[Privacy Act Issuances (1995)]
[From the U.S. Government Publishing Office, www.gpo.gov]
FEDERAL RESERVE SYSTEM
Table of Contents
BGFRS-1, FRB--Recruiting and Placement Records
BGFRS-2, FRB--Personnel Background Investigation Reports
BGFRS-3, FRB--Medical Records
BGFRS-4, FRB--General Personnel Records
BGFRS-5, FRB--EEO Discrimination Complaint File
BGFRS-6, FRB--Adverse Information and Action Records, Disciplinary
Records
BGFRS-7, FRB--Payroll
BGFRS-8, FRB--Leave Records
BGFRS-9, FRB--Consultant and Staff Associate File
BGFRS-10, FRB--General File on Board Members
BGFRS-11, FRB--Official General Files
BGFRS-12, FRB--Biographical File of Federal Reserve Personnel
BGFRS-13, FRB--General File of Examiners and Assistant Examiners at
Federal Reserve Banks
BGFRS-14, FRB--General File of Federal Reserve Bank and Branch Directors
BGFRS-15, FRB--General Files of Federal Reserve Agents, Alternates and
Representatives at Federal Reserve Banks
BGFRS-16, FRB--Regulation G Reports
BGFRS-17, FRB--Municipal Securities Principal and Municipal Securities
Representatives Records
BGFRS-18, FRB--Consumer Complaint Information System
BGFRS-19, FRB--Financial Disclosure Reports and Outside Business
Interest Applications
BGFRS-21, FRB--Supervisory Tracking and Reference System
BGFRS-22, FRB--Chain Banking Reference System
BGFRS-23, Freedom of Information Act/Privacy Act (FOIA/PA) Case
Tracxking and Reporting System.
BGRS/OIG-1, OIG Investigative Records.
BGFRS/OIG-2, OIG Personnel Records.
BGFRS/SS-1, Telephone Call Detail Records.
BGRS/SS-2, Staff Identification Card File.
BGRS/SS-3, Staff Parking Permit File.
BGFRS--1
System name: FRB--Recruiting and Placement Records.
System location: Board of Governors, Federal Reserve System, 20th and
Constitution NW, Washington, DC 20551.
Categories of individuals covered by the system: Persons who have
applied for employment with or are employed by the Federal Reserve
Board.
Categories of records in the system: These records may contain
information relating to the education, training, employment history
and earnings, appraisal of past performance, convictions for
offenses against the law; results of tests, appraisal of potential,
honors, awards of fellowships; military service; veteran status,
school transcripts, work samples; birth date; social security
number; sipping authorizations; travel vouchers, offer letters and
correspondence, reference checks, and home address of persons who
have applied for Board employment or are employed by the Federal
Reserve Board.
Authority for maintenance of the system: Sections 10 and 11 of the
Federal Reserve Act (12 U.S.C. 244, 248(i) and 248(1)).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Information in these records
may be used:
a. To refer applicants for purposes of consideration for placement in
positions for which an applicant has applied and is qualified. This
includes various government organizations.
b. To refer current Board employees for consideration for reassignment
and promotion within the Board.
c. 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 of other personnel management functions.
d. 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 agency, whether federal, state or local, charged with
the responsibility of investigating or prosecuting such violation or
with enforcing or implementing the statute, or rule, regulation or
order issued pursuant thereto.
e. To request information from a Federal, state or local agency
maintaining civil, criminal, or other relevant enforcement or other
pertinent information, such as licenses, if necessary to obtain
relevant information to an agency decision concerning the hiring or
retention of an employee, the issuance of a security clearance, the
letting of a contract, or the issuance of a license, grant or other
benefit.
f. 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 that matter.
g. To respond to a court order.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Records are maintained on magnetic tapes, punched cards,
microfilm, cards, lists, forms, and in folders.
Retrievability: Records are indexed by name, combination of birth date,
social security account number, and applicable identification
number.
Safeguards: Access to and use of these records are limited to those
persons whose official duties require such access.
Retention and disposal:
a. Files of eligibles. Retained for a minimum of one year after date
of determination that no suitable position exists currently.
b. Index cards. Destroyed when no longer needed.
c. Cancelled and ineligible applications. Same as ``a'' above.
d. Inquiries and replies regarding availability for appointment.
System manager(s) and address: Director of Personnel, Board of
Governors, Federal Reserve System, 20th and Constitution, NW,
Washington, DC 20551.
Notification procedure: Individuals should provide name, date of birth,
Social Security Number, identification number (if known),
approximate date of record, and type of position with which
concerned to the System Manager, address above.
Record access procedures: Individuals should provide name, date of
birth, Social Security Number, identification number (if known),
approximate date of record, and type of position with which
concerned to the System Manager, address above.
Record source categories: Information in this system of records either
comes from the individual to whom it applies or is derived from
information he or she supplies, except reports from medical
personnel on physical qualifications; and statements supplied by
references.
Systems exempted from certain provisions of the act: 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 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 of the extent that disclosure of such portions would
reveal the identity of a source who furnished information under a
promise of confidentiality.
BGFRS--2
System name: FRB Personnel Background Investigation Reports.
System location: Board of Governors, Federal Reserve System, 20th and
Constitution, NW, Washington, DC 20551.
Categories of individuals covered by the system: Current and former
applicants for employment by the Board of Governors; Federal Reserve
System employees considered for access to classified information or
restricted areas; and/or security determinations as contractors,
employees of contractors, experts, instructors, and consultants to
the Board. Individuals who are neither applicants nor employees of
the Board but are or were involved in Board programs under a
cooperative assignment or similar agreement; individuals who are
neither applicants nor employees of the Board but are or were
involved in matters related to the operation of the Board.
Categories of records in the system: These records may contain
investigative information regarding an individual's character,
financial responsibility, conduct, behavior; arrests and convictions
for any violations against the law; reports of interviews with
former supervisors, co-workers, associates, educators, etc.; reports
about the qualifications of an individual for a specific position;
reports of inquiries with law enforcement agencies; former
employers; education institutions attended; and other information
developed from the above.
Authority for maintenance of the system: Section 11 of the Federal
Reserve Act (12 U.S.C. 248(i) and 248(1)).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: The contents of these
records may be disclosed to and used as follows:
a. To assist in determining the suitability for access to classified
information.
b. To designated officers and employees of other agencies and
departments of the Federal Government, and the District of Columbia
Government, having an interest in the individual for employment
purposes, in connection with performance of a service to the Federal
Government, under a contract or other agreement, including a security
clearance or access determination, and a need to evaluate
qualifications, suitability, and loyalty to the United States
Government.
c. To the intelligence agencies of the Department of Defense, National
Security Agency, Central Intelligence Agency, and the Federal Bureau
of Investigation for use in intelligence activities.
d. To any source from which information is requested by the Board in
the course of an investigation, to the extent necessary to identify
the individual, inform the source of the nature and purpose of the
investigation and to identify the type of information requested.
e. In the event of an indication of any violation or potential
violation of the law, whether civil, criminal, or regulatory in
nature, and whether arising by statute or by regulation, rule or order
issued pursuant thereto, the relevant records in the system of records
may be referred, as a routine use, 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, or rule, regulation or order issued
pursuant thereto; such referral shall also include, and be deemed to
authorize any and all appropriate and necessary uses of such records
in a court of law and before an administrative board or hearing.
f. As a data source for management information for production of
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.
g. To respond to a court order.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Files are maintained in folders and index cards in steel file
cabinets with manipulation proof combination lock.
Retrievability: Records are indexed by name in alphabetical order.
Safeguards: Access to and use of these records are limited to those
persons whose official duties require access and who have
appropriate security clearance.
Retention and disposal: The indexing cards are retained indefinitely,
while the reports of investigation are returned to the originating
agency after separation of employment.
System manager(s) and address: Assistant Director, Division of Support
Services Board of Governors, Federal Reserve System, 20th and
Constitution, NW, Washington, DC 20551.
Notification procedure: An individual may inquire as to whether or not
the system contains a record pertaining to him or to her by
addressing a written request to:
Director of Personnel, Board of Governors, Federal Reserve System,
20th and Constitution, NW, Washington, DC 20551.
The request should include the full name and date and place of birth
of the individual, and any available information regarding the type of
record involved, and the category of individual under which the
inquirer feels he or she fits.
Record access procedures: In response to a written request by an
individual to determine whether or not the system contains a record
pertaining to him or to her, the Director will set forth the
procedure for gaining access to the record. If the individual
desires to contest the contents of a record, he or she may do so by
writing to the:
Director of Personnel, Board of Governors, Federal Reserve System,
20th and Constitution, NW, Washington, DC 20551.
Record source categories: Information contained in the system is
obtained from the following:
1. Applications and other personnel and security forms furnished by
the individual.
2. Investigative material furnished by other Federal agencies. Notices
of personnel actions furnished by other Federal agencies.
3. By personal investigation or written inquiry from sources such as:
Employers
Schools
References
Neighbors
Associates
Police Departments
Courts
Credit Bureau
Medical Records
Probation Officials
Prison Officials
4. Newspapers, magazines, periodicals, and other publications.
5. Published hearings of Congressional Committees.
Systems exempted from certain provisions of the act: 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 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 the extent that disclosure of such portions would
reveal the identity of a source who furnished information under a
promise of confidentiality.
BGFRS--3
System name: FRB--Medical Records.
System location: Board Physician, Federal Reserve System, 20th and
Constitution, NW, Washington, DC 20551.
Categories of individuals covered by the system:
1. Applicants who have been medically examined for Board employment.
2. Applicants for disability retirement under the Civil Service
Retirement Law or Federal Reserve System Retirement Plan.
3. Current and former Federal Reserve Board employees.
Categories of records in the system:
1. Information relating to an individual's medical qualifications to
hold a position with the Board.
2. Medical information relating to an individual's capability
(physical and mental) to satisfactorily perform the duties of the
position he or she holds or held.
3. Information relating to an employee's participation in an
occupational health services program.
4. Information relating to pre-employment or periodic medical
examinations to assure that the incumbent is qualified (physically and
mentally) to satisfactorily perform the duties of the position.
5. Information attesting to an annuitant's state of health as required
for ``insurable interest'' survivor annuity elections.
6. Information relating to handicaps.
7. Information relating to employee participation in the Federal
Civilian Employee Alcoholism and Drug Abuse Programs.
Authority for maintenance of the system: Section 11 of the Federal
Reserve Act (12 U.S.C. 248(i) and 248(l)).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
1. Information in these records is used to:
a. Determine veteran disability status.
b. Support applications for Disability Retirement.
c. Support ``insurable interest'' survivor annuity elections.
d. Determine suitability for employment or continued employment.
e. Assist in medical counseling.
