[Federal Register Volume 65, Number 169 (Wednesday, August 30, 2000)]
[Notices]
[Pages 52758-52762]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-22147]


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FEDERAL RESERVE SYSTEM

[Docket No. R-1081]


Privacy Act of 1974; Publication of Notice of Systems of Records 
and Amendment of Existing Systems of Records

AGENCY: Board of Governors of the Federal Reserve System.

ACTION: Notice; publication of two new systems of records and the 
amendment of one system of records.

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SUMMARY: In accordance with the Privacy Act, the Board of Governors of 
the Federal Reserve System (Board) is publishing notice of two new 
systems of records, entitled: ``Benefits Records'' (BGFRS-29), and 
``Academic Assistance Program Files'' (BGFRS-30); as well as amendments 
to ``Medical Records'' (BGFRS-3). We invite public comment on this 
notice.

DATES: The new systems of records and amendments to the existing system 
of records will become effective without further notice, on October 10, 
2000, unless comments dictate otherwise.

ADDRESSES: Comments, which should refer to Docket No. R-1081, may be 
mailed to Ms. Jennifer J. Johnson, Secretary, Board of Governors of the 
Federal Reserve System, 20th Street and Constitution Avenue, NW., 
Washington, DC 20551 or mailed electronically to 
[email protected]. Comments addressed to Ms. Johnson 
also may be delivered to the Board's mail room between 8:45 a.m. and 
5:15 p.m. weekdays and to the security control room outside of those 
hours. The mail room and the security control room are accessible from 
the Eccles Building courtyard entrance, located on 20th Street between 
Constitution Avenue and C Street, NW. Comments may be inspected in Room 
MP-500 between 9 a.m. and 5 p.m.

FOR FURTHER INFORMATION CONTACT: Elaine M. Boutilier, Managing Senior 
Counsel, Legal Division (202/452-2418), or Chris Fields, Manager, Human 
Resources Function, Management Division (202/452-3654), Board of 
Governors of the Federal Reserve System, 20th Street and Constitution 
Avenue, N.W., Washington, D.C. 20551. For users of the 
Telecommunications Device for the Deaf (TDD) only, contact Janice Simms 
at 202/452-4984.

SUPPLEMENTARY INFORMATION: The establishment of the new systems of 
records and amendments to one existing system of records result from a 
review of the Board's information practices conducted in accordance 
with the President's May 14, 1998, memorandum on privacy and 
information in federal records.
    Unlike most Federal government agencies whose personnel files are 
maintained by the Office of Personnel Management (OPM), the Board 
maintains its own personnel-related files because the Board has 
independent statutory authority to hire staff and set the salary and 
benefit terms for its staff. Accordingly, the personnel-related files 
of Board employees are not contained in the government-wide systems of 
records published by OPM. Nevertheless, the Board's personnel-related 
files are used in much the same manner as those of other federal 
employees. Accordingly, after reviewing the routine uses for the 
existing system of records, the Board has determined to adopt many of 
the routine uses that are used in OPM's government-wide systems of 
records.

New Systems of Records

    The Benefits Records contain information concerning each employee's 
benefits, such as health insurance, life insurance, and flexible 
spending accounts. There records were previously part of each 
employee's General Personnel File, but a review of record-keeping 
practices indicated that they should be maintained in a separate file. 
Accordingly, the Board is publishing a new system of records to 
describe the information maintained in these separate files.
    The system of records for the Academic Assistance Program contains 
records concerning an employee's external and internal training, and 
any reimbursements made for such training.

Revised System of Records

    The revisions to the existing system of records, Medical Records, 
incorporate information needed as a result of the Board's adoption of 
the Drug-Free Workplace Plan and revise the routine uses based on OPM's 
routine uses for the equivalent government-wide system of records.
    In accordance with 5 U.S.C. 552a(r), a report of these actions is 
being filed with the Chair of the House Committee on Government Reform 
and Oversight, the Chair of the Senate Committee on Governmental 
Affairs, and the Office of Management and Budget.
BGFRS-29

System name:
     Benefits Records.

Security classification:
    None.

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

Categories of individuals covered by the system:
    Current and former Board employees and their named beneficiaries.

Categories of records in the system:
    All forms relating to employee's benefits, records relating to 
claims filed for benefits, and memoranda relating to that individual's 
benefits. These benefits include: health insurance, dental plan, life 
insurance, disability coverage, accident insurance, flexible spending 
accounts, premium conversion accounts, and thrift plan.

Authority for maintenance of the system:
    Sections 10(4) and 11(l) of the Federal Reserve Act (12 U.S.C. 244 
and 248(l)).

