution Board case, list of potential bidders, bid packages, press releases, and all other
                 related documents

                 Transfer off site 2 years after bank closmq     Destroy 1 year after termination    of
                 receivership




section 7, DIVISIon of   Resoluttons   and Receivershtps	                                                     Page 56
FDIC RECORDS RETENTION AND DISPOSITION SCHEDULE	                                                              xxxx
                                                                                   Please dtsreqsrd previous edmons



        d        Closing information (financial institution number-specific) such as, Receiver-In-Charge
                 (RIC) and Closing Manager files, staffing charts, and other related documents

                Transfer off site after termination of receivership Destroy 10 years after termination of
                receivership or as established by state or Federal law or court order, whichever IS longer

71 2	   FAILED FINANCIAL INSTITUTION                RECORDS

        Records created by a failed financial Institution that becomes the property of the FDIC as
        a result of receivership proceedings Includes failed financial institution credit/documentation
        files created by the institution, including notes and collateral The files pertain to the initial
        dtsposrtion of an asset pnor to failure, such as abstracts, collateral releases, loan agreements,
        financial statements, loan history sheets, Insurance/property/tax     receipts and titles

        a	       Institutions   placed Into receivership after December 31, 1995

                 Destroy 10 years after termination of receivership or as established by state or Federal
                 law or court order, whichever IS longer

        b	       Institutions   placed Into receivership through December 31, 1995

                 Destroy records of the terminated receivership 10 years from date of receivership or as
                 established by state or Federal law or court order, whichever IS longer

71 3    INVENTORY       OF ASSETS OF FAILED FINANCIAL                INSTITUTIONS

        Lists of assets held by failed financial institutions at the time of their receivership Includes, but
        not limited to, all official legal papers which concern the resolution, ProForma Statements,
        Purchase and Assumption Agreement, Initial Liability and Deposit register, and Loan Inventory of
        all assets retained by FDIC May also Include all administrative documents and loan and deposit
        tnal balances

        Permanent      Transfer off site after termination   of receivership   Offer to NARA 10 years after
        termination   of receivership

71 4	   POST-RESOLUTION           ASSISTANCE       CASE FILES

        a	       Case files containing records of equity Interests In connection with assistance
                 transactions   Including, but not limited to, mtenrn capital fmancmq arrangements,
                 evidence of warrant rights, net worth certificates, Income capital certificates, preferred
                 stocks, promissory notes, and subordinate debentures

                Transfer off site 3 years after termination     of agreement     Destroy 10 years after
                termination of receivership




Section 7, DIVISion of Resolutions and Recetversbtps	                                                     Page 57
FDIC RECORDS RETENTION AND DISPOSITION                               SCHEDULE	                             xxxx
                                                                               Please disregard previous editions



        b	      Case files containing specific information involving the morutonnq of assistance
                agreements     Including, but not limited to, copies of FDIC Board cases, assistance
                agreements and amendments, proforma balance sheets, audit program records,
                monitoring correspondence, and reports

                Transfer off site 3 years after termination   of agreement   Destroy 10 years after
                termination of receivership

72 1	   ASSET DISPOSITION         CASE FILES

        Documents obtained or created by the FDIC post-closing In the management and disposition of
        assets, such as secunties, loans and owned real and personal property These documents
        Include,	 but are not limited to, Board cases, correspondence and flnancral reports from obligors,
        advisory, management, appraisal and environmental reports from contracted services, executed
        agreements and other sales-related documents from asset bidders and purchasers, tax, Insurance
        and foreclosure notices, FDIC ftnanoal analyses, asset valuations, property mspecnons, appraisal
        reviews,	 terms and conditions of the sale, case memoranda approved under delegated authority,
        correspondence related to legal actions, and other documents contained In management and
        sales files

        a	      Sale of assets from a single receivership

                Transfer off site after termination of receivership Destroy 10 years after termination of
                receivership, or as established by state or Federal law or court order, whichever IS longer

        b	      Sale of assets from multiple receiverships

                Transfer off site after termination of receivership Destroy 10 years after termination of
                last receivership, or as established by state or Federal law or court order, whichever IS
                longer