2. Information in these records may be provided to officials of other
Federal agencies responsible for Federal benefit programs administered
by:
a. Office of Workmen Compensation Programs.
b. Retired Military Pay Centers.
c. Veterans Administration.
d. Social Security Administration.
e. Specific private contractors engaged in providing benefits under
Federal contracts.
f. Office of Personnel Management.
3. Information in these records is 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 agency, whether Federal, state, or local charged with
the responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute or rule, regulation
or order issued pursuant thereto.
b. To request information from a Federal, state or local agency
maintaining civil, criminal or other relevant enforcement or other
pertinent information, such as a license, if necessary to obtain
relevant information to the Board's decision concerning the hiring or
retention of an employee, the issuance of a security clearance, the
letting of a contract or the issuance of a grant or other benefit.
c. 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 the matter.
d. As a data source for management information for production of
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 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.
e. To respond to a court order.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Records are in folders.
Retrievability: Records are indexed by name, social security number,
identification number, date of birth and/or claim number.
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.
Retention and disposal:
a. Medical certificates and other medical records of examination used
to determine an employee's fitness for a job 6 years after separation.
b. Miscellaneous medical records, correspondence dispensary records
and similar papers, 6 months after separation.
c. Applicant's medical records, 6 years after separation.
d. Disability retirement medical files, 6 years after separation.
System manager(s) and address:
Director of Personnel, Board of Governors, Federal Reserve System,
20th and Constitution, NW, Washington, DC 20551.
Notification procedure:
Individuals requesting information about this system of records should
provide their full name, date of birth, social security number, name
of office or division in which currently or formerly employed, and
annuity account number, if any has been assigned, to the System
Manager, address above.
Record access procedures:
Individuals requesting information about this system of records should
provide their full name, date of birth, social security number, name
of office or division in which currently or formerly employed, and
annuity account number, if any has been assigned, to the System
Manager, address above.
Record source categories:
1. The individual to whom the record pertains.
2. Personal physicians.
3. Medical institutions.
4. Official records of other Federal agencies.
5. Federal Reserve Board Official Personnel Records.
6. Federal Reserve System Personnel Management Records Systems.
Systems exempted from certain provisions of the act:
None; however, see special procedures provided at 12 CFR 261a.6.
BGFRS--4
System name: FRB--General Personnel Records.
System location: Board of Governors, Federal Reserve System, 20th and
Constitution, NW, Washington, DC 20551.
Categories of individuals covered by the system: Current and former
employees of and consultants to the Federal Reserve Board and the
surviving spouses, and children of former Board employees, if any.
Categories of records in the system: This system of records consist of a
variety of documents relating to personnel actions of the Board and
its determinations made about an individual for, and during the
course of his employment by the Board. These records may contain
information about employees and former employees relating to
employment, placement, personnel actions, performance considerations
and evaluations; training and development activities and plans,
background investigations; reference checks; salary history and
other personnel matters. It also includes minority group and medical
disability designators; records relating to benefits and designation
of beneficiary; emergency contact, documentation supporting
personnel actions or decisions made about an individual; awards;
employee parking and other information relating to the status of the
individual either while considered for employment or while employed
by the Board.
Authority for maintenance of the system: Sections 10 and 11 of the
Federal Reserve Act (12 U.S.C. 221 et seq.)
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Information in these records
is used:
a. For purposes of review in connection with appointments, transfers,
promotions, reassignments, training and development needs, adverse
actions, disciplinary actions, and determination of qualifications of
an individual, and in assisting the individual in locating other
employment.
b. For purposes of making a decision when a Board employee or former
Board employee is questioning the validity of a specific document in
the individual's record.
c. To respond to a court order.
d. To provide information to a prospective employer of a current or
former Board employee.
e. To provide data for the automated Personnel records.
f. To provide information 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.
g. To request information from a Federal, state or local agency
maintaining civil, criminal, or other relevant enforcement or other
pertinent information, such as licenses, if necessary to obtain
relevant information or other pertinent information to a Board
decision concerning the hiring or retention of an employee, the
issuance of a security clearance, the letting of contract, or the
issuance of a grant or other benefit.
h. 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 agency, whether Federal, state, or local, charged with
the responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation, or order issued pursuant thereto.
i. As a data source of management information for production of
statistical and analytical studies and reports 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.
j. Determine eligibility for coverage, benefits due, and payment of
benefits under the various benefits programs available to the Board
and its staff.
k. Transfer information necessary to support a claim for benefits
under the various benefit programs in operation at the Federal Reserve
Board.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Records are maintained in file folders, magnetic tape, disc,
punched cards, index cards and microfilm.
Retrievability: Records are indexed by any combination of name, date of
birth, Social Security Number, or identification number.
Safeguards: Records are located in lockable metal file cabinets or in
metal file cabinets in secured rooms with access limited to those
whose official duties require it.
Retention and disposal: The General Personnel Record is retained until
five years after death or an individual achieves age 75 where he or
she does not separate employment by retirement.
System manager(s) and address: For current and former Federal Reserve
Board employees:
Director of Personnel, Board of Governors, Federal Reserve System,
20th and Constitution, NW, Washington, DC 20551.
Notification procedure: Inquiries, including name, date of birth, and
Social Security Number should be addressed to the System Manager,
address above.
Record access procedures: Current and former Federal Reserve 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, including their name, date
of birth, and Social Security Number.
Record source categories: 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 for administration of the benefits portion of the system:
1. OPM Personnel Management Records System.
2. Personnel records of other Government agencies.
3. Personnel records of Federal Reserve Banks.
Systems exempted from certain provisions of the act: 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 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 the extent that disclosure of such portions would
reveal the identity of a source who furnished information under a
promise of confidentiality.
BGFRB--3
System name: FRS--EEO Discrimination Complaint File.
System location: Board of Governors, Federal Reserve System, 20th and
Constitution, NW, Washington, DC 20551.
Categories of individuals covered by the system: 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.
Categories of records in the system: 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.
Authority for maintenance of the system: Section 11 of the Federal
Reserve Act (12 U.S.C. 248(i) and 248(1)).
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 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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: These records are maintained in file folders, binders, and
index cards.
Retrievability: 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. Personnel
screening is employed to prevent unauthorized disclosure.
Retention and disposal: The records are maintained indefinitely.
System manager(s) and address: Director of Personnel, Board of
Governors, Federal Reserve System, 20th and Constitution, NW,
Washington, DC 20551.
Notification procedure: 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.
Record access procedures:
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.
Record source categories:
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.
Systems exempted from certain provisions of the act: 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.
BGFRS--6
System name: FRB--Adverse Information and Action Records:
Disciplinary Records.
System location: Board of Governors, Federal Reserve System, 20th and
Constitution, NW, Washington, DC 20551.
Categories of individuals covered by the system: Current and former
Board employees, (including special employees) and annuitants who
are involved in an Adverse Action; employees who suffer a
withholding of a Progress Step Increase; and those employees who
have creditors contacting the Board relative to credit problems.
Categories of records in the system: This system of records may contain
information or documents relating to a determination made by the
Board affecting an individual. The records consist of the 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, and related correspondence, opinions and
recommendations. Letters from creditors are also contained in this
system.
Authority for maintenance of the system: Section 11 of the Federal
Reserve Act (12 U.S.C. 248(i) and 248(1)).
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 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
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
management functions.
f. 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 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 request information from a Federal, state or local agency
maintaining civil, criminal, or other relevant enforcement or other
pertinent information, such as licenses, if necessary to obtain
relevant information to a Board decision concerning the hiring or
retention of an employee, the issuance of a security clearance, the
letting of a contract, or the issuance of a grant or other benefit.
h. 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.
i. To administer various aspects of established personnel management
programs.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: These records are maintained in file folders, binders, index
cards, magnetic tape and disk.
Retrievability: 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. Personnel
screening is employed to prevent unauthorized disclosure.
Retention and disposal: The records are maintained indefinitely after
cessation of employment unless deemed unnecessary, and thus
destroyed.
System manager(s) and address: Director of Personnel, Board of
Governors, Federal Reserve System, 20th and Constitution, NW,
Washington, DC 20551.
Notification procedure: Individuals should provide name, date of birth,
Social Security Number, identification number (if known),
approximate date of record, and type of situation with which
concerned to the System Manager, address above.
Record access procedures: Individuals should provide name, date of
birth, Social Security Number, identification number (if known),
approximate date of record, and type of situation with which
concerned to the System manager, address above.
Record source categories: a. Individual to whom the record pertains.
b. Board officials.
c. Affidavits or statements from employees.
d. Testimonies of witnesses.
e. Official documents relating to an action, appeal, grievance, or
complaints.
f. Correspondence from specific organizations or persons.
Systems exempted from certain provisions of the act: None.
BGFRS--7
System name: FRB--Payroll.
System location: Board of Governors, Federal Reserve System, 20th and
Constitution, NW, Washington, DC 20551.
Categories of individuals covered by the system: Past and present
employees and members of the Board.
Categories of records in the system: Varied payroll records including
payment vouchers, comprehensive listing of employees, requests for
deductions, tax forms, W-2 forms, overtime requests, leave data,
workmen's compensation data.
Authority for maintenance of the system: Section 11 of the Federal
Reserve Act (12 U.S.C. 248(i) and 248(1)).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Used in the preparation of
Board payroll, as input to several management reports and, from time
to time, input to other contributing programs and as input boards to
studies, analyses, and reports.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: On tape, disk, punched cards, index cards, folders and document
files.
Retrievability: Filed by name, social security number, and employee
number.
Safeguards: Access is restricted to authorized personnel only. Records
are stored in cabinets and a safe. Access to computer records is
restricted to authorized personnel.
Retention and disposal: Various; minimum of one year from date of annual
audit; maximum of indefinite.
System manager(s) and address: Director of Personnel, Board of
Governors, Federal Reserve System, 20th and Constitution, NW,
Washington, DC 20551.
Notification procedure: Current and former employees who wish to gain
access or contest their records should contact System Manager,
address above. Individuals should provide name, date of birth,
social security number, and identification number (if known).
Record access procedures: Current and former employees who wish to gain
access or contest their records should contact System Manager,
address above. Individuals should provide name, date of birth,
social security number, identification number (if known).
Record source categories: 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.
Systems exempted from certain provisions of the act: None.
BGFRS-8
System name: FRB--Leave Records.
System location: Board of Governors, Federal Reserve System, 20th and
Constitution, NW, Washington, DC 20551.
Categories of individuals covered by the system: Present employees,
former employees for a period of three years following their
separation from the Board.
Categories of records in the system: Contains timekeeper records, leave
cards, payroll notifications, supporting memorandum, periodic leave
statements, and creditable service documentation.
Authority for maintenance of the system: Section 11 of the Federal
Reserve Act (12 U.S.C. 248(i) and 248(l)).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Used as a data source for
management information and payment of leave, for production of
statistics and analytical studies in support of the function for
which records are collected and maintained or for related personnel
management functions and manpower studies.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Punched card, tape, disk, index card, folder, and print out.