Purpose(s):
    To administer the Board's benefits programs for its employees and 
assist in personnel management.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    The information in the 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 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.
    c. 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.
    d. To disclose pertinent information to the appropriate Federal, 
State, or

[[Page 52759]]

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

Disclosure to consumer reporting agencies:
    Not applicable.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    These records are maintained in file folders in lockable cabinets 
and in electronic data bases.

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

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

Retention and disposal:
    Records are destroyed 65 years after the employee's separation from 
the Federal government.

System manager(s) and address:
    Associate Director, Human Resources Function, Management Division, 
Board of Governors of the Federal Reserve System 20th & Constitution, 
NW, Washington, DC 20551.

Notification procedure:
    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.

Record access procedures:
    Same as ``Notification procedure'' above.

Contesting record procedures:
    Same as ``Notification procedure'' above.

Record source categories:
    The employee, the benefit provider, and staff of the Human 
Resources Function of the Management Division.

Systems exempted from certain provisions of the act:
    None.
BGFRS-30

System name:
    Academic Assistance Program Files

Security classification:
    None.

System location:
    Board of Governors of the Federal Reserve System, 20th and 
Constitution, N.W., Washington, D.C. 20551. The primary files are 
maintained by the Human Resources Function of the Management Division. 
Supporting documentation may be maintained in the Division where the 
employee works or worked.

Categories of individuals covered by the system:
    Current and former Board employees.

Categories of records in the system:
    Applications for academic assistance for external training; 
registration forms for internal training; technical training 
participant lists for courses offered by the Board's Information 
Technology Division; descriptions of course work by employees; course 
evaluations for completed course work; reimbursement documentation for 
textbooks and external training; and a data base that tracks all 
courses (internal and external) taken by employees.

Authority for maintenance of the system:
    Sections 10(4) and 11(l) of the Federal Reserve Act (12 U.S.C. 244 
and 248(l)).

[[Page 52760]]

Purpose(s):
    These records are collected and maintained to assist the Board in 
its personnel management and in providing training and educational 
opportunities to its employees.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    The information in the records may be used:
    a. 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.
    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.
    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
    (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.
    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.
    i. To disclose information in connection with the investigation and 
resolution of allegations of unfair labor practices by the Federal 
Reserve Board Labor Relations Panel when requested.
    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 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.
    l. To disclose to contractors, grantees or volunteers performing or 
working on a contract, service, grant, cooperative agreement, or job 
for the Board.

Disclosure to consumer reporting agencies:
    Not applicable.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    These records are maintained in file folders in lockable cabinets 
and in electronic data bases.

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

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

Retention and disposal:
    The technical training participant lists are retained for 2 years, 
then destroyed. The remaining records are retained for 5 years, then 
destroyed.

System manager(s) and address:
    Associate Director, Human Resources Function, Management Division, 
Board of Governors of the Federal Reserve System 20th & Constitution, 
NW, Washington, DC 20551.

Notification procedure:
    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.

Record access procedures:
    Same as ``Notification procedure'' above.

Contesting record procedures:
    Same as Notification procedure'' above.

Record source categories:
    The employee, employee's supervisor, technical training participant 
list compiled by the Board's Division of Information Technology, 
external course description material.

Systems exempted from certain provisions of the act:
    None.
BGFRS-3

System name:
    FRB--Medical Records

Security classification:
    None.

System location:
    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.

Categories of individuals covered by the system:
    Current and former Board employees (including special employees). 
Applicants who have been medically examined for Board employment.

[[Page 52761]]

Categories of records in the system:
    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.

Authority for maintenance of the system:
    Executive Order 12564 and 12 U.S.C. 244 and 248(l).

Purpose(s):
    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.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    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
    (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. 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.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are in file folders or in automated media.

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

Safeguards:
    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.

[[Page 52762]]

Retention and disposal:
    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.

System manager(s) and address:
    Board Physician, Board of Governors of the Federal Reserve System, 
20th & Constitution, NW, Washington, DC 20551.

Notification procedure:
    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.

Record access procedures:
    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.

Contesting record procedures:
    Same as ``Notification procedure'' above.

Record source categories:
    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.

Systems exempted from certain provisions of the act:
    None.

    By order of the Board of Governors of the Federal Reserve 
System, acting through the Secretary of the Board under delegated 
authority, August 24, 2000.
Robert deV. Frierson,
Associate Secretary of the Board.
[FR Doc. 00-22147 Filed 8-29-00; 8:45 am]
BILLING CODE 6210-01-P