-1 BGFRS 1- Recruiting and Placement Records.

Most records are maintained at the Board of Governors of the Federal Reserve System, 20th and Constitution, NW, Washington, DC 20551. Some information, primarily resumes, is electronically collected and stored off-site on behalf of the Board by a contractor.

Persons who have applied for employment with the Federal Reserve Board.

The following categories of records are maintained in this system: resumes, applications, and supporting documentation submitted by persons seeking employment; information from job fairs; referrals from Federal Reserve Banks and other Federal government agencies; transcripts or notes from interviews with some applicants; notes of interviews with references; information regarding verification of education and/or military status; some employment inquiries (and responses) sent to the Chairman of the Board; and offer letters and related correspondence. Certain information is retained in an electronic database to enable the Board's Equal Employment Opportunity Office to monitor and track its recruiting and hiring performance.

Sections 10 and 11 of the Federal Reserve Act (12 U.S.C. 244 and 248(l)).

These records are collected and maintained to assist the Board in recruiting and retaining qualified employees, and to allow the Board to periodically review its hiring practices.

The information in the records may be used:

a. By the National Archives and Records Administration in connection with records management inspections and its role as Archivist.

b. To disclose to contractors, agents, or volunteers performing or working on a contract, service, cooperative agreement, or job for the Board.

c. To disclose pertinent information to the appropriate Federal, State, or local agency responsible for investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, when the Board becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation.

d. To disclose information to any source from which additional information is requested (to the extent necessary to identify the individual, inform the source of the purpose(s) of the request, and to identify the type of information requested), when necessary to obtain information relevant to a Board decision to hire or retain an employee, issue a security clearance, conduct a security or suitability investigation of an individual, classify jobs, let a contract, or issue a license, grant, or other benefits.

e. To disclose to a Federal agency or to a Federal Reserve Bank, in response to its request, or at the initiation of the Board, information in connection with the hiring of an employee, issuing a security clearance, conducting a security or suitability investigation of an individual, classifying positions, letting a contract, or issuing a license, grant, or other benefit by the requesting agency or Federal Reserve Bank, or the lawful statutory, administrative, or investigative purpose of the agency to the extent that the information is relevant and necessary to the requesting agency's or Federal Reserve Bank's decision.

f. To provide information to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of the individual.

g. To disclose information to another Federal agency, a court, or a party in litigation before a court or in an administrative proceeding being conducted by a Federal agency, when the Board or United States is a party to the judicial or administrative proceeding.

h. To disclose information to the Department of Justice or in a proceeding before a court, adjudicative body, or other administrative body before which the Board is authorized to appear, when:

(1) The Board or any employee of the Board in his or her official capacity; or

(2) Any employee of the Board in his or her individual capacity where the Department of Justice or the Board has agreed to represent the employee; or

(3) The United States (when the Board determines that the litigation is likely to affect the Board) is a party to litigation or has an interest in such litigation, and the use of such records by the Department of Justice or the Board is deemed by the Board to be relevant and necessary to the litigation provided, however, that in each case it has been determined that the disclosure is compatible with the purpose for which the records were collected.

i. To disclose, in response to a request for discovery or for appearance of a witness, information that is relevant to the subject matter involved in a pending judicial or administrative proceeding.

j. To disclose information to the Equal Employment Opportunity Commission when requested in connection with investigations of alleged or possible discrimination practices in the Federal sector, examination of Federal affirmative employment programs, or other functions vested in the Commission.

k. To disclose information to the Merit Systems Protection Board or the Office of Special Counsel in connection with appeals, special studies of the civil service and other merit systems, review of Office rules and regulations, investigation of alleged or possible prohibited personnel practices, and such other functions, e.g., as prescribed in 5 U.S.C. chapter 12, or as may be authorized by law.

l. To disclose information to the Merit Systems Protection Board or the Office of Special Counsel in connection with appeals, special studies of the civil service and other merit systems, investigation of alleged or possible prohibited personnel practices, and such other functions promulgated in 5 U.S.C. chapter 12, or as may be authorized by law.

m. To disclose information in connection with the investigation and resolution of allegations of unfair labor practices before the Federal Reserve Board Labor Relations Panel when requested.

n. To disclose information to Federal, State, local, and professional licensing boards, Board of Medical Examiners, or to the Federation of State Medical Boards or a similar non-government entity which maintains records concerning individuals' employment histories or concerning the issuance, retention or revocation of licenses, certifications or registration necessary to practice an occupation, profession or speciality, in order to obtain information relevant to a Board decision concerning the hiring, retention or termination of an employee or to inform a Federal agency or licensing boards or the appropriate non-government entities about the health care practices of a terminated, resigned or retired health care employee whose professional health care activity so significantly failed to conform to generally accepted standards of professional medical practice as to raise reasonable concern for the health and safety of patients in the private sector or from another Federal agency.

Disclosure to consumer reporting agencies:

Not applicable.

Storage:

Since January 2000, records have been stored in an automated database and in paper format.

Resumes and related material received since January 2000 are retrievable by name and other identifying aspects in the automated database. Resumes and related material received prior to January 2000 are filed in paper form by year and job category, not by individually identifiable labels.

Access to computerized records is limited to those whose official duties require it.

Resume #233;s are retained for two years. The retention period for otherrecords is currently under review. Until review is completed, those records will not be destroyed.

Associate Director, Human Resources Function, Management Division, Board of Governors of the Federal Reserve System, 20th & Constitution, NW, Washington, DC 20551.

Inquiries should be sent to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th and Constitution Avenue, N.W., Washington, DC 20551. The request should contain the individual's name, date of birth, Social Security number, identification number (if known), approximate date of record, and type of position.

Current Board employees who wish to gain access to or contest their records should contact the system manager, address above. Former Board employees should direct such a request in writing to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th and Constitution Avenue, N.W., Washington, DC 20551. The request should contain the individual's name, date of birth, Social Security number, identification number (if known), approximate date of record, and type of position.

Same as "Record access procedures" above.

Information comes from the job applicant; the transcript or notes from interviews with the applicant; notes from interviews and supporting documentation from references; OPM Personnel Management Records System; personnel records of other Government civilian or military agencies or Federal Reserve Banks; and official transcripts and other documentation from schools identified by the applicant.

Pursuant to subsections (k)(2) and (k)(5) of the Privacy Act and the Board's regulation relating thereto (12 CFR 261a), certain portions of this system of records may be exempted from certain provisions of the Act where: (1) such portions represent investigatory material compiled for law enforcement purposes, or (2) such portions represent investigatory material compiled solely for the purpose of determining suitability, eligibility, or qualifications for Board employment to extent that disclosure of such portions would reveal the identity of a source who furnished information under a promise of confidentiality.

-3 FRB--Medical Records

None.

Board Physician, Board of Governors of the Federal Reserve System, 20th and Constitution, NW., Washington, DC 20551. Records relating to drug-testing under the Drug-Free Workplace Plan may be retained by a contractor laboratory.

Current and former Board employees (including special employees). Applicants who have been medically examined for Board employment.

This system of records contains information relating to: pre-employment medical examinations of potential employees; periodic medical examinations of employees; treatment and/or advice provided by the Health Unit's staff to an employee; an employee's participation in an occupational health services program; the Board's Drug-Free Workplace Plan; and employees' use of the Board's exercise facilities.

Executive Order 12564 and 12 U.S.C. 244 and 248(l).

These records are collected and maintained to assist the Board in determining an employee's fitness for duty, to assist the Board in providing a safe and healthy working environment, and to comply with E.O. 12564.

With the exception of Routine Use "n," none of the other Routine Uses are applicable to records relating to drug testing under Executive Order 12564. Further, such records shall be disclosed only to a very limited number of officials within the Board, generally only to the Medical Review Officer, the administrator of the Employee Assistance Program, and the management official empowered to recommend or take adverse action affecting the individual.

In other cases, the information in these records may be used:

a. To disclose information to the Board's Thrift Plan, the Board's Group Life Insurance administrators, Department of Labor, Department of Veterans Administration, Social Security Administration, Federal Retirement Thrift Investment Board, or a national, State, or local social security type agency, when necessary to adjudicate a claim (filed by or on behalf of the individual) under a retirement, insurance, or health benefit program.

b. To disclose information to a Federal, State, or local agency to the extent necessary to comply with laws governing reporting of communicable disease.

c. To disclose to contractors, grantees or volunteers performing or working on a contract, service, grant, cooperative agreement, or job for the Board, where necessary to performance.

d. To disclose information to a Federal agency in the executive, legislative or judicial branch of government, or to a Federal Reserve Bank, in response to its request or at the initiation of the Board, information in connection with the retention of an employee, the issuance of a security clearance, the conducting of a security or suitability investigation of an individual, the classifying of jobs, the letting of a contract, the issuance of a license, grant, or other benefit by the requesting agency, or the lawful, statutory, administrative, or investigative purpose of the agency, to the extent that the information is relevant and necessary to the requesting agency's decision on the matter.

e. To provide information to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of the individual.

f. To disclose pertinent information to the appropriate Federal, State, or local agency responsible for investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, when the Board becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation.

g. To disclose information to another Federal agency, to a court, or a party in litigation before a court or in an administrative proceeding being conducted by a Federal agency, when the Board is a party to the judicial or administrative proceeding.

h. To disclose information to the Department of Justice, or in a proceeding before a court, adjudicative body, or other administrative body before which the Board is authorized to appear, when:

(1) The Board or any employee of the Board in his or her official capacity; or

(2) Any employee of the Board in his or her individual capacity where the Department of Justice or the Board has agreed to represent the employee; or

i. By the National Archives and Records Administration in connection with records management inspections and its role as Archivist.

j. To disclose information to the Equal Employment Opportunity Commission when requested in connection with investigations or other functions vested in the Commission.

k. To disclose information to the Merit Systems Protection Board in connection with appeals filed by preference-eligible employees.

l. To disclose information in connection with the investigation and resolution of allegations of unfair labor practices before the Federal Reserve Board Labor Relations Panel when requested.

m. To disclose, in response to a request for discovery or for appearance of a witness, information that is relevant to the subject matter involved in a pending judicial or administrative proceeding.

n. To disclose the results of a drug test of a Board employee pursuant to an order of a court of competent jurisdiction where required by the U.S. Government to defend against any challenge of any adverse personnel action.

o. To disclose to health insurance carriers that provide a health benefits plan under the Federal Employees Health Benefits Program information that is necessary to verify eligibility for payment of a claim for health benefits.

p. To disclose information, when an individual to whom the record pertains is mentally incompetent or under other legal disability, to any person who is responsible for the care of the individual, to the extent necessary.

q. To disclose to a requesting agency, organization, or individual the home address and other information concerning those individuals who it is reasonably believed might have contracted an illness or been exposed to or suffered from a health hazard while employed in the Federal workforce.