Retrievability: Filed by date, but may be filed by name or identifying
number.
Safeguards: Stored in locked metal file cabinets, other records stored
in secured limited access computer facilities.
Retention and disposal: Detailed information destroyed after two years.
Summary data is a part of permanent official personnel file.
System manager(s) and address: Division of Personnel, Board of
Governors, Federal Reserve System, 20th and Constitution, NW,
Washington, DC 20551.
Notification procedure: Individuals wishing to know whether information
about them is maintained in this system of records should address
inquiries to the System Manager above. Former Board employees should
direct such a request in writing, including their name, date of
birth, and Social Security number.
Record access procedures: Individuals wishing to gain access or contest
their records should contact the System Manager, address above.
Former Board employees should direct such a request in writing,
including their name, date of birth, and Social Security number.
Record source categories: Records, files and forms of the Board,
information provided by the employee and previous Federal Government
employers.
Systems exempted from certain provisions of the act: None.
BGFRS-9
System name: FRB--Consultant and Staff Associate File.
System location: Board of Governors, Federal Reserve System, 20th and
Constitution, NW, Washington, DC 20551.
Categories of individuals covered by the system: 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.
Categories of records in the system: 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.
Authority for maintenance of the system: Section 11 of the Federal
Reserve Act (12 U.S.C. 248(i) and 248(l)).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: 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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Folder, punched card, tape, disk and index card.
Retrievability: File by name, and cross index by voucher number and
date, or identifying number.
Safeguards: Stored in secured area.
Retention and disposal: Indefinite.
System manager(s) and address: 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.
Notification procedure: 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.
Record access procedures: 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.
Record source categories: 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.
Systems exempted from certain provisions of the act: 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.
BGFRS--10
System name: FRB--General File on Board Members.
System location: Board of Governors, Federal Reserve System, 20th and
Constitution NW, Washington, DC 20551
Categories of individuals covered by the system:
Past and present members of the Board of Governors.
Categories of records in the system:
Biographies of past and present members of the Board, oaths of office,
and miscellaneous correspondence relating to such Members.
Authority for maintenance of the system:
Section 10 of the Federal Reserve Act (12 U.S.C. 241 et seq.)
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Used for background information to determine qualifications for
appointment, reappointments, for compiling information for news
releases and other publications, and for recording correspondence
concerning the Governors.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records.
Retrievability:
Indexed by name.
Safeguards:
Locked in supreme power file. Access limited to Board staff on a
restricted basis.
Retention and disposal:
Indefinite.
System manager(s) and address: Secretary of the Board, Board of
Governors, Federal Reserve System, 20th and Constitution, NW,
Washington, DC 20551.
Notification procedure:
Same as System Manager, address above.
Record access procedures:
Same as System Manager, address above.
Record source categories:
Generated by individuals, incoming correspondence and staff response
thereto.
Systems exempted from certain provisions of the act:
Pursuant to subsection (i)(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.
BCFRS-11
System name: FRB--Official General Files.
System location: Board of Governors, Federal Reserve System, 20th and
Constitution, NW, Washington, DC 20551.
Categories of individuals covered by the system: Correspondents with the
Board and System Personnel and Fine Arts Program participants.
Categories of records in the system: Incoming and outgoing
correspondence concerning Board business. Records relating to System
Personnel in official capacities such as instructors, consultants,
and Board representatives to various committees, conferences, etc.
Authority for maintenance of the system: Section 11 of the Federal
Reserve Act (12 U.S.C. 248(i)).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Used for reference purposes
in preparing responses to inquiries from the public and used in
recording official duties of System Personnel.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper records.
Retrievability: Indexed by name.
Safeguards: Locked in Supreme power file. Access limited to Board staff
on a restricted basis.
Retention and disposal: Indefinite.
System manager(s) and address: Secretary of the Board, Board of
Governors, Federal Reserve System, 20th and Constitution, NW,
Washington, DC 20551.
Notification procedure: System Manager, address above.
Record access procedures: System Manager, address above.
Record source categories: Generated by individuals incoming
correspondence and staff response thereto.
Systems exempted from certain provisions of the act: 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.
BGFRS--12
System name: FRB--Biographical File of Federal Personnel.
System location: Board of Governors, Federal Reserve System, 20th and
Constitution, NW, Washington, DC 20551.
Categories of individuals covered by the system: Current and former
Federal Reserve System officers, and their staff.
Categories of records in the system: This system consists of a variety
of records relating to personnel actions and determinations made
about an individual while employed in the Federal Reserve System.
These records contain information about an individual relating to
birth date; education; veteran status; tenure; handicap; past and
present salaries, grades, and position titles; personnel actions,
including but not limited to appointment, reassignment, demotion,
detail, promotion, transfer, and separation; photograph, awards; and
other information relating to the status of the individual.
Authority for maintenance of the system: Sections 4, 11 and 22 of the
Federal Reserve Act (12 U.S.C. 221 et seq.).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Information in there
records may be used:
a. By Federal Reserve System officials for purposes of review in
connection with appointments, transfers, promotion, reassignments,
adverse actions, disciplinary actions, and determination of
qualifications of an individual.
b. By the Board of Governors for purposes of making a decision when a
listed employee or former listed employee is questioning the validity
of a specific document in the individual's record.
c. To respond to a court order.
d. To publish name and title data for the Directory of officers of
Federal Reserve Banks.
e. To provide reports to Congress, agencies, and the public on
characteristics of the System work force.
f. 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 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. As a data source for management information for production of
summary descriptive statistic 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 repond 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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Records are maintained in file folders, magnetic tape, punched
cards and disk.
Retrievability: Records are indexed by combination of name or
identification number.
Safeguards: Records are located in lockable metal file cabinets or in
metal file cabinets in secured rooms with access limited to those
whose official duties require access.
Retention and disposal: Retained indefinitely.
System manager(s) and address: Director of Personnel, Board of
Governors, Federal Reserve System, 20th and Constitution, NW,
Washington, DC 20551.
Notification procedure: Inquiries, including name, date of birth, and
Social Security Numbers should be addressed to the System Manager,
address above.
Record access procedures: Current and former System employees who wish
to gain access to and contest their records should direct such a
request in writing, including their name, date of birth, and Social
Security Number to the System Manager, address above.
Record source categories: Information in this system of records comes
from either the individual to whom it applies, extracted from
documents he supplied, or data provided by Federal Reserve System
officials and employees.
Systems exempted from certain provisions of the act: None.
BGFRS--13
System name: FRB--General File of Examiners and Assistant
Examiners at Federal Reserve Banks.
System location: Board of Governors, Federal Reserve System, 20th and
Constitution, NW, Washington, DC 20551.
Categories of individuals covered by the system:
Past and present examiners and assistant examiners at Federal Reserve
Banks.
Categories of records in the system:
Brief biographies of past and present examiners and assistant
examiners, oaths of office, and miscellaneous correspondence.
Authority for maintenance of the system:
Section 11 of the Federal Reserve Act (12 U.S.C. 248(a) and 248(i)).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Used as background information for determining qualifications for
appointment, reappointment, etc.; for compiling information for news
releases and other publications, and recording correspondence
concerning such persons.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records.
Retrievability:
Indexed by name.
Safeguards:
Locked in Supreme power file. Access limited to Board staff on a
restricted basis.
Retention and disposal:
Indefinite.
System manager(s) and address: Secretary of the Board, Board of
Governors, Federal Reserve System, 20th and Constitution, NW,
Washington, DC 20551.
Notification procedure: System Manager, as indicated above.
Record access procedures: Same as ``Notification'' above.
Record source categories:
Individuals themselves, references such as ``Who's Who'' and
miscellaneous correspondence from system personnel and others.
Systems exempted from certain provisions of the act:
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.
BGFRS--14
System name: FRB--General File of Federal Reserve Bank and
Branch Directors.
System location: Board of Governors, Federal Reserve System, 20th and
Constitution, NW, Washington, DC 20551.
Categories of individuals covered by the system: Past and present
Federal Reserve Bank and Branch Directors.
Categories of records in the system: Biographies of past and present
Federal Reserve Bank and Branch Directors, oaths of office,
resignations, and miscellaneous correspondence.
Authority for maintenance of the system: Sections 3, 4 and 11 of the
Federal Reserve Act (12 U.S.C. 221 et seq.).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Used as background
information for determining qualifications for appointment,
reappointment, etc.; for compiling information for news releases and
other publications and recording correspondence concerning such
persons.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper records.
Retrievability: Indexed by name.
Safeguards: Locked in Supreme power file. Access limited to Board staff
on a restricted basis.
Retention and disposal: Indefinite.
System manager(s) and address: Secretary of the Board, Board of
Governors, Federal Reserve System, 20th and Constitution, NW,
Washington, DC 20551.
Notification procedure: System Manager, as indicated above.
Record access procedures: Same as ``Notification'' above.
Record source categories: Generated by individual's incoming
correspondence and staff response thereto.
Systems exempted from certain provisions of the act: 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.
BGFRS--15
System name: FRB--General Files of Federal Reserve Agents,
Alternates and Representatives at Federal Reserve Banks.
System location: Board of Governors, Federal Reserve System, 20th and
Constitution, NW, Washington, DC 20551.
Categories of individuals covered by the system:
Past and present Federal Reserve Agents, Alternates and
Representatives at Federal Reserve Banks.
Categories of records in the system: Biographies of past and present
examiners, oath of office and miscellaneous correspondence relating
to such persons.
Authority for maintenance of the system:
Sections 4 and 11 of the Federal Reserve Act (12 U.S.C. 248(i), (j)
and 305).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper records.
Retrievability:
Indexed by name.
Safeguards:
Locked in Supreme power file. Access limited to Board staff on a
restricted basis.
Retention and disposal:
Indefinite.
System manager(s) and address: Secretary of the Board, Board of
Governors, Federal Reserve System, 20th and Constitution, NW,
Washington, DC 20551.
Notification procedure:
System Manager, as indicated above.
Record access procedures:
Same as ``Notification'' above.
Record source categories:
Generated by individual's incoming correspondence and staff response
thereto.
Systems exempted from certain provisions of the act:
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.
BGFRS--16
System name: FRB--Regulation G Reports.
System location: Board of Governors, Federal Reserve System, 20th and
Constitution, NW, Washington, DC 20551.
Categories of individuals covered by the system: Individuals other than
banks, brokers and dealers who extend credit in specified amounts
secured by margin securities.
Categories of records in the system: Reports filed by persons registered
pursuant to Regulation G.
