[Privacy Act Issuances (2005)]
[From the U.S. Government Publishing Office, www.gpo.gov]
FEDERAL RESERVE SYSTEM
Table of Contents
BGFRS-1, FRB--Recruiting and Placement Records
BGFRS-3, FRB--Medical Records
BGFRS-4, FRB--General Personnel Records
BGFRS-5, FRB--EEO Discrimination Complaint File
BGFRS-6, FRB--Disciplinary and Adverse Action Records
BGFRS-7, FRB--Payroll and Leave
BGFRS-8, FRB--Travel 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, Biographical File of Federal Reserve Bank Officers.
BGFRS-13, Federal Reserve System Bank Supervision Staff
Qualifications.
BGFRS-14, 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--Individuals Sho Extend Margin Credit
BGFRS-17, FRB--Municipal or Government Securities Principals and
Representatives
BGFRS-18, FRB--Consumer Complaint Information
BGFRS-20, SCF--Survey of Consumer Finances
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
BGFRS-24, EEO General Files
BGFRS-25, Multi-rater Feedback Records
BGFRS-26, Employee Relations Records
BGFRS-27, Performance Management Program Records
BGFRS-28, Employee Assistance Program Records
BGFRS-29, Benefits Records
BGFRS-30, Academic Assistance Program Files
BGFRS-31, Protective Information System
BGFRS-32, Visitor Log
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:
BGFRS 1- Recruiting and Placement Records.
System location:
Most records are maintained at the Board of Governors of the
Federal Reserve System, 20th and Constitution, NW, Washington, DC
20551. Some information, primarily resumes, is electronically
collected and stored off-site on behalf of the Board by a contractor.
Categories of individuals covered by the system:
Persons who have applied for employment with the Federal Reserve
Board.
Categories of records in the system:
The following categories of records are maintained in this
system: resumes, applications, and supporting documentation submitted
by persons seeking employment; information from job fairs; referrals
from Federal Reserve Banks and other Federal government agencies;
transcripts or notes from interviews with some applicants; notes of
interviews with references; information regarding verification of
education and/or military status; some employment inquiries (and
responses) sent to the Chairman of the Board; and offer letters and
related correspondence. Certain information is retained in an
electronic database to enable the Board's Equal Employment
Opportunity Office to monitor and track its recruiting and hiring
performance.
Authority for maintenance of the system:
Sections 10 and 11 of the Federal Reserve Act (12 U.S.C. 244 and
248(l)).
Purpose(s):
These records are collected and maintained to assist the Board in
recruiting and retaining qualified employees, and to allow the Board
to periodically review its hiring practices.
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. By the National Archives and Records Administration in
connection with records management inspections and its role as
Archivist.
b. To disclose to contractors, agents, or volunteers performing
or working on a contract, service, cooperative agreement, or job for
the Board.
c. To disclose pertinent information to the appropriate Federal,
State, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order,
when the Board becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation.
d. To disclose information to any source from which additional
information is requested (to the extent necessary to identify the
individual, inform the source of the purpose(s) of the request, and
to identify the type of information requested), when necessary to
obtain information relevant to a Board decision to hire or retain an
employee, issue a security clearance, conduct a security or
suitability investigation of an individual, classify jobs, let a
contract, or issue a license, grant, or other benefits.
e. To disclose to a Federal agency or to a Federal Reserve Bank,
in response to its request, or at the initiation of the Board,
information in connection with the hiring of an employee, issuing a
security clearance, conducting a security or suitability
investigation of an individual, classifying positions, letting a
contract, or issuing a license, grant, or other benefit by the
requesting agency or Federal Reserve Bank, or the lawful statutory,
administrative, or investigative purpose of the agency to the extent
that the information is relevant and necessary to the requesting
agency's or Federal Reserve Bank's decision.
f. To provide information to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of the individual.
g. To disclose information to another Federal agency, a court, or
a party in litigation before a court or in an administrative
proceeding being conducted by a Federal agency, when the Board or
United States is a party to the judicial or administrative
proceeding.
h. To disclose information to the Department of Justice or in a
proceeding before a court, adjudicative body, or other administrative
body before which the Board is authorized to appear, when:
(1) The Board or any employee of the Board in his or her official
capacity; or
(2) Any employee of the Board in his or her individual capacity
where the Department of Justice or the Board has agreed to represent
the employee; or
(3) The United States (when the Board determines that the
litigation is likely to affect the Board) is a party to litigation or
has an interest in such litigation, and the use of such records by
the Department of Justice or the Board is deemed by the Board to be
relevant and necessary to the litigation provided, however, that in
each case it has been determined that the disclosure is compatible
with the purpose for which the records were collected.
i. To disclose, in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
j. To disclose information to the Equal Employment Opportunity
Commission when requested in connection with investigations of
alleged or possible discrimination practices in the Federal sector,
examination of Federal affirmative employment programs, or other
functions vested in the Commission.