73 1	   DEPOSITOR      AND CREDITOR CLAIMS CASE FILES

        a	      Receivership records pertaining to dividend cases, claims documentation, excess
                depositor list, account hold list, offsets, notice of advance dividend, secured and
                preferred deposits, unclaimed deposits, account reconolernent, and all other related
                documents including original hard copies

                Transfer off site after termination of receivership Destroy 10 years after termination of
                receivership or as established by state or Federal law or court order, whichever IS longer

        b	      Register of deposit liabilities, including the consolidated records of accounting for all
                depositors' claims and payments made to them This Includes documentation and special
                dally listing of depositors paid

                Transfer off site after termination of receivership Destroy 10 years after termination of
                receivership or as established by state or Federal law or court order, whichever IS longer

section 7, DIVISIon of Resolutions and Recetvershtps	                                                   Page 58
FDIC RECORDS RETENTION AND DISPOSITION SCHEDULE	                                                                 XXX)(
                                                                                   Please dtsreqsrd previous    edtttons


        c       Official files of all actions regarding failed financial institution claims and pay-offs
                Contain deposit Insurance claims and general trade creditor claims, correspondence,               legal
                opmions, reports, notices, and other related documents

                Transfer off site after termination of receivership Destroy 10 years after termination of
                receivership or as established by state or Federal law or court order, whichever IS longer

73 2	   RECEIVERSHIP       LIABILITY     SYSTEMS (RLS) AND ANY SUCCESSOR SYSTEM

        The Receivership liability System IS an electronic database desiqned to serve as a central
        repository for claims data It IS used by the Claims staff to provide entry, editing, perform pre-
        closing estimates of the uninsured depositors, bank closures, and subsequent claims processing
        of Depositor and General Trade Creditor claims filed against mdividual failed flnanctal institutions
        Claims can be tracked by the flnancral institution number, flnancial institution name, the
        deposttors/claimants name, account number, and receiver certificate number In addition to
        managing current depositor and general trade creditor claims, RLS IS also used as a reference
        tool In researching direct customer mquines and Congressional inquires that may be related to
        deposits	 or creditor claims These mqumes may anse while the receivership IS In active status or
        post termination     Accordingly, RLS serves as a histoncal repository of claims data

        a	      Hard copy reports and pnntouts Integrally related to RLS


                Transfer off site after termination   of receivership   Destroy 10 years after termination        of
                receivership

        b	      Electronic files

                Erase 20 years after terrrunation of receivership

73 3	   SETTLEMENTS       CASE FILES

        a	      Official case files of all actions pertaining to failed financial institution    settlements,
                including non-asset defensive litigation, premises owned, safekeeping             receipts, secunnes
                mventones, settlement account transaction forms (SAT's), settlement              Jackets, reports
                from the Settlement Tickler Reconohation System (STRS), and other               related documents

                Transfer off site after termination of receivership Destroy 10 years after termination of
                receivership or as established by state or Federal law or court order, whichever IS longer

        b	      Failed flnancial institution employee benefit plans With supporting documents            Includes
                case attachments, relevant memoranda, and legal opinions

                Transfer off site after termination of receivership Destroy 10 years after termination of
                receivership or as established by state or Federal law or court order, whichever IS longer




Section	 7, DIVISIon of Resolattons and Recetvershtps                                                          Page 59
FDIC RECORDS RETENTION AND DISPOSITION                                  SCHEDULE	                            XXX)(
                                                                                  Please dtsreqsrd previous edttions