Authority for maintenance of the system: Sections 7, 17, and 23 of the
Securities Exchange Act of 1934 and Regulation G (12 CFR part 207).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Aid the Federal Reserve
System in securing compliance with Regulation G, assist registrants
regarding interpretation, and where this system indicates a
violation or potential violation of law, whether civil, criminal or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule or order issued
pursuant thereto, the relevant records in the system of records may
be referred, as a routine use, to the appropriate agency, whether
Federal, state, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with
enforcing or implementing the statute, or rule, regulation or order
issued pursuant thereto. Relevant records in the system of records
may also be disclosed in response to a court order.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper forms and files.
Retrievability: Indexed by name.
Safeguards: Retained in locked metal file cabinets. Access to Board
staff on restricted basis
Retention and disposal: Indefinite.
System manager(s) and address: Director, Division of Banking Supervision
and Regulation, Board of Governors, Federal Reserve System,
Washington, DC 20551.
Notification procedure: Secretary of the Board, Board of Governors,
Federal Reserve System, 20th and Constitution, NW, Washington, DC
20551.
Record access procedures: System Manager, as indicated above.
Record source categories: Reports and forms filed by individuals to whom
records pertain.
Systems exempted from certain provisions of the act: Pursuant to
subsections (k)(2) 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 such portions represent investigatory material compiled
for law enforcement purposes.
BGFRS--17
System name: FRB--Municipal Securities Principal and Municipal
Securities Representative Records.
System location: Board of Governors of the Federal Reserve System, 20th
and Constitution Avenue NW, Washington, DC 20551. Records stored in
computerized files are maintained off Board premises at the National
Association of Securities Dealers, 1735 K Street NW, Washington, DC
20036.
Categories of individuals covered by the system: Persons who are or seek
to be municipal securities principals or municipal securities
representatives associated with a municipal securities dealer which
is a State member bank of the Federal Reserve System or a subsidiary
or a department or division thereof.
Categories of records in the system: These records may contain
identifying information as well as educational, employment, and
disciplinary information, and, where applicable, information
regarding termination of employment of individuals covered by the
system. Identifying information includes names, address, date and
place of birth, and may include social security account number.
Authority for maintenance of the system: Sections 15B, 17, and 23 of the
Securities Exchange Act of 1934 (15 U.S.C. 78o-4(c)(5), 78q, and
78w) and section 11 of the Federal Reserve Act (12 U.S.C. 248).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Information in these records
may be used:
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, as defined in section
3(a)(26) of the Securities Exchange Act of 1934 (15 U.S.C.
78o(a)(26)).
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
securities dealer described in ``Categories of individuals covered by
the system'' as a municipal securities principal or municipal
securities representative.
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.
g. To respond to a court order.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Records are maintained in file folders and on computer discs.
Retrievability: Records are indexed by name.
Safeguards: File folders are stored in lockable metal cabinets and
computer discs are accessed only by authorized personnel.
Retention and disposal: Records may be maintained indefinitely.
System manager(s) and address: Secretary of the Board, Board of
Governors: Federal Reserve System, 20th and Constitution, NW,
Washington, DC 20551.
Notification procedure: Inquiries, including name and date and place of
birth, should be addressed to the System Manager, address above.
Inquiries may be required to include a notarized statement attesting
to identity.
Record access procedures: Same as Notification above.
Contesting record procedures: Same as Notification above.
Record source categories: Individuals on whom the records are maintained
as well as municipal securities dealers described in ``Categories of
individuals covered by the system'' and Federal, State, local, and
foreign governmental authorities, and self-regulatory organizations,
which regulate the securities industry.
Systems exempted from certain provisions of the act: None.
BGFRS--18
System name: FRB--Consumer Complaint Information System.
System location:
Board of Governors of the Federal Reserve System, 20th & Constitution
Avenue, NW, Washington, DC 20551.
Categories of individuals covered by the system:
Persons who have filed complaints with the Federal Reserve Board or
the Federal Reserve Banks.
Categories of records in the system:
These records may contain complaints regarding state-chartered member
banks, as well as other financial institutions, individuals or
organizations that are subject to federal banking regulations.
Information included in these records are the complainant's name, a
code symbol indicating the subject matter of the complaint, and
information regarding the investigation and action taken on the
complaint. Supporting records may include documents supplied by the
complainant, intra-agency memoranda, as well as correspondence between
the Federal Reserve System and the financial institution or other
individual or organization in question.
Authority for maintenance of the system:
Section 11 of the Federal Reserve Act (12 U.S.C. 248(i)).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The information in these records may be used:
a. By Board staff in its consumer affairs program for the
investigation and resolution of consumer complaints.
b. To provide the appropriate Reserve Bank with information when a
complaint or inquiry is received by the Board involving a state-
chartered member bank in that Reserve Bank's jurisdiction.
c. In the investigation and resolution of complaints by the Reserve
Bank which may require the disclosure of information contained in the
records pertaining to the subject individual or institution.
d. For the maintenance of all follow-up correspondence (i.e.,
information submitted by complainant and information gathered in the
investigation process concerning the complainant's bank records and
pertinent bank policies.
e. To respond to Congressional inquiries and referral of complaints
made on behalf of constituents. Congressional inquiries are generally
made for the purpose of assessing the implementation of Congressional
legislation. Information identifying the complainant and the
institution or individual subject to the complaint is generally
deleted in these requests, unless the complainant consents to
disclosure. Information provided in response to complaint referrals
will be in the form of follow-up correspondence on the complaints.
f. 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 agency, whether federal, state or local, charged with
the responsibility of investigating or prosecuting such violations or
with enforcing or implementing the statute, or rule, regulation or
order issued pursuant thereto.
g. To respond to a court order.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are stored in computer readable format, computer
printouts, control forms, in file folders, and on microfiche.
Retrievability:
File folders and microfiche are retrievable by subject code; control
forms by control form number; computer printouts by state member bank
name, consumer name, and control form number.
Safeguards:
Access to and use of these records is restricted to authorized
personnel only.
Retention and disposal:
a. File folders of complaints will be retained for two years.
b. Complaints on microfiche will be retained indefinitely.
c. Records stored in computer readable format will be retained
indefinitely, with the following exceptions: Records on control forms
will be retained for a maximum of one year, with the exception of
Reserve Bank referrals which, will be retained indefinitely; records
on computer printouts of monthly and year-end reports will be retained
for one year, then put on microfiche and retained indefinitely.
System manager(s) and address: Director, Division of Consumer and
Community Affairs, Board of Governors, Federal Reserve System, 20th
and Constitution Ave., NW, Washington, DC 20051.
Notification procedure:
Inquiries should be directed to the System Manager at the address
above. Inquirers may be required to file notarized statements
attesting to their identity.
Record access procedures:
Inquiries should be directed to the System Manager at the address
above. Inquirers may be required to file notarized statements
attesting to their identity.
Record source categories:
Person(s) who initiate complaints (or his or her representative, which
may include a member of Congress or an attorney); appropriate federal,
state or local regulatory and enforcement agencies; institutions or
individuals that are the subject of a complaint.
Systems exempted from certain provisions of the act:
Pursuant to subsection (k)(2) and (k)(5) of the Privacy Act and the
Board's regulations relating thereto (12 CFR part 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 the extent that disclosure of such portions would reveal
the identity of a source who furnished information under a promise of
confidentiality.
BGFRS--19
System name: FRB--Financial Disclosure Reports and Outside
Business Interest Applications.
System location: Board of Governors of the Federal Reserve System, 20th
and Constitution Avenue, NW, Washington, DC 20551.
Categories of individuals covered by the system: Board members,
officials, and key Board employees who are required to file annual
financial disclosure reports pursuant to Title II of the Ethics in
Government Act, as amended, Pub. L. 95-521 (1978) and Pub. L. 96-19,
and 96-28 (1979), or pursuant to Board regulation, 12 CFR part 264;
and Outside Business Interest Application forms, filed pursuant to
12 CFR part 264.
Categories of records in the system: These records contain:
a. The annual Financial Disclosure reports filed on forms prescribed
by the Office of Government Ethics, for those Board members and
officials who are required by statute to file these reports;
b. Confidential Annual Financial Disclosure Reports filed annually by
remaining Board officials and designated key Board employees who are
required by Board regulations to file these reports; and
c. Outside Business Interest Application forms filed by employees
pursuant to Board regulation.
Authority for maintenance of the system: Title II of Pub. L. 95-521
(1978) and sections 10 and 11 of the Federal Reserve Act (12 U.S.C.
221 et seq.).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: The information in these
records may be used:
a. To identify or determine conflict of interest situations or
potential conflicts of interest.
b. To advise an employee of potential problems.
c. To provide information to the Office of Government Ethics.
d. To provide copies of those financial disclosure reports filed
pursuant to the Ethics in Government Act to the public, upon request.
e. To respond to a request from a Member of Congress.
f. To respond to a request from the General Accounting Office made in
the exercise of their official responsibilities.
g. To respond to a court order.
h. To respond to requests for nonidentified statistical information
under the Freedom of Information Act.
i. 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 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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: These records are maintained in file folders, in locked steel
file cabinets, in a secured room.
Retrievability: These records are indexed by the names of the
individuals to whom they pertain.
Safeguards: Access to and use of these records is restricted to those
persons whose official duties require such access.
Retention and disposal:
a. Financial Disclosure Reports filed pursuant to the Ethics in
Government Act are retained for the statutorily required six-year
period, after which they are destroyed, unless needed in an ongoing
investigation.
b. Confidential Financial Disclosure Reports filed pursuant to Board
regulation are maintained indefinitely.
c. Outside Business Interest Applications are maintained indefinitely.
System manager(s) and address: Board Ethics Official, Board of
Governors, Federal Reserve System, 20th and Constitution, NW,
Washington, DC 20551.
Notification procedure:
a. Requests for access to Financial Disclosure Reports filed pursuant
to the Ethics in Government Act are to be submitted on the form
provided by the Office of Government Ethics.
b. Individuals wishing to have access to their own Confidential
Financial Disclosure reports or Outside Business Interest Applications
should contact the System Manager above.
Record access procedures: Individuals wishing to gain access to or to
correct information maintained about them in this system of records
should contact the System Manager above. Former Board employees
should direct such a request in writing, including their name, date
of birth and social security number.
Record source categories: Individual to whom the record pertains.
Systems exempted from certain provisions of the act: None.
BGFRS--21
System name:
FRB--Supervisory Tracking and Reference System.
System location:
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.
Categories of individuals covered by the system:
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.
Categories of records in the system:
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.
Authority for maintenance of the system:
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).
Purpose(s):
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.
Routine uses of records maintained in the system, including categories
of users, and the purposes of such uses:
Information in these records may be used to:
(1) 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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records will be maintained in electronic data processing systems
and in paper and card files.
Retrievability:
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.
Safeguards:
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.
Retention and disposal:
Records are maintained indefinitely.
System manager(s) and address:
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.
Notification procedure:
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.
Record access procedures:
Same as ``Notification procedure'' above.
Contesting record procedures:
Same as ``Notification procedure'' above.