k. To disclose information to the Merit Systems Protection Board
or the Office of Special Counsel in connection with appeals, special
studies of the civil service and other merit systems, review of
Office rules and regulations, investigation of alleged or possible
prohibited personnel practices, and such other functions, e.g., as
prescribed in 5 U.S.C. chapter 12, or as may be authorized by law.
l. To disclose information to the Merit Systems Protection Board
or the Office of Special Counsel in connection with appeals, special
studies of the civil service and other merit systems, investigation
of alleged or possible prohibited personnel practices, and such other
functions promulgated in 5 U.S.C. chapter 12, or as may be authorized
by law.
m. To disclose information in connection with the investigation
and resolution of allegations of unfair labor practices before the
Federal Reserve Board Labor Relations Panel when requested.
n. To disclose information to Federal, State, local, and
professional licensing boards, Board of Medical Examiners, or to the
Federation of State Medical Boards or a similar non-government entity
which maintains records concerning individuals' employment histories
or concerning the issuance, retention or revocation of licenses,
certifications or registration necessary to practice an occupation,
profession or speciality, in order to obtain information relevant to
a Board decision concerning the hiring, retention or termination of
an employee or to inform a Federal agency or licensing boards or the
appropriate non-government entities about the health care practices
of a terminated, resigned or retired health care employee whose
professional health care activity so significantly failed to conform
to generally accepted standards of professional medical practice as
to raise reasonable concern for the health and safety of patients in
the private sector or from another Federal agency.
Disclosure to consumer reporting agencies:
Not applicable.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Since January 2000, records have been stored in an automated
database and in paper format.
Retrievability:
Resumes and related material received since January 2000 are
retrievable by name and other identifying aspects in the automated
database. Resumes and related material received prior to January 2000
are filed in paper form by year and job category, not by individually
identifiable labels.
Safeguards:
Access to computerized records is limited to those whose official
duties require it.
Retention and disposal:
Resume 233;s are retained for two years. The retention
period for otherrecords is currently under review. Until review is
completed, those records will not be destroyed.
System manager(s) and address:
Associate Director, Human Resources Function, Management
Division, Board of Governors of the Federal Reserve System, 20th &
Constitution, NW, Washington, DC 20551.
Notification procedure:
Inquiries should be sent to the Secretary of the Board, Board of
Governors of the Federal Reserve System, 20th and Constitution
Avenue, N.W., Washington, DC 20551. The request should contain the
individual's name, date of birth, Social Security number,
identification number (if known), approximate date of record, and
type of position.
Record access procedures:
Current Board employees who wish to gain access to or contest
their records should contact the system manager, address above.
Former Board employees should direct such a request in writing to the
Secretary of the Board, Board of Governors of the Federal Reserve
System, 20th and Constitution Avenue, N.W., Washington, DC 20551. The
request should contain the individual's name, date of birth, Social
Security number, identification number (if known), approximate date
of record, and type of position.
Contesting record procedures:
Same as ``Record access procedures'' above.
Record source categories:
Information comes from the job applicant; the transcript or notes
from interviews with the applicant; notes from interviews and
supporting documentation from references; OPM Personnel Management
Records System; personnel records of other Government civilian or
military agencies or Federal Reserve Banks; and official transcripts
and other documentation from schools identified by the applicant.
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 261a), certain
portions of this system of records may be exempted from certain
provisions of the Act where: (1) such portions represent
investigatory material compiled for law enforcement purposes, or (2)
such portions represent investigatory material compiled solely for
the purpose of determining suitability, eligibility, or
qualifications for Board employment to extent that disclosure of such
portions would reveal the identity of a source who furnished
information under a promise of confidentiality.
BGFRS-3
System name:
FRB--Medical Records
Security classification:
None.
System location:
Board Physician, Board of Governors of the Federal Reserve
System, 20th and Constitution, NW., Washington, DC 20551. Records
relating to drug-testing under the Drug-Free Workplace Plan may be
retained by a contractor laboratory.
Categories of individuals covered by the system:
Current and former Board employees (including special employees).
Applicants who have been medically examined for Board employment.
Categories of records in the system:
This system of records contains information relating to: pre-
employment medical examinations of potential employees; periodic
medical examinations of employees; treatment and/or advice provided
by the Health Unit's staff to an employee; an employee's
participation in an occupational health services program; the Board's
Drug-Free Workplace Plan; and employees' use of the Board's exercise
facilities.
Authority for maintenance of the system:
Executive Order 12564 and 12 U.S.C. 244 and 248(l).