Disclosure to consumer reporting agencies:

Not applicable.

Storage:

Records are in file folders or in automated media.

Records are indexed by name, identification number, and/or date of birth.

Access to and use of these records are limited to those persons whose official duties require such access. Records are stored in lockable metal containers or in automated media which is password protected.

Records are maintained until six years after the employee leaves the Board, at which time they are destroyed, except for correspondence, which is destroyed six months after the employee has left the Board.

Board Physician, Board of Governors of the Federal Reserve System, 20th & Constitution, NW, Washington, DC 20551.

Same as "Notification procedure" above, but see the special procedures set forth in the Board's Rules Regarding Access to and Review of Personal Information Under the Privacy Act, 12 CFR 261a.7.

Same as "Notification procedure" above.

The individual to whom the record pertains; an employee's physical or mental health care provider or counselor; the contractor administering the Drug-Free Workplace Plan; official records of other federal agencies; Federal Reserve System personnel records.

None.

-4 FRB -- General Personnel Records.

None.

Board of Governors of the Federal Reserve System, 20th and Constitution, NW, Washington, DC 20551.

Current and former employees of the Board, and the surviving spouses and children of former Board employees.

This system of records consists of information relating to employment determinations, such as salary and job classification actions, disciplinary actions, leave issues, reasonable accommodation decisions, Performance Management Program (PMP) appeals, grievances, as well as any other decisions made about an individual during the course of his or her employment by the Board. These records may contain information about employees and former employees relating to employment, placement, and personnel actions; academic assistance, and training and development activities; health conditions; background investigations; and salary actions. PMP ratings are included, but the actual PMP form is not included. Also included are: minority group and medical disability designators; records relating to benefits and designation of beneficiary; emergency contact information; address and name changes; information concerning awards; and other information relating to the status of the individual while employed by the Board, including records of jury duty by the employee and any doctor's certificate that may have been filed at the request of the employee regarding the employee's health. The system of records also contains information regarding surviving beneficiaries of deceased Board employees to the extent necessary to provide benefits to those individuals. All categories of records may include identifying information, such as name, date of birth, home address, mailing address, social security number, and home telephone.

Secs. 10 and 11 of the Federal Reserve Act (12 U.S.C. 244 and 248(l)).

These records are collected and maintained to assist the Board in its personnel actions and decisions, and in the administration of its benefits programs.

These records and information in these records may be used:

a. To disclose information to Government training facilities (Federal, State, and local) and to non-Government training facilities (private vendors of training courses or programs, private schools, etc.) for training purposes.

b. To disclose information to educational institutions on appointment of a recent graduate to a position at the Board, and to provide college and university officials with information about their students who are working in internships or other similar programs necessary to a student's obtaining credit for the experience gained.

c. To disclose information to the Department of Labor, Department of Veterans Affairs, Social Security Administration, Department of Defense, a Federal Reserve Bank, or any Federal agencies that have special civilian employee retirement programs; or to a national, State, county, municipal, or other publicly recognized charitable or income security, administration agency (e.g., State unemployment compensation agencies), when necessary to adjudicate a claim under the retirement, insurance, unemployment, or health benefits programs of the Board, a Federal Reserve Bank, or any agency cited above, or to an agency to conduct an analytical study or audit of benefits being paid under such programs.

d. To disclose to the Office of Federal Employees Group Life Insurance, information necessary to verify election, declination, or waiver of regular and/or optional life insurance coverage, eligibility for payment of a claim for life insurance, or a Thrift Savings Program (TSP) election change and designation of beneficiary.

e. To disclose to an employee, agent, contractor, or administrator of any Board, Federal Reserve System, or Federal government employee benefit or savings plan, any information necessary to carry out any function authorized under such plan, or to carry out the coordination or audit of a benefit or savings plan.

g. To disclose information to any source from which additional information is requested (to the extent necessary to identify the individual, inform the source of the purpose(s) of the request, and to identify the type of information requested), when necessary to obtain information relevant to a Board decision to hire or retain an employee, issue a security clearance, conduct a security or suitability investigation of an individual, classify jobs, let a contract, or issue a license, grant, or other benefits.

h. To disclose to a Federal agency in the executive, legislative or judicial branch of government, or to a Federal Reserve Bank, in response to its request, or at the initiation of the Board, information in connection with the hiring of an employee, the issuance of a security clearance, the conducting of a security or suitability investigation of an individual, the classifying of jobs, the letting of a contract, the issuance of a license, grant, or other benefits by the requesting agency, or the lawful statutory, administrative, or investigative purpose of the agency to the extent that the information is relevant and necessary to the requesting agency's decision.

i. To provide information to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of the individual.

j. To disclose information to another Federal agency, a court, or a party in litigation before a court or in an administrative proceeding being conducted by a Federal agency, when the Board or United States is a party to the judicial or administrative proceeding.

k. To disclose information to the Department of Justice, or in a proceeding before a court, adjudicative body, or other administrative body before which the Board is authorized to appear, when:

(1) The Board or any employee of the Board in his or her official capacity; or

(2) Any employee of the Board in his or her individual capacity where the Department of Justice or the Board has agreed to represent the employee; or

l. By the National Archives and Records Administration in connection with records management inspections and its role as Archivist.

m. When an individual to whom a record pertains is deceased, or mentally incompetent, or under other legal disability, information in the individual's record may be disclosed to the executor of the individual's estate, the government entity probating a will, a designated beneficiary, or to any person who is responsible for the care of the individual, to the extent necessary to assure payment of benefits to which the individual, heir, or beneficiary is entitled.

n. To disclose to the Board-appointed representative of an employee all notices, determination, decisions, or other written communications issued to the employee, in connection with an examination ordered by the Board under fitness-for-duty examination procedures.

o. To disclose, in response to a request for discovery or for appearance of a witness, information that is relevant to the subject matter involved in a pending judicial or administrative proceeding.

p. To disclose to a requesting agency, organization, or individual the home address and other relevant information on those individuals who it reasonably believed might have contracted an illness or might have been exposed to or suffered from a health hazard while employed in the Federal workforce.

q. To disclose information to the Equal Employment Opportunity Commission when requested in connection with investigations of alleged or possible discrimination practices in the Federal sector, examination of Federal affirmative employment programs, or other functions vested in the Commission.

r. To disclose to prospective non-Federal employers the following information about a specifically identified current or former Board employee: (1) tenure of employment; (2) civil service status; (3) length of service at the Board and in the Government; and (4) when separated, the date and nature of action as shown on the Job Action.

s. To disclose information to contractors, agents, or volunteers performing or working on a contract, service, cooperative agreement, or job for the Board.

t. To disclose information to a Federal, State or local governmental entity or agency (or its agent) when necessary to locate individuals who are owed money or property either by a Federal, State, or local agency, or by a financial or similar institution.

u. To disclose to a spouse or dependent child (or court-appointed guardian thereof) of a Board employee enrolled in the Federal Employees Health Benefits Program, upon request, whether the employee has changed from a self-and-family to a self-only health benefits enrollment.

v. To verify for an entity preparing to make a loan to an employee the individual's employment status and salary.

w. To disclose information to officials of labor organizations recognized under applicable law when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions.

x. To disclose information to the Merit Systems Protection Board or the Office of Special Counsel in connection with appeals, special studies of the civil service and other merit systems, review of Office rules and regulations, investigation of alleged or possible prohibited personnel practices, and such other functions promulgated in 5 U.S.C. chapter 12, or as may be authorized by law.

y. To disclose information to officials of foreign governments for clearance before a Board employee is assigned to that country.

z. To disclose information to a Federal, State, or local agency for determination of an individual's entitlement to benefits in connection with Federal Housing Administration programs.

aa. To consider and select employees for incentive awards and other honors and to publicize those granted. This may include disclosure to other public and private organizations, including news media, which grant or publicize employee recognition.

bb. To disclose specific Board or civil service employment information required under law by the Department of Defense on individuals identified as members of the Ready Reserve to assure continuous mobilization readiness of Ready Reserve units and members, and to identify demographic characteristics of Board or civil service retirees for national emergency mobilization purposes.

cc. To disclose information to the Department of Defense, National Oceanic and Atmospheric Administration, U.S. Public Health Service, Department of Veterans Affairs, and the U.S. Coast Guard needed to effect any adjustments in retired or retained pay required by the dual compensation provisions of section 5532 of title 5, United States Code.

dd. To disclose information in connection with the investigation and resolution of election disputes or other matters within the jurisdiction of the Federal Reserve Board Labor Relations Panel when requested.

ee. To disclose relevant information with personal identifiers of Board employees to authorized Federal agencies and non-Federal entities for use in computer matching. The matches will be performed to help eliminate waste, fraud, and abuse in Governmental programs; to help identify individuals who are potentially in violation of civil or criminal law or regulation; and to collect debts and overpayments owed to Federal, State, or local governments and their components. The information disclosed may include, but is not limited to, the name, social security number, date of birth, sex, annualized salary rate, service computation date of basic active service, veteran's preference, retirement status, occupational services, health plan code, position occupied, work schedule (full time, part time, or intermittent), duty station location, standard metropolitan service area, special program identifier, and submitting office number of Board employees.

ff. To disclose information to Federal, State, local, and professional licensing boards, Board of Medical Examiners, or to the Federation of State Medical Boards or a similar non-government entity which maintains records concerning individuals' employment histories or concerning the issuance, retention or revocation of licenses, certifications or registration necessary to practice an occupation, profession or speciality, in order to obtain information relevant to a Board decision concerning the hiring, retention or termination of an employee or to inform a Federal agency or licensing boards or the appropriate non-government entities about the health care practices of a terminated, resigned or retired health care employee whose professional health care activity so significantly failed to conform to generally accepted standards of professional medical practice as to raise reasonable concern for the health and safety of patients in the private sector or from another Federal agency.

gg. To disclose information to the Office of Child Support Enforcement, Administration for Children and Families, Department of Health and Human Services, Federal Parent Locator System and Federal Offset System for use in locating individuals, verifying social security numbers, and identifying their incomes sources to establish paternity, establish and modify orders of support for enforcement action.

hh. To disclose to Federal Reserve Bank personnel responsible for assigning examination or inspection staff information concerning a current employee's job qualifications and specializations and that employee's availability for assignment.