734	    SElTLEMENT      TICKLER RECONCILIATION              SYSTEM (STRS) AND ANY SUCCESSOR
        SYSTEM

        A database that manages failed institution settlement options with assooated deadline dates as
        directed by the Purchase and Assumption Agreement, and settlement transactions for the FDIC
        as the receiver and the Corporation The system IS the "tickler" that enables settlements
        personnel to enter key dates from the agreement     The system then monitors these dates and
        provides timely prompts to the users when these dates become cntical

        a	      Hard copy reports and pnntouts Integrally related to STRS

                Transfer off site after termination   of receivership   Destroy 10 years after termination    of
                receivership

        b	      Electronic files

                Erase 10 years after termination      of receivership

73 5    TERMINATION       CASE FILES

        Files specifically related to the receivership terminations process and documentation to support
        the termination case Collection Includes, but IS not limited to, court orders, current and final
        fmancral statements, defensive litigation, lists of assets, corporate purchases, notices advismq
        termination, taxes due, termination case and all other related documents

        Transfer off site after termination of receivership Destroy 10 years from date of receivership
        termination, or as established by state or Federal law or court order, whichever IS longer

74 1	   RECEIVERSHIP       ACCOUNTING

        Accounting records created by the FDIC after a failed flnancial institution     has closed and been
        placed Into receivership

        a	      Cash Management Files containing dally work files for the Cashier Unit, including, but not
                limited to, bank statements, check logs, CTM Reports, wire transfer activitv, ACH Transfer
                requests, and check Issued reports Also contains dally work files for the Accounts
                Payable Unit, Including, but not limited to, paid vouchers With supporting documentation,
                dally reconchanon reports, and bank transmittals

                Break files once a year and transfer off site     Destroy 10 years after transfer    Erase
                electroruc files 10 years after creation

        b	      General Ledger Journal Entnes containing onqmal Journal entnes With supporting
                documentation, and are filed by receivership




Section 7, DIVISion of Resolutions and Receiverships	                                                      Page 60
FDIC RECORDS RETENTION AND DISPOSITION SCHEDULE                                                               XXX)(
                                                                                  Please disregard previous editions



                Break files once a year and transfer off site    Destroy 10 years after transfer      Erase
                electronic files 10 years after creation

742    DIVIDEND       PAYMENT SYSTEM (DPS) AND ANY SUCCESSOR SYSTEM

       DPS IS the FDIC system of record for distributing dividends to qualified claimants and for the
       escheatment of unratified deposits Includes records of liabilities provided by the claims function
       to generate payments against those liabilities The three types of liabilities are payout checks for
       Insured depositors, unratified deposits that have been returned from the acqumnq institution, and
       Receivership Certificates (RC's) for uninsured deposits

       a        Hard copy reports and printouts Integrally related to DPS

               Transfer off site 3 years after termination    of receivership   Destroy 10 years after
               termination of receivership

       b        Electroruc Records

                Erase 20 years after termination    of receivership

74 3   RECEIVERSHIP        PROFORMA FILES

       Includes Proforma Statements, Proforma Jackets, and Fmancral Manager's closmq file

       Transfer off site 1 year after termination   of receivership   Destroy 10 years after termination      of
       receivership

744    TERMINATION        RECORDS

       Records speoflc to the final termination of a receivership including, but not limited to,
       authorization cases, accounting certifications, copies of corporate purchase Journal entries, final
       divrdends, and certificates of termination

       Transfer off site 3 years after termination of receivership Destroy 10 years after termination          of
       receivership or as established by state or Federal law or court order, whichever IS longer

74 5   SUBSIDIARY       CORPORATION FINANCIAL RECORDS

       Includes general ledger, balance sheet, Income statement, and other accounting-related             records
       of the subsidiary, JOint venture, or partnership

       Transfer off site 3 years after termination of receivership Destroy 10 years after termination          of
       receivership or as established by state or Federal law, or court order, whichever IS longer




secuon 7, DIVISIonof   Resotuuons and Recetverstups                                                        Page 61
FDIC RECORDS RETENTION AND DISPOSITION                              SCHEDULE                                 XXX)(
                                                                               Please dtsreqsrd previous    edtttons