Record source categories:
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.
System exempted from certain provisions of the act:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H), and (I), and (f) of the
Privacy Act pursuant to 5 U.S.C. 552a(k)(2).
BGFRS-22
System name: FRB-Chain Banking Reference System.
System location:
Board of Governors of the Federal Reserve System Constitution Ave. at
20th St., NW, Washington, DC 20551
Categories of individuals covered by the system:
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.
Categories of records in the system:
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.
Authority for maintenance of the system:
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.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used:
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and word processing discs would be stored in locked
metal cabinets; computerized records would be maintained in electronic
data processing systems.
Retrievability:
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.
Safeguards:
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.
Retention and disposal:
Records would be maintained indefinitely.
System manager(s) and address:
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.
Notification procedure:
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.
Record access procedures:
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.
Contesting record procedures:
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.
Record source categories:
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.
Systems exempted from certain provisions of the act:
None.
BGFRS-23
System name:
Freedom of Information Act/Privacy Act (FOIA/PA) Case Tracking and
Reporting System.
Security classification:
None.
System location:
Freedom of Information Office, Board of Governors of the Federal
Reserve System (Board), 20th Street & Constitution Avenue, NW,
Washington, DC 20551.
Categories of individuals covered by the system:
Individuals who have submitted requests and individuals whose records
are requested by others under the provisions of the Freedom of
Information Act (FOIA) and/or the Privacy Act (PA).
Categories of records in the system:
A computer data base that includes: The log number assigned to the
request, the name and address of a requester, the date of the request,
the date a response is due, the date of the determination letter, the
date responsive documents were mailed to requester, a brief
description of the information requested, the names of Board staff to
whom the request was assigned for processing, fee data, and other
information used for tracking and to compile the FOIA Annual Report
and Biennial Privacy Act Report to Congress and other ad hoc reports.
Authority for maintenance of the system:
5 U.S.C. 552 and 552a; 12 CFR parts 261 and 261a.
Purpose(s):
To assist the Board in carrying out its responsibilities under the
Freedom of Information Act and Privacy Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) Information may be provided to another Federal agency, which
furnished information responsive to a request, for the purpose of
making a decision regarding access or amendment to the responsive
information.
(2) Information may be released to the news media and the public,
unless it is determined that release of specific information in the
context of a particular case would constitute an unwarranted invasion
of personal privacy.
(3) Information may be released to a Member of Congress or
congressional staff as is necessary to appropriately respond to
congressional inquiries on behalf of constituents.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored on computer disks.
Retrievability:
Retrieved by name of requester, by log number assigned to the request,
by the subject matter of the request, or any other field of
information that is collected.
Safeguards:
Access to records is limited to Board personnel who have need for the
records to perform their duties.
Retention and disposal:
Records are retained indefinitely.
System manager(s) and address:
Manager, Freedom of Information Office, Mail Stop 132, Board of
Governors of the Federal Reserve System, 20th Street & Constitution
Avenue, 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 Street and Constitution
Avenue, NW., Washington, DC 20551.
Record access procedures:
Same as ``Notification procedure'' above.
Contesting record procedures:
Same as ``Notification procedure'' above.
Record source categories:
The sources of information contained in this system are the
individuals making requests, other agencies referring requests for
access to or correction of records originating at the Board, and Board
employees engaged in processing or making determinations on the
requests.
Exemptions claimed for the system:
None.
BGFRS/OIG-1
System name:
OIG Investigative Records.
System location:
Office of Inspector General, Board of Governors of the Federal Reserve
System, Suite 3000, 1790 New York Avenue, NW., Washington, DC 20006.
Categories of individuals covered by the system:
Individuals covered consist of:
(1) Officers or employees of the Board or other persons involved in
the Board's programs or operations who are or have been under
investigation by the Board's Office of Inspector General in order to
determine whether such officers, employees or other persons have been
or are engaging in fraud and abuse with respect to the Board's
programs or operations; and
(2) Complainants and witnesses where necessary for future retrieval.
Categories of records in the system:
The system contains files on individual investigations including
investigative reports and related documents generated during the
course of or subsequent to an investigation. It includes electronic
and hard copy case tracking systems, databases containing
investigatory information, ``Hotline'' telephone logs, and
investigator workpapers and memoranda and letter referrals to
management or others.
Authority for maintenance of the system:
5 U.S.C. App. 4(a)(1) and 6(a)(2).
Purpose(s):
These records are collected, maintained and used by the OIG in its
inquiries and investigations and reports relating to the
administration of the Board's programs and operations and to manage
the investigatory program.
Routine uses of records maintained in the system, including categories
of users and purposes of such uses:
Under normal circumstances, no individually identifiable records will
be provided. However, under those unusual circumstances when release
of information contained in an individually identifiable record is
required, proper safeguards will be maintained to protect the
information collected from unwarranted invasion of personal privacy.
Subject to this general limitation, the routine uses are as follows:
1. In the event the information in the system of records indicates a
violation or potential violation of a criminal or civil law, rule, or
regulation, the relevant records may be disclosed to the appropriate
federal, state, or local agency or authority responsible for
investigating or prosecuting such a violation or for enforcing or
implementing a statute, rule, or regulation.
2. The information in the system of records may be disclosed to a
court, magistrate, or administrative tribunal in the course of
presenting evidence, including disclosures to counsel or witnesses in
the course of civil discovery, litigation, or settlement negotiations
or in connection with criminal proceedings.
3. The information may be disclosed to a congressional office in
response to an inquiry made by that office at the request of the
individual who is the subject of the records.
4. The information may be disclosed to any source, including a
federal, state, or local agency maintaining civil, criminal, or other
relevant enforcement information or other pertinent information, but
only to the extent necessary for the OIG to obtain information
relevant to an OIG investigation.
5. The information maybe disclosed in order to respond to a federal
agency's request made in connection with the hiring or retention of an
individual, the issuance of a security clearance, the reporting of an
investigation of an individual, the letting of a contract or issuance
of a grant, license, or other benefit by the requesting agency, but
only to the extent that the information disclosed is necessary and
relevant to the requesting agency's decision on the matter.
6. The information may be disclosed to other federal entities, such as
other federal Offices of Inspector General or the General Accounting
Office, or to a private party with which the OIG or the Board has
contracted for the purpose of auditing or reviewing the performance or
internal management of the OIG's investigatory program, provided the
record will not be transferred in a form that is individually
identifiable, and provided further that the entity acknowledges in
writing that it is required to maintain Privacy Act safeguards for the
information.
In addition to the foregoing routine uses, a record which is contained
in this system and derived from another Board system of records may be
disclosed as a routine use as specified in the Federal Register notice
of the system of records from which the records derived.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
These records are maintained in file folders, computer disks,
electronic media, and reports on each investigation.
Retrievability:
Records are generally indexed by name of person under investigation,
investigation number, referral number, or investigative subject
matter.
Safeguards:
File folders are maintained in lockable metal file cabinets stored in
offices that are locked when not in use. Computer disks and electronic
media are locked in the lockable metal file cabinets with their
related file folders, and information not so lockable is kept in
individual offices in locked or passworded computer hardware. Access
to the information in the cabinets and individual offices is permitted
only by and to specifically authorized personnel.
Retention and disposal:
Records in file folders are retained as long as needed and then
destroyed by shredding. Computer disks are cleared, retired, or
destroyed when no longer useful. Entries on electronic media are
deleted or erased when no longer needed.
System manager(s) and address:
Brent L Bowen, Inspector General, Mail Stop 300, Board of Governors of
the Federal Reserve System, Washington, DC 20551. Office location is
Suite 3000, 1790 New York Avenue, NW., Washington, DC 20006.
Notification procedure:
A person requesting notice as to whether this system of records
contains information pertaining to him or her should write to the
Office of Inspector General, Mail Stop 300, Board of Governors of the
Federal Reserve System, Washington, DC 20551. Individuals requesting
their own records must provide their name and address and a notarized
statement attesting to the individual's identity. Requests submitted
on behalf of other persons must include their written, notarized
authorization. Such requests in the form prescribed may also be
presented in person at the Office of the Inspector General, Suite
1070, 1850 K Street, NW., Washington, DC 20006. Simultaneously with
requesting notification of inclusion in this system of records, the
individual may request record access as described in the following
section on ``Record access procedures.''
Record access procedures:
Specific materials in this system have been exempted from Privacy Act
provisions at 5U.S.C. 552a(d), regarding access to records. The
section of this notice titled ``Exemptions claimed for the system''
indicates the kinds of material exempted and the reasons for exempting
them from access. Individuals wishing to request access to non-exempt
records should follow the procedures described in the ``Notification
procedure'' section. Requests submitted on behalf of other persons
must include their written, notarized authorization. If access to such
information by a subject individual is deemed consistent with the
purposes for which this system of records has been established, then
the individual will be notified by the OIG as to the time and place
for access to the records. The OIG will also notify individuals when
access is denied.
Contesting record procedure:
Individuals requesting amendment or contesting records in this system
of records should contact the OIG at the address given above,
reasonably identify the records, specify the information being
contested, the rationale for the challenge, and supply the information
requested to be substituted. Such individuals must also comply with
the Board's Privacy Act regulations on ``Request for correction or
amendment of record'' (12 CFR 261a.7).
Record source categories:
The OIG collects information from many sources including the subject
individuals, employees of the Board and the Federal Reserve System,
other government employees, witnesses and informants, and
nongovernmental sources.
Exemptions claimed for the system:
Pursuant to 5 U.S.C. 552a(k)(2), this system of records is exempted
from 5 U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1), (e)(4)(G), (H), and
(I), and (f) to the extent the system of records consists of
investigatory material compiled for law enforcement purposes. Pursuant
to 5 U.S.C. (k)(5), this system of records is exempted from 5 U.S.C.
552a(d)(1) to the extent that it consists of investigatory material
compiled for the purpose of determining suitability, eligibility, or
qualifications for federal civilian employment or federal contracts,
the release of which would reveal the identity of a source who
furnished confidential information to the Government under an express
promise that the identity of the source would be held in confidence.
Pursuant to 5 U.S.C. 552a(j)(2), this system of records is exempted
from 5U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1), (e)(2), and (e)(3) to
the extent that it consists of information compiled for the purpose of
criminal investigations.
BGFRS/OIG-2
System name:
OIG Personnel Records.
System location:
Office of Inspector General, Board of Governors of the Federal Reserve
System, Suite 3000, 1709 New York Avenue, NW., Washington, DC 20006.
Categories of individuals covered by the system:
The system contains personal and financial information, in varying
amounts, on former, current, and prospective employees of the Board's
OIG.