Disclosure to consumer reporting agencies:

Not applicable.

Storage:

Records are maintained in file folders, microfiche, and in electronic storage media.

Associate Director, Human Resources Function, Management Division, Board of Governors of the Federal Reserve System, 20th &Constitution, NW, Washington, DC 20551.

Inquiries should be sent to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th and Constitution Avenue, NW, Washington, DC 20551. The request should contain the individual's name, date of birth, Social Security number, identification number (if known), approximate date of record, and type of position.

Same as "Notification procedure" above.

Information in this system of records comes from the individual to whom it applies or is derived from the information the individual supplied, except information provided by Board officials. Information is also obtained from the following sources: OPM Personnel Management Records System; personnel records of other Government agencies; personnel records of Federal Reserve Banks; and official transcripts from schools when authorized by the employee.

Pursuant to subsections (k)(2) and (k)(5) of the Privacy Act and the Board's regulation relating thereto (12 CFR 261a), certain portions of this system of records may be exempted from certain provisions of the Act where: (1) Such portions represent investigatory material compiled for law enforcement purposes, or (2) such portions represent investigatory material compiled solely for the purpose of determining suitability, eligibility, or qualifications for Board employment to extent that disclosure of such portions would reveal the identity of a source who furnished information under a promise of confidentiality.

-5 FRS--EEO Discrimination Complaint File.

Board of Governors, Federal Reserve System, 20th and Constitution, NW, Washington, DC 20551.

Applicants for Board employment, current and former Board employees, and annuitants who file a complaint of discrimination or appeal a determination made by an official of the Board relating to equal employment opportunities.

This system of records contains information or documents relating to a complaint, the decision or determination made by the Board affecting an individual under the Board's EEO regulations and procedures. The records consist of the initial complaint or appeal letters or notices to the individual, record of hearings when conducted materials placed into the record to support the decision or determination, affidavits or statements, testimonies of witnesses, investigative reports, instructions to the Board and/or individual about action to be taken to comply with decisions, and related correspondence, opinions and recommendations.

Section 11 of the Federal Reserve Act (12 U.S.C. 248(i) and 248(1)).

The information in the records may be used:

a. To respond to a request from a Member of Congress regarding the status of an appeal, complaint or grievance.

b. To provide information to the public on the decision of an appeal, complaint, or grievance required by the Freedom of Information Act.

c. To respond to a court order.

d. To adjudicate an appeal, complaint, or grievance.

e. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained, or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.

f. To refer, where there is an indication of a violation or potential violation of law, whether civil, or regulatory in nature, to the appropriate agency, whether Federal, state, or local, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, rule, regulation or order issued pursuant thereto.

g. To provide information or disclose to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the letting of a contract, or issuance of a license, grant, or other benefit by the requesting agency to the extent that the information is relevant and necessary to the requesting agency's decision on that matter.

Storage:

These records are maintained in file folders, binders, and index cards.

These records are indexed by the names of the individuals on whom they are maintained.

Access to and use of these records are limited to those persons whose official duties require such access. Personnel screening is employed to prevent unauthorized disclosure.

The records are maintained indefinitely.

Director of Personnel, Board of Governors, Federal Reserve System, 20th and Constitution, NW, Washington, DC 20551.

Individuals who have filed appeals or grievances are aware of that fact and have been provided a copy of the records. They may, however, contact the System Manager, address above. Individuals should provide their name, date of birth, and the approximate date of employment or application, and the kind of action taken by the Board when making inquiries about records.

Individuals who have appealed or filed a grievance about a decision or determination made by the Board or about conditions existing in the Board already have been provided a copy of the records. However, to gain access or contest the records in this system, individuals should contact the System Manager, address above. Individuals should provide their name, date of birth, approximate date of employment or application and the kind of action taken by the Board when requesting access to, or contest of records.

a. Individual to whom the record pertains

b. Board employees.

c. Affidavits or statements from employee.

d. Testimonies of witnesses.

e. Official documents relating to the appeal, grievance, or complaints.

f. Correspondence from specific organizations or persons.

Pursuant to subsection (k)(2) of the Privacy Act and the Board's regulation relating thereto (12 CFR part 261a), certain portions of this system of records may be exempted from certain provisions of the Act where such portions represent investigatory material complied for law enforcement purposes.

-6 FRB--Disciplinary and Adverse Action Records.

None.

Board of Governors of the Federal Reserve System, 20th and Constitution, NW, Washington, DC 20551.

Current and former Board employees (including special employees), and annuitants who are involved in a disciplinary or adverse action.

This system contains records and documents on the processing of adverse actions and disciplinary actions. The records include, as appropriate, copies of the notice of proposed action, materials relied on by the Board to support the reasons in the notice, replies by the employee, statements of witnesses, hearing notices, record of hearings, reports, appeals and related documents, and Board decisions. This system may also contain records related to the Career Transition Program.

Secs. 10(4) and 11(l) of the Federal Reserve Act (12 U.S.C. 244 and 248(l)).

These records are collected and maintained to assist the Board in administering its personnel functions, and to maintain a record of proceedings in a disciplinary or adverse action.

The information in the records may be used:

a. To disclose information to any source from which additional information is requested for processing any of the covered actions or in regard to any appeal or administrative review procedure, to the extent necessary to identify the individual, inform the source of the purpose(s) of the request and identify the type of information requested.

b. To disclose pertinent information to the appropriate Federal, State, or local agency responsible for investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, when the Board becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation.

c. To disclose to a Federal agency in the executive, legislative or judicial branch of government, or to a Federal Reserve Bank, in response to its request, or at the initiation of the Board, information in connection with the hiring of an employee, the issuance of a security clearance, the conducting of a security or suitability investigation of an individual, the classifying of jobs, the letting of a contract, the issuance of a license, grant, or other benefits by the requesting agency, or the lawful statutory, administrative, or investigative purpose of the agency to the extent that the information is relevant and necessary to the requesting agency's decision.

d. To provide information to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of the individual.

e. To disclose information to another Federal agency, a court, or a party in litigation before a court or in an administrative proceeding being conducted by a Federal agency, when the Board is a party to the judicial or administrative proceeding.

f. To disclose information to the Department of Justice or in a proceeding before a court, adjudicative body, or other administrative body before which the Board is authorized to appear, when:

(1) The Board or any employee of the Board in his or her official capacity; or

(2) Any employee of the Board in his or her individual capacity where the Department of Justice or the Board has agreed to represent the employee; or

g. By the National Archives and Records Administration in connection with records management inspections and its role as Archivist.

h. To disclose information to the Equal Employment Opportunity Commission when requested in connection with investigations or other functions vested in the Commission.

i. To disclose information to the Merit Systems Protection Board in connection with appeals filed by preference-eligible employees.

j. To disclose information in connection with the investigation and resolution of allegations of unfair labor practices before the Federal Reserve Board Labor Relations Panel when requested.

k. To disclose, in response to a request for discovery or for appearance of a witness, information that is relevant to the subject matter involved in a pending judicial or administrative proceeding.

l. To locate individuals for personnel research or survey response and in producing summary descriptive statistics and analytical studies to support the function for which the records are collected and maintained, or for related work force studies. While published statistics and studies do not contain individual identifiers, in some instances the selection of elements of data included in the study may be structured in such a way as to make the data individually identifiable by inference.

m. To provide an official of another Federal agency information he or she needs to know in the performance of his or her official duties or reconciling or reconstructing data files, in support of the functions for which the records were collected and maintained.

n. To disclose information to the Department of Labor, Department of Veterans Administration, Social Security Administration, or any other Federal Agencies that have special civilian employee retirement programs; or to a national, State, county, municipal, or other publicly recognized charitable or income security, administration agency (e.g., State unemployment compensations agencies), when necessary to adjudicate a claim under the retirement, insurance, unemployment, or health benefits programs of the Board or an agency, or to conduct an analytical study or audit of benefits being paid under such programs.

o. To disclose to contractors, grantees or volunteers performing or working on a contract, service, grant, cooperative agreement, or job for the Board, when necessary to performance.

Disclosure to consumer reporting agencies:

Not applicable.

Storage:

These records are maintained in file folders, binders, index cards, magnetic tape and disk.

These records are indexed by the names of the individuals on whom they are maintained.

Access to and use of these records are limited to those persons whose official duties require such access. Personnel screening is employed to prevent unauthorized disclosure.

Records are maintained for seven years after the case is closed.

Associate Director, Human Resources Function, Management Division, Board of Governors of the Federal Reserve System, 20th & Constitution, NW., Washington, DC 20551.

Inquiries should be sent to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th and Constitution Avenue, NW., Washington, DC 20551. The request should contain the individual's name, date of birth, Social Security number, identification number (if known), approximate date of record, and type of position. Individuals receiving notice of a proposed adverse action must be provided access to all documents supporting the notice. At any time thereafter, individuals subject to the action will be provided access to the complete record.

Individuals against whom disciplinary or adverse actions are taken must be provided access to the record. However, after the action has been closed, an individual may request access to the official file by contacting the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th and Constitution Avenue, NW., Washington, DC 20551. The request should contain the individual's name, date of birth, Social Security number, identification number (if known), approximate date of record, and type of position.

Review of requests from individuals seeking amendment of their records that have or could have been the subject of a judicial, quasi-judicial, or administrative action will be limited in scope. Review of amendment requests of these records will be restricted to determining if the record accurately documents that action of the Board, and will not include a review of the merits of the action, determination, or finding.