74 6    RECEIVERSHIP      TAX RETURNS

        Copies of Federal, state, and/or local tax returns filed by the FDIC for the receivership, including
        consolidated returns with wholly-owned or controlled subsidiary corporations, and supporting
        documentation including, but not limited to, 1099's, 1098's, W2's, K1's, general ledgers, and work
        papers

        Break files once a year and transfer off site Destroy 10 years after date of filing If consistent with
        Federal, state, or local tax retention requirements




section 7, DIVISion of Resolutions and Recevershtps                                                        Page 62
FDIC RECORDS RETENTION AND DISPOSITION                                SCHEDULE	                                 XXX)(
                                                                                  Please dtsreqerd previous    edittons


80 1	   RESERVED

81 1	   RESERVED

82 1	   REPORTS OF CONDITION           AND INCOME

        Call reports, amendment letters, and related supplement schedules that banks are required to fIle
        (small, large, and mutual savings banks) These reports are used primarily for off-SIte
        exarmnatron and surveillance functions They also provide the baSISfor flnanoal tables and
        stanstics, and help determine trends In the banking environment

        Cut off files at end of calendar year   Transfer off srte 1 year after cutoff   Destroy 7 years after
        cutoff

82 2	   SUMMARY      OF DEPOSITS

        Special report form completed by commercial and mutual savmqs banks regarding various classes
        of deposits   LIke other obligatory reports, It IS used to research trends In and status of banks and
        banking Results are published by FDIC

        Cut off when no longer needed for research       Destroy 7 years after cutoff

82 3	   SUPERVISORY       DATA REPORTS

        a	      Reports requested as part of the call report package They Include the Repncmq
                Opporturutres for Selected Balance Sheet Categories (Schedule J ), Commitments and
                Contmqencies (Schedule L ), and Past Due, Non-accrual and Reneqotiated Loans and
                Lease Fmanonq Receivables They are unique from the standard call reports because
                they contain information which IS not Inherently statrstical In nature and which do not
                lend themselves to tradmonal fmancral data correction processes

                Transfer off srte when 1 year old    Destroy when 5 years old

        b	      Other specral report forms that banks are obliged to ftle Used for FDIC research
                purposes, these Include but are not hrmted to reports and/or surveys on mortgage loans,
                Interest rates, and trust departments

                 Destroy	 when 2 years old

82 4	   RECORD OF REQUESTS FOR CALL REPORT FORMS AND INSTRUCTIONS

        Forms used to record outside requests for preprinted call report forms or call reportmq
        mstructions

        Destroy	 when 3 months old


seaton	 8/ DIVISIon of Insurance and Research                                                                 Page 63
FDIC RECORDS RETENTION AND DISPOSITION                             SCHEDULE                             xxxx
                                                                             Please disregard prevtous ednions



82 5   CALL REPORT CHECKLIST AND CORRESPONDENCE,                    AND DELINQUENT         FILES

       Contains computer listings of all banks and branches expected to file call reports, and transmittals
       and modifications of those reports to the FDIC Also contains an annotated master record, bank
       letters pertaining to late filing of reports, a listing of delinquent banks, and a copy of the formal
       report to the Legal Divrsion

       Destroy when 2 years old

82 6   CALL PROCESSING        SYSTEM (CALL) & SUMMARY           OF DEPOSITS      (SOD)

       Systems used to process the quarterly survey of financial institutions Income, assets, and
       liabilities, and to process surveys of all FDIC-Insured Commercial Banks, FDIC-supervised Savings
       Banks, and U S branches of foreign banks office level deposit data

       Cut off data at end of calendar year    Destroy when 30 years old

82 7   DISCLOSURE      SUPPORT SYSTEM (DISCLOSURE)