Categories of records in the system:
These records may contain information relating to the education,
training, employment history and earnings; appraisal of past
performance; convictions for offenses against the law; results of
tests, appraisals of potential, honors, awards of fellowships;
military service or veteran status; school transcripts; work samples;
birth date; social security number; travel vouchers; offer letters and
correspondence, reference checks; and home address of past, present
and prospective employees of the OIG. Includes allocations of time
spent on various OIG projects and tasks (OIG Time Entry System) and
related documents and reports generated by the Time Entry System.
Authority for maintenance of the system:
5 U.S.C. App. 8E(g)(2); 12 U.S.C. 248(l).
Purpose(s):
The information in these records is used for making hiring, retention,
promotion, and performance evaluation decisions.
Routine uses of records maintained in the system, including categories
of users and purposes of such uses:
Under normal circumstances, no individually identifiable records will
be provided. However, under those unusual circumstances when release
of information contained in an individually identifiable record is
required, proper safeguards will be maintained to protect the
information collected from unwarranted invasion of personal privacy.
Subject to this general limitation, the routine uses are as follows:
1. The information may be disclosed to assist in determining the
suitability for access to classified information.
2. The information may be disclosed to designated officers and
employees of agencies and departments of the federal government, and
the District of Columbia government, having an interest in the
individual for employment purposes, in connection with performance of
a service to the federal government, under a contract or other
agreement, including a security clearance or access determination, and
a need to evaluate qualifications, suitability, and loyalty to the
United States government.
3. The information may be disclosed to the intelligence agencies of
the Department of Defense, National Security Agency, Central
Intelligence Agency, and the Federal Bureau of Investigation for use
in intelligence activities.
4. The information may be disclosed to any source from which
information is requested by the Board in the course of an
investigation, to the extent necessary to identify the individual,
inform the source of the nature and purpose of the investigation and
to identify the type of information requested.
5. In the event the information in the system of records indicates a
violation or potential violation of a criminal or civil law, rule, or
regulation, the relevant records may be disclosed to the appropriate
federal, state, or local agency or authority responsible for
investigating or prosecuting such a violation or for enforcing or
implementing a statute, rule, regulation.
6. The information may be disclosed as a data source for management
information for production of 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; and they 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.
7. The information may be disclosed to respond to a court order.
8. The information may be disclosed to a congressional office in
response to an inquiry made by the office at the request of the
individual who is the subject of the records.
9. The information may be disclosed to other federal entities, such as
other federal Offices of Inspector General or the General Accounting
Office, or to a private party with which the OIG or the Board has
contracted for the purpose of auditing or reviewing the performance or
internal management of the OIG, provided the record will not be
transferred in a form that is individually identifiable, and provided
further that the entity acknowledges in writing that it is required to
maintain Privacy Act safeguards for the information.
In addition to the foregoing, a record which is contained in this
system and derived from another Board system of records may be
disclosed as a routine use as specified in the Federal Register notice
of the system of records from which the records derived.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
The information is stored as written and printed information contained
in file folders and on computer disks, electronic media in the form of
individual reports or in electronic databases.
Retrievability:
The information is indexed by name but can be retrieved by a variety
of personal identification means including by social security number,
employee number, and room number. It can also be retrieved by project
or assignment codes.
Safeguards:
File folders are maintained in lockable metal file cabinets stored in
offices that are locked when not in use. Computer disks and electronic
media are locked in the lockable metal file cabinets with their
related file folders, and information not so lockable is kept in
locked or passworded computer hardware. Access to the information in
the cabinets and individual offices is permitted only by and to
specifically authorized personnel.
Retention and disposal:
Records in file folders are retained as long as needed and then
destroyed by shredding. Computer disks are cleared, retired, or
destroyed when no longer useful. Entries on electronic media are
deleted or erased when no longer needed.
System manager(s) and address:
Brent L Bowen, Inspector General, Mail Stop 300, Board of Governors of
the Federal Reserve System, Washington, DC 20551. Office location is
Suite 3000, 1709 New York Avenue NW., Washington, DC 20006.
Notification procedure:
A person requesting notice as to whether this system of records
contains information pertaining to him or her should write to the
Office of Inspector General, Mail Stop 300, Board of Governors of the
Federal Reserve System, Washington, DC 20551. Individuals requesting
their own records must provide their name and address and a notarized
statement attesting to the individual's identity. Requests submitted
on behalf of other persons must include their written, notarized
authorization. Such requests in the form prescribed may also be
presented in person at the Office of the Inspector General, Suite
1070, 1850 K Street, NW., Washington, DC 20006. Simultaneously with
requesting notification of inclusion in this system of records, the
individual may request record access as described in the following
section on ``Record access procedures''.
Record access procedures:
Specific materials in this system have been exempted from Privacy Act
provisions at 5U.S.C. 552a(d), regarding access to records. The
section of this notice titled ``Exemptions claimed for the system''
indicates the kinds of material exempted and the reasons for exempting
them from access. Individuals wishing to request access to non-exempt
records should follow the procedures described in the ``Notification
procedure'' section. Requests submitted on behalf of other persons
must include their written, notarized authorization. If access to such
information by a subject individual is deemed consistent with the
purposes for which this system of records has been established, then
the individual will be notified by the OIG as to the time and place
for access to the records. The OIG will also notify individuals when
access is denied.
Contesting record procedure:
Individuals requesting amendment of contesting records in this system
or records should contact the Office of Inspector General at the
address given above, reasonably identify the records, specify the
information being contested, the rationale for the challenge, and
supply the information requested to be substituted. Such individuals
must also comply with the Board's Privacy Act regulations on ``Request
for correction or amendment of record'' (12 CFR 261a.7).
Record source categories:
Subject individuals, employees of the Board and the Federal Reserve
System, other government employees, and witnesses and informants.
Exemptions claimed for the system:
Pursuant to 5 U.S.C. (k)(5), this system of records is exempted from 5
U.S.C. 552a(d)(1) to the extent that it consists of investigatory
material compiled for the purpose of determining suitability,
eligibility, or qualifications for federal civilian employment or
federal contracts, the release of which would reveal the identity of a
source who furnished confidential information to the Government under
an express promise that the identity of the source would be held in
confidence.
BGFRS/SS-1
System name:
Telephone Call Detail Records.
Security classification:
None.
System location:
Division of Support Services, Board of Governors of the Federal
Reserve System, 20th Street & Constitution Avenue, NW., Washington, DC
20551.
Categories of individuals covered by the system:
Board employees, consultants and contractors who have been assigned a
telephone number by the Board.
Categories of records in the system:
Records relating to use of Board telephones to place local and long
distance calls; records indicating assignment of telephone numbers to
individuals covered by the system; and records relating to location of
telephones.
Authority for maintenance of the system:
Sections 10 and 11 of the Federal Reserve Act, 12 U.S.C. 243 and
248(l).
Purpose(s):
To detect and prevent unauthorized usage of the Board's telephones.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in the system may be disclosed, as is necessary:
(1) To a congressional office in response to an inquiry made at the
request of the individual to whom the record pertains.
(2) To representatives of the National Archives and Records
Administration who are conducting records management inspections.
(3) To a court, magistrate, or administrative tribunal in the course
of presenting evidence, including disclosures to counsel or witnesses
in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings.
(4) To the appropriate federal, state, or local agency or authority
responsible for investigating or prosecuting a violation of or for
enforcing or implementing a statute, rule, regulation, or order, when
the information indicates a violation or potential violation of law,
whether civil, criminal, or regulatory in nature, and whether arising
by general statute, or by particular program statute, or by
regulation, rule, or order issued pursuant thereto.
(5) To current or former Board employees and other individuals
currently or formerly provided telephone services by the Board to
determine their individual responsibility for telephone calls.
(6) To respond to a federal agency's request made in connection with
the hiring or retention of an employee, the letting of a contract or
issuance of a grant, license, or other benefit by the requesting
agency, but only to the extent that the information disclosed is
relevant and necessary to the requesting agency's decision on the
matter.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Electronic information is stored on disk and placed in a fire-proof
safe.
Retrievability:
Retrieved by name of individual or telephone number or by number(s)
dialed.
Safeguards:
Access control mechanisms restrict access to authorized personnel.
Passwords restrict access to sensitive information based upon level of
authorization. Audit trails provide an additional level of security.
The file used to set passwords is encrypted and may only be accessed
by those with the highest level of authorization.
Retention and disposal:
Backup is done monthly on disk, which are retained for three years.
After three years the information on the disks is deleted and the disk
re-used for backup. Disks that are no longer usable are destroyed.
System manager(s) and address:
Director, Division of Support Services, Board of Governors of the
Federal Reserve System, 20th Street & Constitution Avenue 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 Street & Constitution
Avenue NW., Washington, DC 20551. The request must contain the
individual's name and the telephone number assigned to the individual
by the Board.
Record access procedures:
Same as ``Notification procedure'' above.
Contesting record procedures:
Same as ``Notification procedure'' above.
Record source categories:
Telephone assignment records; call detail listings; results of
administrative inquiries relating to assignment of responsibility for
placement of specific long distance and local calls.
Exemptions claimed for the system:
None.
BGFRS/SS-2
System name:
Staff Identification Card File.
Security classification:
None.
System location:
Division of Support Services, Board of Governors of the Federal
Reserve System, 20th Street & Constitution Avenue NW., Washington, DC
20551.
Categories of individuals covered by the system:
Board employees, consultants and contractors who have been issued a
Board identification card.
Categories of records in the system:
The system consists of a data base that contains an image of a picture
of the employee; the employee's name and employee number; and
authorization (if applicable) to use the exercise facilities, computer
room, Central Stock Room (CSR) or National Security Information
Processing Center (NSIPC). The data base records the times of
attempted and authorized access to and egress from the Board's
buildings using the identification card, use of the exercise
facilities, computer room, CSR and NSIPC. Records from the data base
may also be maintained in hard copy form.
Authority for maintenance of the system:
Sections 10 and 11 of the Federal Reserve Act, 12 U.S.C. 243 and
248(l).
Purpose(s):
To maintain security of the Board's premises against unauthorized
entry; to record entry to Board premises as well as entry into secured
areas by authorized personnel; to record departure from secured areas
after regular business hours; to control access to certain areas
within Board premises.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To provide information to:
(1) A Congressional office in response to an inquiry made at the
request of the individual to whom the record pertains.
(2) Representatives of the National Archives and Records
Administration who are conducting records management inspections.
(3) A court, magistrate, or administrative tribunal in the course of
presenting evidence, including disclosures to counsel or witnesses in
the course of civil discovery, litigation, or settlement negotiations
or in connection with criminal proceedings.
(4) Board security staff for security purposes, or to determine
whether an individual had entered the Board on a particular day or had
exited the Board after regular business hours.
(5) The system manager to determine compliance with the Board's rules
regarding car pools and parking permits for the Board's garages.
(6) The Board's Health Unit to determine usage of the exercise
facility for purposes of safety, program planning and space
allocation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Electronic information is stored on disk or on tape. Hard copy records
are secured in a fire proof safe.