Individuals wishing to request amendment of their records to correct factual errors should contact the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th and Constitution Avenue, NW., Washington, DC 20551. The request should contain the individual's name, date of birth, Social Security number, identification number (if known), approximate date of record, and type of position.

Individual to whom the record pertains; Board officials; affidavits or statements from employees; testimonies of witnesses; official documents relating to an action, appeal, grievance, or complaints; and correspondence from specific organizations or persons.

None.

-7 Payroll and Leave.

None.

Board of Governors of the Federal Reserve System, 20th and Constitution, NW., Washington, DC 20551. Some information is electronically stored off-site on behalf of the Board by a contractor.

Past and present employees and members of the Board.

Payroll records, including pay statements; requests for deductions; tax and social security withholdings; Board retirement deductions; voluntary withholdings for the Board's Thrift Plan or FERS, savings bonds, CFC, and insurance; tax forms; W-2 forms; overtime requests; leave data; and worker's compensation data. Leave records, including compensatory time, and codes indicating reasons for taking leave, such as family illness, or military leave.

Section 11 of the Federal Reserve Act (12 U.S.C. 248(i) and 248(l)).

These records are used by the Board for payroll, attendance, leave, insurance, tax, retirement, budget, and cost accounting programs, and to facilitate compliance with statutory requirements.

The information in the records may be used for the following purposes.

a. By the National Archives and Records Administration in connection with records management inspections and its role as Archivist.

b. To disclose to contractors, agents, or volunteers performing or working on a contract, service, cooperative agreement, or job for the Board.

c. To disclose information to Federal, State, local, and professional licensing boards, Board of Medical Examiners, or to the Federation of State Medical Boards or a similar non-government entity which maintains records concerning individuals' employment histories or concerning the issuance, retention or revocation of licenses, certifications or registration necessary to practice an occupation, profession or specialty, in order to obtain information relevant to a Board decision concerning the hiring, retention or termination of an employee or to inform a Federal agency or licensing boards or the appropriate non-government entities about the health care practices of a terminated, resigned or retired health care employee whose professional health care activity so significantly failed to conform to generally accepted standards of professional medical practice as to raise reasonable concern for the health and safety of patients in the private sector or from another Federal agency.

d. To disclose pertinent information to the appropriate Federal, State, or local agency responsible for investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, when the Board becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation.

e. To disclose information to any source from which additional information is requested (to the extent necessary to identify the individual, inform the source of the purpose(s) of the request, and to identify the type of information requested), when necessary to obtain information relevant to a Board decision to hire or retain an employee, issue a security clearance, conduct a security or suitability investigation of an individual, classify jobs, let a contract, or issue a license, grant, or other benefits.

f. To disclose to a Federal agency or to a Federal Reserve Bank, in response to its request, or at the initiation of the Board, information in connection with the hiring of an employee, issuing a security clearance, conducting a security or suitability investigation of an individual, classifying positions, letting a contract, or issuing a license, grant, or other benefit by the requesting agency or Federal Reserve Bank, or the lawful statutory, administrative, or investigative purpose of the agency to the extent that the information is relevant and necessary to the requesting agency's or Federal Reserve Bank's decision.

g. To provide information to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of the individual.

h. To disclose information to another Federal agency, a court, or a party in litigation before a court or in an administrative proceeding being conducted by a Federal agency, when the Board or United States is a party to the judicial or administrative proceeding.

i. To disclose information to the Department of Justice or in a proceeding before a court, adjudicative body, or other administrative body before which the Board is authorized to appear, when:

(1) The Board or any employee of the Board in his or her official capacity; or

(2) Any employee of the Board in his or her individual capacity where the Department of Justice or the Board has agreed to represent the employee; or

j. To disclose, in response to a request for discovery or for appearance of a witness, information that is relevant to the subject matter involved in a pending judicial or administrative proceeding.

k. To disclose information to the Equal Employment Opportunity Commission when requested in connection with investigations of alleged or possible discrimination practices in the Federal sector, examination of Federal affirmative employment programs, or other functions vested in the Commission.

l. To disclose information to the Merit Systems Protection Board or the Office of Special Counsel in connection with appeals, special studies of the civil service and other merit systems, review of Office rules and regulations, investigation of alleged or possible prohibited personnel practices, and such other functions, e.g., as prescribed in 5 U.S.C. chapter 12, or as may be authorized by law.

m. To disclose information in connection with the investigation and resolution of allegations of unfair labor practices before the Federal Reserve Board Labor Relations Panel when requested.

n. To provide information to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the letting of a contract, or issuance of a license, grant, or other benefit by the requesting agency to the extent that the information is relevant and necessary to the requesting agency's decision on that matter.

o. To provide information to the Office of Child Support Enforcement, Administration for Children and Families, Department of Health and Human Services Federal for the purposes of locating individuals to establish paternity, establishing and modifying orders of child support, identifying sources of income, and for other child support enforcement actions as required by the Personal Responsibility and Work Opportunity Reconciliation Act (Welfare Reform Law, Pub. L. 104-193).

p. To appropriate Federal and State agencies to provide required reports including data on unemployment insurance.

q. To the Social Security Administration to report FICA deductions.

r. To charitable institutions to report contributions.

s. To the Internal Revenue Service and to State, local, tribal and territorial governments for tax purposes.

t. To the Office of Personnel Management in connection with programs administered by that office.

u. To an employee, agent, contractor, or administrator of any Board, Federal Reserve System, or Federal government employee benefit or savings plan, any information necessary to carry out any function authorized under such plan, or to carry out the coordination or audit of a benefit or savings plan.

v. To officials of labor organizations recognized under applicable law when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions.

w. To a Federal agency for the purpose of collecting a debt owed the Federal government through administrative or salary offset or the offset of tax refunds

x. To other Federal agencies conducting computer matching programs to help eliminate fraud and abuse and to detect unauthorized overpayments made to individuals.

y. To the Department of Defense, National Oceanic and Atmospheric Administration, U.S. Public Health Service, Department of Veterans Affairs, and the U.S. Coast Guard needed to effect any adjustments in retired or retained pay required by the dual compensation provisions of 5 U.S.C. 5532.

Storage. Electronic and paper files.

Retrievability. Filed by name, Social Security number, and employee number.

Safeguards. Access to and use of these records is limited to those persons whose official duties require such access. Personnel screening is employed to prevent unauthorized access. Electronic files are protected by passwords. Paper records are stored in cabinets and a safe.

Retention and disposal: Various; minimum of one year from date of annual audit; maximum of indefinite.

Associate Director, Human Resources Function, Management Division, Board of Governors of the Federal Reserve System, 20th and Constitution, NW., Washington, DC 20551.

Inquiries should be sent to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue, NW., Washington, DC 20551.

Same as "Notification procedure" above.

Internal personnel forms, federal, state, and local tax forms, employee authorizations and directive forms, insurance forms, leave and overtime reports, federal and state garnishment forms.

None.

-8 Travel Records.

None.

Board of Governors of the Federal Reserve System, 20th and Constitution, NW., Washington, DC 20551. A commercial credit card contractor maintains information on employee use of the government travel credit card.

Current and former Board employees.

Travel Authorization forms and supporting documentation; Travel Expense Statements and supporting documentation; applications for the government travel card; periodic reports from the commercial credit card contractor regarding use of the government travel cards; records regarding Board reimbursement of travel expenses; and records regarding reservations for transportation and lodging made by the Board's Travel Desk.

Secs. 10(4) and 11(l) of the Federal Reserve Act (12 U.S.C. 244 and 248(l)).

To provide a travel management process that covers official travel for the Board and provides for tracking and appropriate reimbursement of expenses incurred in such travel.

The information in the records may be used:

a. By the National Archives and Records Administration in connection with records management inspections and its role as Archivist.

b. To disclose to contractors, grantees or volunteers performing or working on a contract, service, grant, cooperative agreement, or job for the Board, where necessary for performance.

c. To provide information to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of the individual.

d. To disclose information to another Federal agency, a court, or a party in litigation before a court or in an administrative proceeding being conducted by a Federal agency, when the Board is a party to the judicial or administrative proceeding.

e. To disclose information to the Department of Justice or in a proceeding before a court, adjudicative body, or other administrative body before which the Board is authorized to appear, when:

(1) The Board or any employee of the Board in his or her official capacity; or

(2) Any employee of the Board in his or her individual capacity where the Department of Justice or the Board has agreed to represent the employee; or

f. To disclose information to the Equal Employment Opportunity Commission when requested in connection with investigations or other functions vested in the Commission.

g. To disclose information to the Merit Systems Protection Board in connection with appeals filed by preference-eligible employees.

h. To disclose information in connection with the investigation and resolution of allegations of unfair labor practices before the Federal Reserve Board Labor Relations Panel when requested.

i. To disclose, in response to a request for discovery or for appearance of a witness, information that is relevant to the subject matter involved in a pending judicial or administrative proceeding.

j. To disclose pertinent information to the appropriate Federal, State, or local agency responsible for investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, when the Board becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation.

Disclosure to consumer reporting agencies:

Disclosures may be made from this system to consumer reporting agencies as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) regarding the use of the government travel card.

Storage:

Records are maintained in file folders and in computer processable storage media.

Records are indexed by name or trip number.

Current and previous year's paper records are stored in the central lundia file system with access limited to those whose official duties require it. Records three years and older are stored in cardboard files in secured rooms. Access to computerized records is limited, through use of access codes, to those whose official duties require it.

Records are destroyed six years after reimbursement is made unless the claim is subject to litigation, in which case the records are destroyed when 10 years old.

Associate Director, Finance Function, Management Division, Board of Governors of the Federal Reserve System, 20th & Constitution, NW., Washington, DC 20551.

Same as "Notification procedure" above.

Information provided by the employee, information from Travel Authorizations, reports from the credit card contractor, information from the Finance Function of the Management Division regarding reimbursement; and information from the Travel Desk regarding reservations.

None.

-9 FRB--Consultant and Staff Associate File.

Board of Governors, Federal Reserve System, 20th and Constitution, NW, Washington, DC 20551.