       System used to facihtate the distribution of FDIC banking information products to requestors
       within the FDIC, other agencies, and the general public The system tracks the status of requests
       and provides management and accounting Information

       Cut off data at end of calendar year    Destroy when 20 years old

82 8   FINANCIAL     INSTITUTION      STRUCTURE SYSTEM (STRU)

       System used to provide a central and definitive source for non-financial data on 16,000 flnancral
       institutions and 85,000 branches/offices

       PERMANENT      Cut off data at end of calendar year   Offer to NARA when 10 years old

83 1   ECONOMIC      RESEARCH STUDIES

       The results of basic economic research on banking and related fields Includes, but IS not limited
       to "Working Papers" (economic research staff studies which may be published In professronal
       Journals) and "Executive Summary" (synopsis of various FDIC economic research studies)

       a       Record copy

               PERMANENT Cut off at end of calendar year In which study was completed            Transfer
               off site 5 years after cutoff Offer to NARA 10 years after cutoff

       b       All others copies (not held as supply)

               Destroy when 5 years old


Sed Ion 8, DIVISIonof Insurance and Research                                                         Page 64
FDIC RECORDS RETENTION AND DISPOSITION                              SCHEDULE	                                 xxxx
                                                                                Please dtsreqsrd previous   edtttons


        c       Drafts and miscellaneous documents used In wntmq reports

                Destroy	 6 months after report IS published

83 2	   COVERAGE, BROADLIST,         AND RISK ANALYSIS

        Paragraph sum manes of broad coverage of significant trends and events related to the economic,
        financial, and banking Industry that could potentially Impact the financial stability of Insured
        institutions, initial analyses of potential nsks noted In the trends and events related to the
        economic, financial, and banking Industry that may require further rnorutonnq and potential
        detailed	 analysis, and detailed analyses of trends and events that address the potential source of
        the nsk Impacting the financial stability of Insured institutions, background data, and future
        Implications to the banking Industry (nationally or regionally) of the pending condition

        Destroy	 when 3 years old

83 3	   RISK CASES AND SPECIAL STUDIES

        Record set In hard copy containing detailed studies of nsk Items that are of particular concern or
        Importance to the health of Insured financial institutions The analysis may Include extensive
        market	 analysis of economic, demographic, regulatory, supervisory and market trends,
        developments, perspectives, or positions

        PERMANENT Cut off at completion of study        Transfer off site 5 years after cutoff    Offer to NARA
        10 years after cutoff

841	    PUBLIC BANK FILES

        Files open to the public on banks registered with FDIC In accordance with the Secunties and
        Exchange Act of 1932 Includes registration and proxy statements, annual, quarterly, and other
        reports

        a	      Onqmal registration form and supporting documents
                PERMANENT Cut off after date of dereqistratron   Transfer off site 3 years after cutoff
                Offer to NARA 10 years after cutoff

        b	      Reports, correspondence, and all other matenals

                Cut off after date of dereqistranon   Transfer off site 3 years after cutoff     Destroy 10
                years after cutoff

        c       Beneftcial ownership report filings made by msiders of banks With equity
                secunties registered With FDIC The forms Include the Initial Statement of Beneflcial




section	 8, DIVISIon of Insurance and Research                                                          Page 65
FDIC RECORDS RETENTION AND DISPOSITION                                SCHEDULE	                                   XXX)(
                                                                                    Please dtsreqerd previous    edittons


                Ownership of Secunties, Statement of Changes In Beneficial Ownership of Secunties, and
                Annual Statement of Changes In Beneficial Ownership of Securities

                Destroy 15 years after filing

84 2    DEREGISTERED BANK CORRESPONDENCE

        Correspondence with dereqistered banks, and related documents

        Cut off at end of calendar year    Transfer off site 3 years after cutoff     Destroy 10 years after
        cutoff

84 3	   SEC RULE 13F REPORTS

        A quarterly listing of traded stocks held by banks controlling   $100   + million In stocks