Retrievability:
Information is retrieved by name of individual issued the
identification card, employee number, or card credential number.
Safeguards:
Security passwords restrict access to authorized personnel. Different
levels of access are provided based upon the authorization. The file
used to set the passwords is encrypted and may only be accessed by
those with the highest level of authorization.
Retention and disposal:
Backup of log files is done daily. Tape and/or disk backup are done
monthly and maintained for a period of two years.
System manager(s) and address:
Director, Division of Support Services, Board of Governors of the
Federal Reserve System, 20th Street & Constitution Avenue, 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.
Record access procedures:
Same as ``Notification procedure'' above.
Contesting record procedures:
Same as ``Notification procedure'' above.
Record source categories:
Personnel information is obtained from the Board's personnel records
and/or from the individual being issued the identification card.
Information regarding entry into and egress from Board premises or
secured areas is obtained from use of the card to open the doors.
Authorization for access to secured facilities on Board premises is
provided by the Board official responsible for that secured facility.
Exemptions claimed for the system:
None.
BGFRS/SS-3
System name:
Staff Parking Permit File.
Security classification:
None.
System location:
Division of Support Services, Board of Governors of the Federal
Reserve System, 20th Street & Constitution Avenue, NW., Washington, DC
20551.
Categories of individuals covered by the system:
Board employees, consultants and contractors who have applied for and/
or been issued a parking permit for the Board's garages.
Categories of records in the system:
The system contains completed parking application forms (FR 1103),
disability parking applications, and contingency parking requests
submitted by employees; unusual-work-demand permit, and special
contingency parking authorizations submitted by division directors;
requests for parking for official visitors and contractors;
notifications of lost permits; a listing of permit numbers assigned to
car pools, van pools and individual employees; investigations made of
compliance with the Board's Parking Regulations; and official actions
taken as a result of violation of the Board's Parking Regulations.
Authority for maintenance of the system:
Sections 10 and 11 of the Federal Reserve Act, 12 U.S.C. 243 and
248(l).
Purpose(s):
To allocate usage of the limited number of parking spaces in the
Board's garages among Board staff, visitors and contractors; to
enforce the Board's Parking Regulations for safe usage of the garages.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) To provide information to a Congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains.
(2) To investigate possible violations of the Board's Parking
Regulations.
(3) To determine eligibility for a parking permit.
(4) To determine eligibility for a public transit subsidy payment.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Electronic information is stored on tape and secured in a fire-proof
safe. Hard copies are stored in a locked file cabinet.
Retrievability:
Information is retrieved by name of individual, employee
identification number, or license tag number.
Safeguards:
Access control mechanisms restrict access to authorized personnel.
Passwords restrict access to sensitive information based upon level of
authorization. The file used to set passwords is encrypted.
Retention and disposal:
Retention of personnel data is maintained until separation from the
Board. Backup of files is done daily. Backup tapes and disks are
destroyed when no longer needed. Hard copy files are shredded when no
longer needed.
System manager(s) and address:
Director, Division of Support Services, Board of Governors of the
Federal Reserve System, 20th Street & Constitution Avenue, 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 Street & Constitution
Avenue, NW., Washington, DC 20551.
Record access procedures:
Same as ``Notification procedure'' above.
Contesting record procedures:
Same as ``Notification procedure'' above.
Record source categories:
Information is obtained from the parking permit applications,
authorizations and requests; and from written investigations of
possible violations of the Board's Parking Regulations.
Exemptions claimed for the system:
None.
PRIVACY ACT RULES
FEDERAL RESERVE SYSTEM
FEDERAL RESERVE SYSTEM
12 CFR PART 261a--RULES REGARDING ACCESS TO PERSONAL INFORMATION UNDER
THE PRIVACY ACT OF 1974
Subpart A--General Provisions
Sec.
261a.1 Authority, purpose and scope.
261a.2 Definitions.
261a.3 Custodian of records; delegations of authority.
261a.4 Fees.
Subpart B--Procedures for Requests by Individual to Whom Record Pertains
261a.5 Request for access to record.
261a.6 Board procedures for responding to request for access.
261a.7 Special procedures for medical records.
261a.8 Request for amendment to record.
261a.9 Agency review of request for amendment of record.
261a.10 Appeal of adverse determination of request for access or
amendment.
Subpart C--Disclosure to Person Other than Individual to Whom Record
Pertains
261a.11 Restrictions on disclosure.
261a.12 Exceptions.
Subpart D--Exempt Records
Sec.
261a.13 Exemptions.
Authority: 5 U.S.C. 552a.
Source: 60 FR 3341, Jan. 17, 1995, unless otherwise noted.
Subpart A--General Provisions
Sec. 261a.1 Authority, purpose and scope.
(a) Authority. This part is issued by the Board of Governors of the
Federal Reserve System (the Board) pursuant to the Privacy Act of 1974
(5 U.S.C. 552a).
(b) Purpose. The purpose of this part is to implement the provisions
of the Privacy Act of 1974 (5 U.S.C. 552a) with regard to the
maintenance, protection, disclosure, and amendment of records contained
within systems of records maintained by the Board.
(c) Scope. This part covers requests for access to, or amendment of,
records concerning individuals that are contained in systems of records
maintained by the Board.
Sec. 261a.2 Definitions.
For the purposes of this part, the following definitions apply:
(a) Business day means any day except Saturday, Sunday or a legal
Federal holiday.
(b) Designated system of records means a system of records maintained
by the Board that has been listed in the Federal Register pursuant to
the requirements of 5 U.S.C. 552a(e).
(c) Guardian means the parent of a minor, or the legal guardian of any
individual who has been declared to be incompetent due to physical or
mental incapacity or age by a court of competent jurisdiction.
(d) Individual means a natural person who is either a citizen of the
United States or an alien lawfully admitted for permanent residence.
(e) Maintain includes maintain, collect, use, disseminate, or control.
(f) Record means any item, collection, or grouping of information
about an individual maintained by the Board that contains the
individual's name, or the identifying number, symbol, or other
identifying particular assigned to the individual, such as a
fingerprint, voice print, or photograph.
(g) Routine use means, with respect to disclosure of a record, the use
of such record for a purpose that is compatible with the purpose for
which it was collected or created.
(h) System of records means a group of any records under the control
of the Board from which information is retrieved by the name of the
individual or by some identifying number, symbol, or other identifying
particular assigned to the individual.
Sec. 261a.3 Custodian of records; delegations of authority.
(a) Custodian of records. The Secretary of the Board is the official
custodian of all records of the Board in the possession or control of
the Board.
(b) Delegated authority of Secretary. With regard to this regulation,
the Secretary of the Board is delegated the authority to:
(1) Respond to requests for access or amendment to records contained
in a system of records, except for such requests regarding systems of
records maintained by the Board's Office of the Inspector General (OIG);
(2) Approve the publication of new systems of records and amend
existing systems of records, except systems of records exempted pursuant
to Sec. Sec. 261a.13(b), (c) and (d);
(3) File the biennial reports required by the Privacy Act.
(c) Delegated authority of designee. Any action or determination
required or permitted by this part to be done by the Secretary of the
Board may be done by an Associate Secretary or other responsible
employee of the Board who has been duly designated for this purpose by
the Secretary.
(d) Delegated authority of Inspector General. With regard to systems
of records maintained by the OIG, the Inspector General is delegated the
authority to respond to requests for access or amendment.
Sec. 261a.4 Fees.
(a) Copies of records. Copies of records requested pursuant to
Sec. 261a.5 of this part shall be provided at the same cost charged for
duplication of records and/or production of computer output under the
Board's Rules Regarding Availability of Information, Sec. 261.10 of this
part.
(b) No fee. Documents may be furnished without charge where total
charges are less than $5.
(c) Waiver of fees. In connection with any request by an employee,
former employee, or applicant for employment, for records for use in
prosecuting a grievance or complaint of discrimination against the
Board, fees shall be waived where the total charges (including charges
for information provided under the Freedom of Information Act) are $50
or less; but the Secretary may waive fees in excess of that amount.
Subpart B--Procedures for Requests by Individual to Whom Record
Pertains
Sec. 261a.5 Request for access to record.
(a) Procedures for making request. (1) Any individual (or guardian of
an individual) other than a current Board employee desiring to learn of
the existence of, or to gain access to, his or her record in a
designated system of records shall submit a request in writing to the
Secretary of the Board, Board of Governors of the Federal Reserve
System, 20th and Constitution Avenue NW., Washington, DC 20551.
(2) A request by a current Board employee for that employee's own
personnel records may be made in person during regular business hours at
the Division of Human Resources, Board of Governors of the Federal
Reserve System, 20th and Constitution Avenue NW., Washington, DC 20551.
(3) A request by a current Board employee for information other than
personnel information may be made in person during regular business
hours at the Freedom of Information Office, Board of Governors of the
Federal Reserve System, 20th and Constitution Avenue NW., Washington, DC
20551.
(4) Requests for information contained in a system of records
maintained by the Board's OIG shall be submitted in writing to the
Inspector General, Board of Governors of the Federal Reserve System,
20th and Constitution Avenue NW., Washington, DC 20551.
(b) Contents of request. A request made pursuant to paragraph (a) of
this section shall include the following:
(1) A statement that it is made pursuant to the Privacy Act of 1974;
(2) The name of the system of records expected to contain the record
requested or a concise description of such system of records.
(3) Necessary information to verify the identity of the requester
pursuant to paragraph (c) of this section; and
(4) Any other information that may assist in the rapid identification
of the record for which access is being requested (e.g., maiden name,
dates of employment, etc.).
(c) Verification of identity. The Board shall require proof of
identity from a requester and reserves the right to determine the
adequacy of such proof. In general, the following shall be considered
adequate proof of identity:
(1) For a current Board employee, his or her Board identification
card; or
(2) For an individual other than a current Board employee, either:
(i) Two forms of identification, one of which has a picture of the
individual requesting access; or
(ii) A notarized statement attesting to the identity of the requester.
(d) Verification of identity not required. No verification of identity
shall be required of individuals seeking access to records that are
otherwise available to any person under 5 U.S.C. 552, Freedom of
Information Act.
(e) Request for accounting of previous disclosures. An individual
making a request pursuant to paragraph (a) of this section may also
include a request for an accounting (pursuant to 5 U.S.C. 552a(c)) of
previous disclosures of records pertaining to such individual in a
designated system of records.
Sec. 261a.6 Board procedures for responding to request for access.
(a) Compliance with Freedom of Information Act. Every request made
pursuant to Sec. 261a.5 of this part shall also be handled by the Board
as a request for information pursuant to the Freedom of Information Act
(5 U.S.C. 552), except that the time limits set forth in paragraph (b)
of this section and the fees specified in Sec. 261a.4 of this part shall
apply to such requests.