Individuals retained by formal agreement, who (1) provide consulting services to the Board and (2) act as advisors to the Board, but do not maintain the independence of action necessary to meet the requirements for classification as an independent contractor.

Documents, letters, memorandum of understanding relating to agreement, rates of pay, payment, records, vouchers, invoicers, and selection; negotiation, implementation, scope and performance of work. Additional information may be found on reemployed annuitants in the FRB-General Personnel Records.

Section 11 of the Federal Reserve Act (12 U.S.C. 248(i) and 248(l)).

Routine uses include, but are not restricted to, selection, monitoring, evaluation and control, audit and analysis, routine management activity, and statistical use without individual indentification; verification and confirmation; and referral when used as a basis for prospective employment by employers other than the Board; to provide information or disclose to a Federal agency, or any other employer or prospective employer, in response to its request, in connection with the hiring or retention of an employee, the letting of a contract, or issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency's decision on the matter.

Storage:

Folder, punched card, tape, disk and index card.

File by name, and cross index by voucher number and date, or identifying number.

Stored in secured area.

Indefinite.

For consultants:

Office of Controller, Board of Governors, Federal Reserve System, 20th and Constitution NW, Washington, DC 20551.

For Staff Associates:

Director of Personnel, Board of Governors, Federal Reserve System, 20th and Constitution NW, Washington, DC 20551.

Individuals who have filed appeals or grievances are aware of that fact and have been provided a copy of the records. They may, however, contract the System Manager, address above. Individuals should provide their name, date of birth, and the approximate date of employment or application, and the kind of action taken by the Board when making inquiries about records.

Individuals who have appealed or filed a grievance about a decision or determination made by the Board or about conditions existing in the Board already have been provided a copy of the records. However, to gain access or contest the records in this system, individuals should contact the System Manager, address above. Individuals should provide their name, date of birth, approximate date of employment or application, and the kind of action taken by the Board when requesting access to, or contest of records.

Information in this system of records is obtained from the individual to whom it applies or is derived from information supplied by the individual, except information provided by Board staff, and for reemployed annuitants where the inactive General Personnel File is activated.

Pursuant to subsections (k)(2) and (k)(5) of the Privacy Act and the Board's regulation relating thereto (12 CFR part 261a), certain portions of this systems of records may be exempted from certain provisions of the Act where: (1) Such portions represent investigatory material compiled for law enforcement purposes, or (2) such portions represent investigatory material compiled solely for the purpose of determining suitability, eligibility, or qualifications for Board employment to the extent that disclosure of such portions would reveal the identity of a source who furnished information under a promise of confidentiality.

-12 Biographical File of Federal Reserve Bank Officers.

None.

Board of Governors of the Federal Reserve System, 20th and Constitution Ave., NW., Washington, DC 20551.

Current and former Federal Reserve Bank officers.

The system contains a variety of biographical information on the Reserve Bank officers, as well as personnel actions that occurred during that officer's employment by the Federal Reserve System. The biographical information includes System employment date; birth date; tenure; medical; education; gender; ethnicity; veteran status; past and present salaries, group levels, department, and position titles. Personnel actions include, but are not limited to: appointment, promotion, reassignment, transfer, demotion, awards, and separation.

Sections 11 and 21 of the Federal Reserve Act (12 U.S.C. 248 and 12 U.S.C. 485).

These records are collected and maintained to assist the Board in its role as supervisor of the Federal Reserve Banks.

Information in these records may be used:

a. By the National Archives and Records Administration in connection with records management inspections and its role as Archivist.

b. To disclose to contractors, agents, or volunteers performing or working on a contract, service, cooperative agreement, or job for the Board.

c. By Federal Reserve System officials for purposes of review in connection with appointments, transfers, promotion, function reassignments, adverse actions, reassignment to non-officer status, and determination of qualifications of an individual.

d. To publish name, title and department/function data for the directory of officers of the Federal Reserve Banks.

e. To provide reports to Congress, agencies, and the public on characteristics of the work force.

f. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained, or for related personnel management functions or man-power studies. May also be utilized to respond to general requests for information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.

g. To disclose pertinent information to the appropriate Federal, State, or local agency responsible for investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, when the Board becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation.

i. To provide information to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of the individual.

Storage: Records are maintained in file folders, loose-leaf notebooks, and an electronic database.

Retrievability: Electronic records are indexed by combination of name or identification number. Records in file folders and notebooks are maintained by Federal Reserve Districts.

Safeguards: Records are maintained in lockable metal file cabinet or metal file cabinets in secured rooms with access limited to those whose official duties require access. Access to the electronic database is controlled through assignment of security clearances to appropriate personnel.

Retention and disposal: Records are retained by the system manager until the officer separates from the Federal Reserve System, at which time they are sent to the Board's Records for permanent file, where they are maintained indefinitely.

Director of Reserve Bank Operations and Payment Systems, Board of Governors of the Federal Reserve System, 20th and Constitution Ave, NW., Washington, DC 20551.

Inquiries should be sent to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue, NW., Washington, DC 20551.

Same as "Notification procedure" above.

None.

-13 Federal Reserve System Bank Supervision Staff Qualifications.

None.

Board of Governors of the Federal Reserve System, 20th and Constitution Avenue, NW., Washington, DC 20551; and the twelve Federal Reserve Banks, located in Boston, MA; New York, NY; Philadelphia, PA; Cleveland, OH; Richmond, VA; Atlanta, GA; Chicago, IL; St. Louis, MO; Minneapolis, MN; Kansas City, MO; Dallas, TX; and San Francisco, CA.

Past and present bank supervision staff employed by the Federal Reserve System, who are located at the Board of Governors and the twelve Federal Reserve Banks. Bank supervision staff includes bank examiners and selected supervision staff in the Federal Reserve System.

This system of records contains information relating to the skills, qualifications, training, and experience of bank supervision staff. It also contains information regarding past and present assignments and current availability of individual bank supervision staff employees.

Section 11 of the Federal Reserve Act, (12 U.S.C. 248(a) and 248(l)).

These records are collected and maintained to assist the Board in performing its statutory duty to examine state member banks, bank holding companies, financial holding companies and affiliates of such institutions. The information is used to assist in career development of examiners and other bank supervision staff. The information also aids the Board and the Reserve Banks in selecting qualified bank supervision staff for particular assignments.

The information in the records may be used:

a. To disclose information to Federal Reserve Banks, contractors, or agents in connection with work performed on behalf of the Board.

b. To disclose information to the National Archives and Records Administration in connection with records management inspections and its role as Archivist.

c. To disclose pertinent information to the appropriate federal, state, or local agency responsible for investigation, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, where the Board becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation.

d. To disclose to a Federal Reserve Bank or a federal agency in the executive, legislative, or judicial branch of government, in response to its request, information in connection with the hiring of an employee, the issuance of a security clearance, the conducting of a security or suitability investigation of an individual, the classifying of jobs, or the lawful statutory, administrative, or investigative purpose of the Federal Reserve Bank or agency to the extent that the information is relevant or necessary to the requesting Federal Reserve Bank's or agency's decision or action.

e. To provide information to a congressional office from the record of an individual in response to an inquiry from that congressional office made at the request of that individual.

f. To disclose, in response to a request for discovery or for appearance of a witness, information that is relevant to the subject matter involved in a pending judicial or administrative proceeding.

g. To disclose information to another federal agency, to a court, or to a party in litigation before a court or in an administrative proceeding being conducted by a federal agency when the Board or Federal government is a party to the judicial or administrative proceeding.

h. To disclose to an authorized appeal grievance examiner, formal complaints examiner, administrative judge, equal employment opportunity investigator, arbitrator, mediator or other duly authorized official engaged in investigation, administrative resolution or settlement of a grievance, complaint or appeal filed by an employee.

i. To disclose information to officials of state or local bar associations or disciplinary boards or committees when they are investigating complaints against attorneys in connection with their representation of a party before the Board, Equal Employment Opportunity Commission, or a court.

Disclosure to consumer reporting agencies:

Not applicable.

Storage: These records are maintained in file folders and in electronic media.

These records are retrievable by the name of and/or a unique assigned identification number for the individual on whom they are maintained.

Access to, and use of, these records is limited to those persons whose official duties require such access.

Records regarding training are removed from the active file when the employee leaves the Federal Reserve System and deleted five years later. Records in other parts of this system are currently under review to determine the appropriate retention period and will be retained until the appropriate retention period has been established.

Director, Division of Banking Supervision and Regulation, and Director, Consumer and Community Affairs, Board of Governors of the Federal Reserve System, 20th and Constitution, NW., Washington, DC 20551.

Same as "Notification procedure" above.

The records come from the individual to whom the record pertains, and personnel and training records regarding the individual that are maintained by the Board and Federal Reserve Banks.

None.

-14 Federal Reserve Bank and Branch Directors.

Board of Governors of the Federal Reserve System, 20th and Constitution, NW, Washington, DC 20551.

Past and present Federal Reserve Bank and Branch directors.

Biographical sketches or resumes of Federal Reserve Bank and Branch directors, appointment and acceptance letters, oaths of office, and letters of resignation.

Sections 3, 4 and 11 of the Federal Reserve Act (12 USC 521; 301 - 305; and 248(f)).

Storage:

In paper and electronic format.

Indexed by name, Federal Reserve district and class of director.

Paper copies are locked in file cabinets. Access to both paper copies and electronic information is limited to authorized Board staff.

Files are to be retained a minimum of five years, and then destroyed when no longer needed for administrative or reference purposes.

Secretary of the Board, Board of Governors of the Federal Reserve System, 20th and Constitution, NW, Washington, DC 20551.

Inquiries should be sent to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th and Constitution Avenue, N.W., Washington, DC 20551. The request should contain the individual's name, approximate date of record, applicable Federal Reserve district, and type of director position.

Same as "Notification procedure" above.

Generated by individual's incoming correspondence and staff response thereto.

Board of Governors, Federal Reserve System, 20th and Constitution, NW, Washington, DC 20551.

Past and present Federal Reserve Agents, Alternates and Representatives at Federal Reserve Banks.