        Destroy when data   IS   entered Into data base




secton 8, DIVISIon of Insurance and Research	                                                                   Page 66
FDIC RECORDS RETENTION AND DISPOSITION SCHEDULE	                                                                  xxxx
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120 1   SIGNIFICANT       OFFICE OF INSPECTOR           GENERAL (OIG)       FILES

        Include records and material related to significant OIG audits, evaluations, and investigations,
        Inspector General offioal duties, Significant changes to agency pohoes and procedures, Significant
        OIG legal oprruons, and Significant Congressional correspondence     For purposes of this schedule,
        records and materials are considered Significant If they have received national media attention,
        Involve a Congressional investigation, and/or have been otherwise deemed to have historical
        value Also Includes the record copy of each audit and evaluation report and the OIG's
        Semiannual Report to the Congress

        PERMANENT        Transfer off site 2 years after cutoff   Offer to NARA 10 years after cutoff

120 2   OIG SUBJECT FILES

        Inspector General subject files contain, but are not limited to, correspondence With FDIC
        management not related to a speoflc case, background on FDIC operations, pohcies and
        procedures, reference material, and other files and records that allow the OIG to fulfill ItS
        mission Counsel subject files Include, but are not limited to, working papers, correspondence,
        research memoranda and related documents, subpoenas, and litigation case files related to the
        work of the Counsel to the Inspector General Excludes records that result In national media
        attention, Congressional investigation, or substantive changes In agency polices and procedures

        Place In inactive files when all relevant Issues are finalized Cut off at end of calendar year
        Transfer off site 2 years after cutoff Destroy 10 years after cutoff

1203	   OIG FREEDOM OF INFORMATION                 ACT/PRIVACY       ACT FILES

        Contain files created to respond to Freedom of Information Act (FOIA) and Privacy Act (PA)
        requests and appeals, and administrative files to Implement the FOIA/PA activities Within the OIG,
        excluding those records that result In national media attention, Congressional investigation, or
        substantive changes In agency pohcies and procedures Also Includes files maintained under the
        provisions of 5 USC 552a(c) relating to OIG Privacy Act accounting disclosure files

        Transfer off site 2 years after cutoff   Destroy 6 years after cutoff

1204	   INVESTIGATIVE        CASE FILES

        Case files developed during investigations of known or alleged fraud and abuse, and Irregularities
        and Violations of laws and regulations, excluding those that result In national media attention,
        Congressional investigation, or substantive changes In agency pohcies and procedures

        a	        Files containing information or allegations which are of an investigative nature but do not
                  relate to a speciflc investigation They Include anonymous or vague allegations not
                  warranting an investigation, matters referred to constituents or other agencies for
                  handling, and support files providmq general information which may prove useful In
                  Inspector General investigations

                  Destroy	 when 5 years old




secton	 12,   Office of the Inspector General                                                                   Page 67
FDIC RECORDS RETENTION AND DISPOSITION                               SCHEDULE                               XXX)(
                                                                                 Please dtsreqsrd previous eduions



         b       All other case files including hothne cases related to a specific investigation

                 Place In inactive files when case IS closed Cut off inactive file at end of calendar year
                 Transfer off-site 2 years after cutoff Destroy 10 years after cutoff

120 5    AUDIT CASE FILES

         Contain case files of Internal audits, evaluations, and other reviews of FDIC programs, operations,
         and procedures, external audits and other reviews of contractors and grantees, quality reviews of
         OIG activities, and external peer reviews of other OIG's These files consist of reports,
         correspondence, memoranda, and supporting working papers Excludes records that result In
         national media attention, Congressional investigation, or substantive changes In agency policies
         and procedures

         Place In inactive files when the audit/review IS closed Cut off inactive files at end of calendar
         year Tid I isfer off site 2 years after cutoff Destroy 8 years after cutoff




seaton   12, Office of the Inspector General                                                             Page 68

				
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