(b) Time limits. Every request made pursuant to Sec. 261a.5 of this
part shall be acknowledged or, where practicable, substantially
responded to within 10 business days from receipt of the request.
(c) Disclosure. (1) Information to be disclosed pursuant to this part
and the Privacy Act, except for information maintained by the Board's
OIG, shall be made available for inspection and copying during regular
business hours at the Board's Freedom of Information Office.
(2) Information to be disclosed that is maintained by the Board's OIG
shall be made available for inspection and copying at the OIG.
(3) When the requested record cannot reasonably be put into a form for
individual inspection (e.g., computer tapes), or when the requester asks
that the information be forwarded, copies of such information shall be
mailed to the requester.
(4) Access to or copies of requested information shall be promptly
provided after the acknowledgement as provided in paragraph (b) of this
section, unless good cause for delay is communicated to the requester.
(d) Other authorized presence. The requester of information may be
accompanied in the inspection of that information by a person of the
requester's own choosing upon the requester's submission of a written
and signed statement authorizing the presence of such person.
(e) Denial of request. A denial of a request made pursuant to
Sec. 261a.5 of this part shall include a statement of the reason(s) for
denial and the procedures for appealing the denial.
Sec. 261a.7 Special procedures for medical records.
Medical or psychological records requested pursuant to Sec. 261a.5 of
this part shall be disclosed directly to the requester unless such
disclosure could, in the judgment of the Privacy Officer, in
consultation with the Board's physician, have an adverse effect upon the
requester. Upon such determination, the information shall be transmitted
to a licensed physician named by the requester, who will disclose those
records to the requester in a manner the physician deems appropriate.
Sec. 261a.8 Request for amendment of record.
(a) Procedures for making request. (1) An individual desiring to amend
a record in a designated system of records that pertains to him or her
shall submit a request in writing to the Secretary of the Board (or to
the Inspector General for records in a system of records maintained by
the OIG) in an envelope clearly marked ``Privacy Act Amendment
Request.''
(2) Each request for amendment of a record shall:
(i) Identify the system of records containing the record for which
amendment is requested;
(ii) Specify the portion of that record requested to be amended; and
(iii) Describe the nature of and reasons for each requested amendment.
(3) Each request for amendment of a record shall be subject to
verification of identity under the procedures set forth in
Sec. 261a.5(c) of this part, unless such verification has already been
made in a related request for access or amendment.
(b) Burden of proof. The request for amendment of a record shall set
forth the reasons the individual believes the record is not accurate,
relevant, timely, or complete. The burden of proof for demonstrating the
appropriateness of the requested amendment rests with the requester, and
the requester shall provide relevant and convincing evidence in support
of the request.
Sec. 261a.9 Board review of request for amendment of record.
(a) Time limits. The Board shall acknowledge a request for amendment
of a record within 10 business days of receipt of the request. Such
acknowledgement may request additional information necessary for a
determination on the request for amendment. To the extent possible, a
determination upon a request to amend a record shall be made within 10
business days after receipt of the request.
(b) Contents of response to request for amendment. The response to a
request for amendment shall include the following:
(1) The decision to grant or deny, in whole or in part, the request
for amendment; and
(2) If the request is denied:
(i) The reasons for denial of any portion of the request for
amendment;
(ii) The requester's right to appeal any denial; and
(iii) The procedures for appealing the denial to the appropriate
official.
Sec. 261a.10 Appeal of adverse determination of request for access
or amendment.
(a) Appeal. A requester may appeal a denial of a request made pursuant
to Sec. 261a.5 or Sec. 261a.8 of this part to the Board, or any official
designated by the chairman of the Board, within 10 business days of
issuance of notification of denial. The appeal shall:
(1) Be made in writing to the Secretary of the Board, with the words
``PRIVACY ACT APPEAL'' written prominently on the first page;
(2) Specify the previous background of the request; and
(3) Provide reasons why the initial denial is believed to be in error.
(b) Determination. The Board or an official designated by the Chairman
of the Board shall make a determination with respect to such appeal not
later than 30 business days from its receipt, unless the time is
extended for good cause shown.
(1) If the Board or designated official grants an appeal regarding a
request for amendment, the Board shall take the necessary steps to amend
the record, and, when appropriate and possible, notify prior recipients
of the record of the Board's action.
(2) If the Board or designated official denies an appeal, the Board
shall inform the requester of such determination, give a statement of
the reasons therefor, and inform the requester of the right of judicial
review of the determination.
(c) Statement of disagreement. (1) Upon receipt of a denial of an
appeal regarding a request for amendment, the requester may file a
concise statement of disagreement with the denial. Such statement shall
be maintained with the record the requester sought to amend, and any
disclosure of the record shall include a copy of the statement of
disagreement.
(2) When practicable and appropriate, the Board shall provide a copy
of the statement of disagreement to any person or other agency to whom
the record was previously disclosed.
Subpart C--Disclosure to Person Other Than Individual to Whom Record
Pertains
Sec. 261a.11 Restrictions on disclosure.
No record contained in a designated system of records shall be
disclosed to any person or agency without the prior written consent of
the individual to whom the record pertains unless the disclosure is
authorized by Sec. 261a.12 of this part.
Sec. 261a.12 Exceptions.
The restrictions on disclosure in Sec. 261a.11 of this part do not
apply to any disclosure:
(a) To those officers and employees of the Board who have a need for
the record in the performance of their duties;
(b) That is required under the Freedom of Information Act (5 U.S.C.
552);
(c) For a routine use listed with respect to a designated system of
records;
(d) To the Bureau of the Census for purposes of planning or carrying
out a census or survey or related activity pursuant to the provisions of
title 13 of the United States Code;
(e) To a recipient who has provided the Board with advance adequate
written assurance that the record will be used solely as a statistical
research or reporting record, and the record is to be transferred in a
form that is not individually identifiable;
(f) To the National Archives of the United States as a record that has
sufficient historical or other value to warrant its continued
preservation by the United States government, or for evaluation by the
administrator of General Services or his designee to determine whether
the record has such value;
(g) To another agency or to an instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity if the activity is authorized
by law, and if the head of the agency or instrumentality has made a
written request to the Board specifying the particular portion desired
and the law enforcement activity for which the record is sought;
(h) To a person pursuant to a showing of compelling circumstances
affecting the health or safety of an individual if upon such disclosure
notification is transmitted to the last known address of such
individual;
(i) To either House of Congress, or, to the extent of matter within
its jurisdiction, any committee or subcommittee thereof, any joint
committee of Congress or subcommittee of any such joint committee;
(j) To the Comptroller General, or any of his authorized
representatives, in the course of the performance of the duties of the
General Accounting Office;
(k) Pursuant to the order of a court of competent jurisdiction; or
(l) To a consumer reporting agency in accordance with 31 U.S.C.
3711(f).
Subpart D--Exempt Records
Sec. 261a.13 Exemptions.
(a) Information compiled for civil action. Nothing in this regulation
shall allow an individual access to any information compiled in
reasonable anticipation of a civil action or proceeding.
(b) Law enforcement information. Pursuant to section (k)(2) of the
Privacy Act of 1974 (5 U.S.C. 552a(k)(2)), the Board has deemed it
necessary to exempt certain designated systems of records maintained by
the Board from the requirements of the Privacy Act concerning access to
accountings of disclosures and to records, maintenance of only relevant
and necessary information in files, and certain publication provisions,
respectively, 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (H) and (I),
and (f), and Sec. Sec. 261a.5, 261a.7 and 261a.8 of this part.
Accordingly, the following designated systems of records are exempt from
these provisions, but only to the extent that they contain investigatory
materials compiled for law enforcement purposes:
(1) BGFRS-1 Recruiting and Placement Records.
(2) BGFRS-2 Personnel Background Investigation Reports.
(3) BGFRS-4 General Personnel Records.
(4) BGFRS-5 EEO Discrimination Complaint File.
(5) BGFRS-9 Consultant and Staff Associate File.
(6) BGFRS-16 Regulation G Reports.
(7) BGFRS-18 Consumer Complaint Information System.
(8) BGFRS-21 Supervisory Tracking and Reference System.
(9) BGFRS/OIG-1 OIG Investigatory Records.
(c) Confidential references. Pursuant to section (k)(5) of the Privacy
Act of 1974 (5 U.S.C. 552a(k)(5)), the Board has deemed it necessary to
exempt certain designated systems of records maintained by the Board
from the requirements of the Privacy Act concerning access to
accountings of disclosures and to records, maintenance of only relevant
and necessary information in files, and certain publication provisions,
respectively 5 U.S.C. 552a(c)b(3), (d), (e)(1), (e)(4)(G), (H) and (I),
and (f), and Sec. Sec. 261a.5, 261a.7 and 261a.8 of this part.
Accordingly, the following systems of records are exempt from these
provisions, but only to the extent that they contain investigatory
material compiled to determine an individual's suitability, eligibility,
and qualifications for Board employment or access to classified
information, and the disclosure of such material would reveal the
identity of a source who furnished information to the Board under a
promise of confidentiality.
(1) BGFRS-1 Recruiting and Placement Records.
(2) BGFRS-2 Personnel Background Investigation Reports.
(3) BGFRS-4 General Personnel Records.
(4) BGFRS-9 Consultant and Staff Associate File.
(5) BGFRS-10 General File on Board Members.
(6) BGFRS-11 Official General Files.
(7) BGFRS-13 General File of Examiners and Assistant Examiners at
Federal Reserve Banks.
(8) BGFRS-14 General File of Federal Reserve Bank and Branch
Directors.
(9) BGFRS-15 General Files of Federal Reserve Agents, Alternates and
Representatives at Federal Reserve Banks.
(10) BGFRS/OIG-2 OIG Personnel Records.
(d) Criminal law enforcement information. Pursuant to 5 U.S.C.
552a(j)(2), the Board has determined that portions of the OIG
Investigatory Records (BGFRS/OIG-1) shall be exempt from any part of the
Privacy Act (5 U.S.C. 552a), except the provisions regarding disclosure,
the requirement to keep an accounting, certain publication requirements,
certain requirements regarding the proper maintenance of systems of
records, and the criminal penalties for violation of the Privacy Act,
respectively, 5 U.S.C. 552a (b), (c)(1), and (2), (e)(4) (A) through
(F), (e)(6), (e)(7), (e)(9), (e)(10), (e)(11) and (i). This designated
system of records is maintained by the OIG, a Board component that
performs as its principal function an activity pertaining to the
enforcement of criminal laws. The exempt portions of the records consist
of:
(1) Information compiled for the purpose of identifying individual
criminal offenders and alleged offenders;
(2) Information compiled for the purpose of a criminal investigation,
including reports of informants and investigators, and associated with
an identifiable individual; or
(3) Reports identifiable to an individual compiled at any stage of the
process of enforcement of the criminal laws from arrest or indictment
through release from supervision.