Biographies of past and present examiners, oath of office and miscellaneous correspondence relating to such persons.

Sections 4 and 11 of the Federal Reserve Act (12 U.S.C. 248(i), (j) and 305).

Used as background information for determining qualifications for appointment, reappointment etc.; for completing information for news releases and other correspondence; and recording correspondence concerning such persons.

Storage:

Paper records.

Indexed by name.

Locked in Supreme power file. Access limited to Board staff on a restricted basis.

Indefinite.

System Manager, as indicated above.

Same as "Notification" above.

Generated by individual's incoming correspondence and staff response thereto.

Pursuant to subsection (k)(5) of the Privacy Act and the Board's regulation relating thereto (12 CFR part 261a), certain portions of this system of records may be exempted from certain provisions of the Act: Where such portions represent investigatory material compiled solely for the purpose of determining suitability, eligibility, or qualifications for Board employment to the extent that disclosure of such portions would reveal the identity of a source who furnished information under a promise of confidentiality.

-17 FRB--Municipal or Government Securities Principals and Representatives.

None.

Board of Governors of the Federal Reserve System, 20th and Constitution, NW., Washington, DC 20551.

Persons who are, or seek to be, municipal or government securities principals or municipal or government securities representatives associated with a municipal or government securities dealer that is a State member bank of the Federal Reserve System or a U.S. branch of a foreign bank, or a subsidiary or a department or division thereof.

These records may contain identifying information as well as educational, employment, and disciplinary information; scores on professional qualification examinations; and, where applicable, information regarding termination of employment of individuals covered by the system. Identifying information includes name, address, date and place of birth, and may include social security account number.

To permit the Board to perform its responsibilities under the securities laws with regard to the persons described in this system of records.

Secs. 3, 15B, 15C, 17, and 23 of the Securities Exchange Act of 1934 (15 USC 78c, 78o-4, 78o-5, 78q, and 78w) and section 11 of the Federal Reserve Act (12 USC 248).

The information in these records may be used:

(a) To refer, where there is an indication of a violation or potential violation of law, whether civil, criminal, or regulatory in nature, to the appropriate governmental authority, whether federal, state, local, or foreign, or self-regulatory organization.

(b) To refer, in the event of litigation, whether civil, criminal, or regulatory in nature, to the appropriate court, magistrate, or administrative law judge.

(c) To assist in any proceeding in which the federal securities or banking laws are in issue or in which the Federal Reserve Board or a past or present member of its staff is a party or otherwise involved in an official capacity.

(d) To disclose to a federal, state, local, or foreign governmental authority or a self-regulatory organization if necessary in order to obtain information relevant to a Federal Reserve Board inquiry concerning a person who is or seeks to be associated with a municipal or government securities dealer.

(e) To respond to a request from a federal, state, local, or foreign governmental authority or a self-regulatory organization for information in connection with the issuance of a license or other benefit to the extent that such information is relevant and necessary.

(f) To disclose to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.

Storage:

Records are maintained in file folders and on computer discs.

Records are indexed by name.

File folders are stored in lockable metal cabinets and computer discs are accessed only by authorized personnel.

Records may be maintained indefinitely.

Director, Division of Banking Supervision and Regulation, Board of Governors of the Federal Reserve System, 20th and Constitution Avenue, NW, Washington, DC 20551.

Same as "Notification procedure" above.

Individuals on whom the records are maintained as well as municipal or government securities dealers with whom the individuals are associated, and federal, state, local, and foreign governmental authorities, and self-regulatory organizations, which regulate the securities industry.

None.

-18 Consumer Complaint Information.

None.

Persons who have filed consumer complaints with the Federal Reserve Board or the Federal Reserve Banks, or whose complaint to another agency has been referred to the Federal Reserve Board for review.

These records primarily consist of complaints regarding state-chartered member banks, as well as other financial institutions, individuals, or organizations that are subject to federal banking supervision. The records may contain the name and address of an individual or organization that referred a matter to the Board. Information in these records includes the complainant's name; the name of the financial institution that is the subject of the complaint; the subject matter of the complaint; and the Board's response to the complaint. Supporting records include, but are not limited to, documents supplied by the complainant. If the complaint concerns an institution that is not subject to supervision by the Board, the record may consist of a referral letter to the appropriate supervisory agency.

These files permit the Board to perform its responsibilities under the Federal Reserve Act, the Federal Trade Commission Act, and other consumer protection laws to respond to consumer complaints and inquiries regarding practices by banks and other financial institutions supervised by the Board.

Section 11 of the Federal Reserve Act (12 U.S.C. 248(a)); Section 5 of the Bank Holding Company Act (12 U.S.C. 1844); and Section 18(f) of the Federal Trade Commission Act (15 U.S.C. 57a(f)).

Information maintained in this system may be disclosed to:

a. A Board-regulated entity that is the subject of a complaint or inquiry;

b. Third parties to the extent necessary to obtain information that is relevant to the resolution of a complaint or inquiry;

c. The appropriate governmental, tribal, self-regulatory, or professional organization if the information is relevant to a known or suspected violation of a law or licensing standard within that organization's jurisdiction;

d. The appropriate governmental, tribal, self-regulatory, or professional organization if that entity has jurisdiction over the subject matter of the complaint or inquiry, or the entity that is the subject of the complaint or inquiry;

e. The Department of Justice, a court, an adjudicative body, a party in litigation, or a witness if the Board determines that the information is relevant and necessary to a proceeding in which the Board, any Board employee in his or her official capacity, any Board employee in his or her individual capacity represented by the Department of Justice or the Board, or the United States is a party or has an interest;

f. A congressional office when the information is relevant to an inquiry made at the request of the individual about whom the record is maintained;

g. Contractors, agents, or volunteers performing or working on a contract, service, cooperative agreement, or job for the Board;

h. Third parties when mandated or authorized by statute; or

i. The National Archives and Records Administration in connection with records management inspections and its role as Archivist.

Storage:

These records are stored in electronic or printed form.

Files are retrievable by consumer name or as appropriate.

Access to and use of these records is restricted to authorized personnel only.

Records are retained for five years.

Director, Division of Consumer and Community Affairs, Board of Governors of the Federal Reserve System, 20th and Constitution, NW., Washington, DC 20551.

Same as "Notification procedure" above.

Person(s) who initiates complaint (or his or her representative, which may 9630 include a member of Congress or an attorney); appropriate federal, state, or local regulatory and enforcement agencies; and institutions or individuals that are the subject of the complaint.

None.

-20 SCF--Survey of Consumer Finances.

None.

(1) National Opinion Research Center at the University of Chicago (NORC), 155 East 60th Street, Chicago, IL 60637.

(2) Board of Governors of the Federal Reserve System, 20th & C Streets, NW, Washington, DC 20551.

Every three years beginning in 1983, the Board of Governors of the Federal Reserve System (Board) has sponsored a survey of U.S. households to obtain information on the current state of households' finances. For each instance of the survey, a national sample of approximately 10,000 households is selected using two statistical sampling procedures. Approximately 5,000 households voluntarily agree to participate in a detailed interview, which is conducted either in person or by telephone at the convenience of the participant.

(1) NORC, the independent contractor for survey data collection, holds three types of files:

(a) Answers given by survey participants in the course of the administration of the survey questionnaire. No identifying information is included in this category.

(b) Answers given by interviewers to questions about the administration, or attempted administration, of the survey interview, and answers given by interviewers to questions about the area around the sample addresses. No identifying information is included in this category.

(c) A control file containing the name, address, other identifying or locating characteristics of members of the survey sample, and technical information describing survey participation.

(2) The Board holds five types of files:

(a) All information included in (1)(a) and (1)(b).

(b) A control file containing general geographic characteristics and technical information describing survey participation. No identifying information is included in this category.

(c) For a part of the survey sample, information from statistical records derived from individual tax returns, including a social security number but containing no other identifying information.

(d) Files of information matched to the survey data by high-level characteristics, such as general location, occupation, banking market, etc. No identifying information is included in this category.

12 U.S.C. 225a and 15 U.S.C. 1601 note.

The data in the system described as (1)(a) under "Categories of records in the system" provide a basis for the statistical analysis of consumer financial status and behavior. All other information in the system is used for the statistical purposes of structuring, conducting, and processing the survey.

Data in the system from (1)(a) and (1)(b) and unidentified data from (1)(c) are used by staff at the Board to address policy and other statistical research questions in economics and topics of technical survey methodology. A version of the data described as (1)(a) under "Categories of records in the system" is further processed statistically to minimize the possibility of identification of survey participants based on characteristics or combinations of characteristics in the data; that altered information is made available to the public. The public version of the data forms a key part of the national statistical system and provides a basis for a wide variety of government, academic, and other statistical research.

The system is maintained for statistical purposes only and is not used in whole or in part in making any determination about benefits or other rights of any identifiable individual. It consist solely of "statistical records" as defined in the Privacy Act (5 U.S.C. 552(a)(6)).

a. Prior to the completion of data collection, the survey contractor uses information in the system to devise and attempt to execute a plan to request an interview with all members of the survey sample; access to such information is available only to those involved in the sample design and its implementation in the field.

b. Upon completion of data collection, access by the contractor to the system is limited to the specific information necessary to complete the initial processing of the data and to respond to requests from survey participants.

c. At the Board, access to data from the system is available only to staff members who have the primary responsibility for conducting and processing the survey. Access by those individuals is allowed for the following purposes: structuring, conducting, and preparing the survey data and performing statistical analysis of the data. A particularly important routine activity of these responsible individuals is a close review of the individual records described as (1)(a) under "Categories of records in the system" for preparation of a public version of the data that has been subjected to statistical procedures to minimize the possibility that any participant might be identified by a characteristic or set of characteristics in the data.

d. Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office on behalf of that individual.

Disclosure to consumer reporting agencies:

Not applicable.

Storage:

Magnetic disks, CD-ROMs, magnetic tape.

The contractor stores data described at (1)(a) and (1)(b) under "Categories of records in the system" in an electronic form separately from identifying information described in (1)(c). A set of identification numbers generated for administrative purposes may be used to link these files, but access to linked information is restricted to purposes necessary for the collection and preliminary processing of the survey data. The responsible staff at the Board maintain files described at (2)(c) separately from other files. A set of identification numbers may be used to link the information described at (2)(c) with the other information, and access to such information is restricted to those among the responsible staff with particular needs in structuring, conducting, preparing, and analyzing the survey data.

During periods of data collection, the survey contractor limits access to identifying information only to staff directly engaged in data collection, managing the survey, and processing the data; access varies according to what is needed to perform each task; identifying information is maintained in files separate from other data. After the completion of data collection, personnel at the facilities of the contractor are allowed to have access to information that would identify members of the survey sample only for specific purposes authorized by their project director, and that are connected with attempts to validate whether the correct person was interviewed, to address other narrow statistical issues, or to respond to requests from sample members for information. All electronic files are held in secure computer systems, and paper files are held in locked cabinets.

At the Board, all potentially identifiable files are maintained in secure computer systems, locked files, or locked cabinets, and access to those files is restricted to staff directly responsible for the production of the survey.

All files containing identifying information held by NORC are destroyed within three years of the completion of work on a given execution of the SCF; all backup records used to maintain the integrity of such files are also destroyed. All files maintained by the Board will be maintained until such time as the survey may be discontinued, at which time all files containing identifying information will be destroyed except as otherwise required by law governing preservation of archival records. A version of the SCF, statistically altered to protect the identity of the survey participants, is placed in the public domain.

Arthur Kennickell, Project Director, Survey of Consumer Finances, Monetary and Financial Studies Section, Division of Research and Statistics, Board of Governors of the Federal Reserve System, Washington, DC 20551.

An individual requesting notice as to whether this system contains information pertaining to him or her should write to the government project director, at the address shown below, enclosing a notarized statement of his or her full name and current address. Simultaneously, with requesting notification of inclusion in the system of records, the individual may request record access as described in the following section "Record access procedures."

Arthur Kennickell, Project Director, Survey of Consumer Finances, Monetary and Financial Studies Section, Division of Research and Statistics, Room M-1412, Board of Governors of the Federal Reserve System, Washington, DC 20551.

Individuals who, through the notification procedures set out above, have established that the system of records contains information pertaining to them may request access to those records by writing to the government project director at the address given above. The government project director will notify the individual as to the place and time for access to the record(s). If the requester prefers, and if the information requested is not too voluminous, the material may be mailed.

Individuals who seek to contest records in this system should contact the government project director at the address given above, reasonably identify the record(s), specify the information being contested and the rationale for the challenge, and supply the information to be substituted.

Answers to survey questions are obtained from participants. Other information about the steps taken to obtain an interview, the progress of the interview, and the general characteristics of the neighborhood of the sample address, is obtained from the survey interviewers. Technical sample design information for a geographically based part of the survey sample is obtained from NORC; for sample members in the other part of the sample, statistical records derived from individual tax returns are obtained from the Statistics of Income Division of the Internal Revenue Service.

None.

-21 FRB--Supervisory Tracking and Reference System.

Division of Banking Supervision and Regulation (Enforcement and Special Investigations and Examinations Sections), Board of Governors of the Federal Reserve System (Board), 20th and C Streets NW, Washington, DC 20551. Computerized records of Suspicious Activity Reports (SARs), with status updates, are managed by the Financial Crimes Enforcement Network (FinCEN), Department of the Treasury, pursuant to a contractual agreement, and are stored in Detroit, Michigan. Authorized personnel at the Board and the Federal Reserve Banks have on-line access to the computerized database managed by FinCEN through individual work stations that are linked to the database central computer.

Directors, officers, employees, agents and persons participating in the conduct of the affairs of entities regulated by the Board who have been involved in suspected criminal activity or suspicious financial transactions and referred to law enforcement officials; and other individuals who have been involved in irregularities, violations of law, or unsafe or unsound practices referenced in documents received by the Board in the course of exercising its supervisory functions.

Inter- and intra-agency correspondence, memoranda and reports. The SAR contains information identifying the financial institution involved, the suspected person, the type of suspicious activity involved, and any witnesses.

12 U.S.C. 248(a), 1820(d) and 1818 (for state member banks); 12 U.S.C. 1844 (for bank holding companies and their subsidiaries); 12 U.S.C. 622 and 625 (for Edge and Agreement corporations); 12 U.S.C. 3105 (for U.S. branches and agencies of foreign banks).

The overall system serves as a central Board repository for investigatory or enforcement information related to the Board's responsibility to examine and supervise entities regulated by the Board.

The system maintained by FinCEN serves as the database for the cooperative storage, retrieval, analysis, and use of information relating to Suspicious Activity Reports made to or by the Board, the Office of the Comptroller of the Currency, the Federal Deposit Insurance Corporation, the Office of Thrift Supervision, and the National Credit Union Administration (collectively, the Federal Financial Regulatory Agencies), and FinCEN to various law enforcement agencies for possible criminal, civil, or administrative proceedings based on known or suspected violations affecting or involving persons, financial institutions, or other entities under the supervision or jurisdiction of such Federal Financial Regulatory Agencies.

Information in these records may be used to:

(1) Provide information or records to any appropriate governmental department or agency or self-regulatory organization charged with the responsibility of administering law or investigating or prosecuting violations of law or charged with enforcing or implementing a statute, rule, regulation, order, policy, or license;

(2) Provide the Federal Financial Regulatory Agencies and FinCEN with information relevant to their operations;

(3) Disclose information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to the investigation;

(4) Disclose information, when appropriate, to foreign governmental authorities in accordance with law, and formal or informal international agreements;

(5) Disclose certain records, in the event of litigation or enforcement action, to the appropriate court, magistrate, or administrative tribunal; or to counsel or witnesses for the presentation of evidence in the course of discovery, to the extent permitted by law; and

(6) With regard to formal or informal enforcement actions, release information pursuant to 12 U.S.C. 1818(u), which requires the Board to publish and make available to the public final orders and written agreements, and modifications thereto.

Storage:

The records will be maintained in electronic data processing systems and in paper and card files.

Computer output, file folders, and card files are retrievable by indexes of data fields, including name of financial institution, Federal Reserve Bank District, and individuals' names.

Paper records and word processing discs are stored at the Board in lockable metal file cabinets. The database maintained by FinCEN complies with applicable security requirements of the Department of the Treasury. On-line access to the information in the database is limited to authorized individuals who have been designated by each Federal Financial Regulatory Agency and FinCEN, and each such individual has been issued a nontransferable identifier or password.

Records are maintained indefinitely.

Deputy Associate Director (Enforcement and Special Investigations and Examinations Sections), Division of Banking Supervision and Regulation, Board of Governors of the Federal Reserve System, 20th and C Streets, NW, Washington, DC 20551, (202) 452-2620.

Inquiries should be sent to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue, NW, Washington, DC 20551.

Same as "Notification procedure" above.

Information received by the Board from various sources, including, inter alia, law enforcement and other agency personnel involved in sending inquiries to the Board, documents received by the Board in the course of executing the Board's supervisory responsibilities, and reports and forms filed by individuals to whom the records pertain. The information maintained by FinCEN is compiled from SAR and related historical and updating forms compiled by financial institutions, the Board, and the other Federal Financial Regulatory Agencies for law enforcement purposes.

This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2), (d)(3), (d)(4), (e)(1), (e)(4)(G), (H), and (I), and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2).

-22 FRB-Chain Banking Reference System.

Board of Governors of the Federal Reserve System Constitution Ave. at 20th St., NW, Washington, DC 20551

Principals who directly or indirectly, or acting through or in a concert with one or more persons, control two or more banking organizations or own or have the power to vote 25 percent or more of the outstanding voting shares of two or more separate banking organizations.

Names of the principal(s) of each chain, the percentage ownership each has, positions held by principal(s) in the institutions, the bank and bank holding company names and reference numbers, and the institutions' locations.

12 U.S.C. 248(a)(1) et seq.; 12 U.S.C. 1811 et seq.; and 12 U.S.C. 1841 et seq.; which together authorize the Board to examine, supervise, and regulate all state chartered commercial banks that are members of the Federal Reserve System and all bank holding companies.

Information in these records may be used:

a. By Board and Reserve Banks' staff to identify any individual who is a principal in two or more banks or bank holding companies; to ensure in the merger and application process that all elements of a chain banking organization are considered in assessing financial, managerial and competitive factors and capital adequacy; to apply Board supervisory guidelines and policies that are relevant to chain banking organizations; to analyze problems within a chain organization in an effort to avoid similar problems at related banking institutions; to coordinate the scheduling of concurrent examinations and inspections of related banking institutions; and to ensure the identification of common practices among banking institutions.

b. To respond to Congressional inquiries, referrals of constituent questions and comments, and to official inquiries by the General Accounting Office.

c. To refer where there is an indication of a violation of law, whether civil, criminal or regulatory in nature, to the appropriate federal, state or local agency charged with the responsibility of investigating or prosecuting such violations or with enforcing or implementing a statute, rule, regulation or order issued pursuant thereto.

d. To respond to a court order.

Storage:

Paper records and word processing discs would be stored in locked metal cabinets; computerized records would be maintained in electronic data processing systems.

Computer output, file folders, and card files would be retrievable by indexes of data fields, including name of a subject individual, bank or bank holding company name or number, Federal Reserve Bank district location, and perhaps control form numbers.

Paper records and word processing discs would be stored in locked metal cabinets. Computer-stored information would be protected by appropriate coding and other security measures. Only a limited number of authorized Board and Reserve Banks' staff who have a legitimate need for the information will be able to gain access to these records.

Records would be maintained indefinitely.

James I. Garner, Assistant Director, Division of Banking Supervision and Regulation, Board of Governors of the Federal System, Contitution Ave., at 20th St., NW, Washington, DC 20551, (202) 452-2704.

A person requesting notice as to whether this system of records contains information pertaining to him or her should write to the Division of Banking Supervision and Regulation, at the address below, enclosing his or her full name, current address, and a notarized statement attesting to the individual's identity. Simultaneously with requesting notification of inclusion in the system of records, the individual may request record access as described in the following section on "Record Access Procedures".

James I. Garner, Assistant Director, Division of Banking Supervision and Regulation, Board of Governors of the Federal Reserve System, Consitution Ave., at 20th St., NW, Washington, DC 20551, (202) 452-2704.

Individuals who, through notification procedures set out above, have established that the system of records contains information pertaining to them, may request access to these records by writing to the Division of Banking Supervision and Regulation at the address given above; and the Board will thereafter notify the individual as to the time and place for access to the records.

Individuals who seek to contest or to correct records in this system of records should: Contact the Division of Banking Supervision and Regulation at the address given above; reasonably identify the records; specify the information sought to be contested or corrected, the rationale for such challenge or correction, and the information requested to be substituted.

The information would be generated substantially from existing sources, including acquisition, merger and other applications, change of control notices, examination and inspection reports, and the annual F.R. Y-6 reports.

None.

-24 EEO General Files.

None.

EEO Programs Office, Board of Governors of the Federal Reserve System, 20th and Constitution, NW, Washington, DC 20551.

Current and former employees of the Board.

Self-identification reports of current and former employees regarding race, national origin, sex and disability; identification by Board staff regarding the race, national origin, sex and disability of those employees who refuse to voluntarily provide the information.

Rehabilitation Act of 1973, 29 U.S.C. 791; Title VII of the Civil Rights Act, 42 U.S.C. 2000e et seq; Age Discrimination in Employment Act, 29 U.S.C. 621 et seq; Equal Pay Act, 29 U.S.C. 206; and section 11 of the Federal Reserve Act, 12 U.S.C. 248(i) and 248(l).

To assist the Board in carrying out its responsibilities under the Rehabilitation Act of 1973, Title VII of the Civil Rights Act, and other nondiscrimination statutes.

The information in the records may be used:

a. As a data source for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained, or for related personnel management functions or manpower studies.

b. To respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act.

c. To inform appropriate Board employees regarding any need for assistance by a disabled individual in the event an evacuation is necessary.

d. To provide information to a federal agency, in response to its request, in connection with the hiring or retention of an employee, the letting of a contract, or issuance of a license, grant, or other benefit by the requesting agency to the extent that the information is relevant and necessary to the requesting agency's decision on that matter.

e. To provide statistical information to Congress.

Storage:

These records are maintained in file folders and in electronic form.

These records are indexed by the names of the individuals on whom they are maintained.

Access to and the use of these records is limited to those persons whose official duties require such access. Personnel screening is employed to prevent unauthorized access. Electronic files are protected by passwords.

The records are maintained indefinitely.

EEO Programs Director, Board of Governors of the Federal Reserve System, 20th and Constitution, NW, Washington, DC 20551.

Inquiries should be sent to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue, NW, Washington, DC 20551.

Same as "Notification procedure" above.

Individual to whom the record pertains; employees responsible for administering the Board's EEO program.

None.

-25 Multi-Rater Feedback Records.

None.

Board of Governoirs of the Federal Reserve System, 20th Street and Constitution Avenue, NW, Washington, DC 20551.

The completed multi-rater questionnaires and the resulting feedback reports are maintained by outside consultant ("Contractor") purusant to a contract with the Board. Based on the informaiton provided by the completed questionnaires, the Contractor will provide an individual feedback report to the individual being evaluated. With the exception of the feedback report that is provided to the individual being evaluated, no individually-identifiable information is maintained on the Board's premises.

Current and former employees of the Board.

Questionnaires completed by employees, analyses of the questionnaires, and feedback reports compiled by the Contractor based upon the analyses.

Sec. 11 of the Federal Reserve Act (12 U.S.C. 248(i) and 248(l)).

These records are collected and maintained to assist the Board in administering its personnel functions and improving the management skills of its employees.

The information in the records may be used:

a. By the National Archives and Records Administration in connection with records managment inspections and its role as Archivist.

b. To disclose to contractors, grantees or volunteers performing or working on a contract, service, grant, cooperative agreement, or job for the Board.

c. To provide information to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of the individual.

e. To disclose information to the Department of Justice or in a proceeding before a court, adjudicative body, or other administrative body before which the Board is authorized to appear, when:

(1) The Board or any employees of the Board in his or her official capacity; or

(2) Any employee of the Board in his or her individual capacity; or

f. To disclose information to the Equal Employment Opportunity Commission when requested in connection with investigations or other functions vested in the Commission.

g. To disclose information to the Merit Systems Protection Board or the Office of Special Counsel in connection with appeals, special studies of the civil service and other merit systems, review of office rules and regulations, investigation of alleged practices, and such other funcitons promulgated in 5 U.S.C. chapter 12, or as may be authorized by law.

h. To disclose information to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials of labor organizations recognized under 5 U.S.C. chapter 71 when relevant and necessary to their duties of exclusive representation.

i. To disclose, in response to a request for discovery or for appearance of a witness, information that is relevant to the subject matter involved in a ending judicial or administrative proceeding.

Disclosure to consumer reporting agencies:

Not applicable.

Storage:

The records are maintained in paper and electronic format in a secure location by the contractor.

Information is retrieved by thename of the individual being evaluated.

The contractor maintains strict confidentiality of the information. Information in these files is not provided to Board employees, except the individual being evaluated.

Each feedback report and the information related to that report shall be retained by the contractor for 5 years after the date of the report, then destroyed.

Associate Director, Human Resources Function, Management Division, Board of Governors of the Federal Reserve System, 20th Street & Constitution Avenue NW, Washington, DC 20551.

Inquiries should be sent to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue, NW, Washington, Dc 20551. The request should contain the individual's name, date of birth, Social Security number, identification number (if known),approximate date of record, and type of position.

Same as Notification procedure above.

The individual being evaluated. The employee competing the questionnaires.

Pursuant to the Privacy Act, 5 U.S.C. 552a(k)(5), and the Board's regulation relating thereto (12 CFR part 261a), the individual questionnaires contained in this system or records are exempted from 5 U.S.C. 552a(c)(3), (d)(1), (d)(2), (d)(3), (d)(4), (e)(1), (e)(4)(G), (H), and (I).

-26 FRB--Employee Relations Records.

None.

Board of Governors of the Federal Reserve System, 20th and Constitution, NW., Washington, DC 20551.

Current and former Board employees (including special employees) with work-related issues that have involved the employee relations specialists in the Human Resources Function of the Management Division.

This system of records contains written communications and related documents involved in adjusting work-related problems. Such documents may include copies of records included in other systems of records, including Performance Management Program (PMP) reports and related documentation; records of disciplinary actions; and records related to the Board's Drug-Free Workplace Plan. This system also includes records related to the Career Transition Program.

Secs. 10(4) and 11(l) of the Federal Reserve Act (12 U.S.C. 244 and 248(l)).

These records are collected and maintained to assist the Board in administering its personnel functions, and to assist employees in resolving work-related issues.

The information in the records may be used:

a. To disclose information to any source from which additional information is requested (to the extent necessary to identify the individual, inform the source of the purpose(s) of the request, and to identify the type of information requested), when necessary to obtain information relevant to a Board decision to hire or retain an employee, issue a security clearance, conduct a security or suitability investigation of an individual, classify jobs, let a contract, or issue a license, grant, or other benefits.

b. To disclose to a Federal agency in the executive, legislative or judicial branch of government, or to a Federal Reserve Bank, in response to its request, or at the initiation of the Board, information in connection with the hiring of an employee, the issuance of a security clearance, the conducting of a security or suitability investigation of an individual, the classifying of jobs, the letting of a contract, the issuance of a license, grant, or other benefits by the requesting agency, or the lawful statutory, administrative, or investigative purpose of the agency to the extent that the information is relevant and necessary to the requesting agency's decision.

c. To provide information to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of the individual.

e. To disclose information to the Department of Justice or in a proceeding before a court, adjudicative body, or other administrative body before which the Board is authorized to appear, when:

(1) The Board or any employee of the Board in his or her official capacity; or

(2) Any employee of the Board in his or her individual capacity where the Department of Justice or the Board has agreed to represent the employee; or

f. By the National Archives and Records Administration in connection with records management inspections and its role as Archivist.

g. To disclose information to the Equal Employment Opportunity Commission when requested in connection with investigations or other functions vested in the Commission.

h. To disclose information to the Merit Systems Protection Board in connection with appeals filed by preference-eligible employees.

j. To disclose information in connection with the investigation and resolution of allegations of unfair labor practices before the Federal Reserve Board Labor Relations Panel when requested.

k. To disclose, in response to a request for discovery or for appearance of a witness, information that is relevant to the subject matter involved in a pending judicial or administrative proceeding.

l. To disclose pertinent information to the appropriate Federal, State, or local agency responsible for investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, when the Board becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation.

m. To disclose to contractors, grantees or volunteers performing or working on a contract, service, grant, cooperative agreement, or job for the Board, when necessary to the performance.

Disclosure to consumer reporting agencies:

Not applicable.

Storage:

These records are maintained in file folders in lockable cabinets.

These records are indexed by the names of the individuals on whom they are maintained.

Access to and use of these records are limited to those persons whose official duties require such access.

Records are destroyed three years after termination of counseling.

Associate Director, Human Resources Function, Management Division, Board of Governors of the Federal Reserve System, 20th & Constitution, NW., Washington, DC 20551.

Same as "Notification procedure" above.

Individual to whom the record pertains; the individual's managers, supervisors and officers; employees and officers in the Human Resources Function of the Management Division.

None.

-27 FRB--Performance Management Program Records.

None.

Board of Governors of the Federal Reserve System, 20th and Constitution, NW., Washington, DC 20551. Final Performance Management Program (PMP) reports are maintained by the Human Resources Function of the Management Division. Supporting documentation for the reports is maintained in the Division where the employee works or worked.

Current and former Board employees.

Completed PMP reports, attachments, and supporting documentation; submissions and written suggestions by the subject employee; records of PMP objective-setting sessions.

Secs. 10(4) and 11(l) of the Federal Reserve Act (12 U.S.C. 244 and 248(l)).

These records are collected and maintained to assist the Board in administering its personnel functions.

The information in the records may be used:

a. To consider and select employees for incentive awards, merit increases and performance awards, or other pay bonuses, and other honors and to publicize those granted.