Purpose(s):
These records are collected and maintained to assist the Board in
determining an employee's fitness for duty, to assist the Board in
providing a safe and healthy working environment, and to comply with
E.O. 12564.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
With the exception of Routine Use ``n,'' none of the other
Routine Uses are applicable to records relating to drug testing under
Executive Order 12564. Further, such records shall be disclosed only
to a very limited number of officials within the Board, generally
only to the Medical Review Officer, the administrator of the Employee
Assistance Program, and the management official empowered to
recommend or take adverse action affecting the individual.
In other cases, the information in these records may be used:
a. To disclose information to the Board's Thrift Plan, the
Board's Group Life Insurance administrators, Department of Labor,
Department of Veterans Administration, Social Security
Administration, Federal Retirement Thrift Investment Board, or a
national, State, or local social security type agency, when necessary
to adjudicate a claim (filed by or on behalf of the individual) under
a retirement, insurance, or health benefit program.
b. To disclose information to a Federal, State, or local agency
to the extent necessary to comply with laws governing reporting of
communicable disease.
c. To disclose to contractors, grantees or volunteers performing
or working on a contract, service, grant, cooperative agreement, or
job for the Board, where necessary to performance.
d. To disclose information to a Federal agency in the executive,
legislative or judicial branch of government, or to a Federal Reserve
Bank, in response to its request or at the initiation of the Board,
information in connection with the retention of an employee, the
issuance of a security clearance, the conducting of a security or
suitability investigation of an individual, the classifying of jobs,
the letting of a contract, the issuance of a license, grant, or other
benefit by the requesting agency, or the lawful, statutory,
administrative, or investigative purpose of the agency, to the extent
that the information is relevant and necessary to the requesting
agency's decision on the matter.
e. To provide information to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of the individual.
f. To disclose pertinent information to the appropriate Federal,
State, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order,
when the Board becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation.
g. To disclose information to another Federal agency, to a court,
or a party in litigation before a court or in an administrative
proceeding being conducted by a Federal agency, when the Board is a
party to the judicial or administrative proceeding.
h. To disclose information to the Department of Justice, or in a
proceeding before a court, adjudicative body, or other administrative
body before which the Board is authorized to appear, when:
(1) The Board or any employee of the Board in his or her official
capacity; or
(2) Any employee of the Board in his or her individual capacity
where the Department of Justice or the Board has agreed to represent
the employee; or
(3) The United States (when the Board determines that the
litigation is likely to affect the Board) is a party to litigation or
has an interest in such litigation, and the use of such records by
the Department of Justice or the Board is deemed by the Board to be
relevant and necessary to the litigation provided, however, that in
each case it has been determined that the disclosure is compatible
with the purpose for which the records were collected.
i. By the National Archives and Records Administration in
connection with records management inspections and its role as
Archivist.
j. To disclose information to the Equal Employment Opportunity
Commission when requested in connection with investigations or other
functions vested in the Commission.
k. To disclose information to the Merit Systems Protection Board
in connection with appeals filed by preference-eligible employees.
l. To disclose information in connection with the investigation
and resolution of allegations of unfair labor practices before the
Federal Reserve Board Labor Relations Panel when requested.
m. To disclose, in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
n. To disclose the results of a drug test of a Board employee
pursuant to an order of a court of competent jurisdiction where
required by the U.S. Government to defend against any challenge of
any adverse personnel action.
o. To disclose to health insurance carriers that provide a health
benefits plan under the Federal Employees Health Benefits Program
information that is necessary to verify eligibility for payment of a
claim for health benefits.
p. To disclose information, when an individual to whom the record
pertains is mentally incompetent or under other legal disability, to
any person who is responsible for the care of the individual, to the
extent necessary.
q. To disclose to a requesting agency, organization, or
individual the home address and other information concerning those
individuals who it is reasonably believed might have contracted an
illness or been exposed to or suffered from a health hazard while
employed in the Federal workforce.
Disclosure to consumer reporting agencies:
Not applicable.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are in file folders or in automated media.
Retrievability:
Records are indexed by name, identification number, and/or date
of birth.
Safeguards:
Access to and use of these records are limited to those persons
whose official duties require such access. Records are stored in
lockable metal containers or in automated media which is password
protected.
Retention and disposal:
Records are maintained until six years after the employee leaves
the Board, at which time they are destroyed, except for
correspondence, which is destroyed six months after the employee has
left the Board.
System manager(s) and address:
Board Physician, Board of Governors of the Federal Reserve
System, 20th & Constitution, NW, Washington, DC 20551.
Notification procedure:
Inquiries should be sent to the Secretary of the Board, Board of
Governors of the Federal Reserve System, 20th and Constitution
Avenue, NW., Washington, DC 20551. The request should contain the
individual's name, date of birth, Social Security number,
identification number (if known), approximate date of record, and
type of position.
Record access procedures:
Same as ``Notification procedure'' above, but see the special
procedures set forth in the Board's Rules Regarding Access to and
Review of Personal Information Under the Privacy Act, 12 CFR 261a.7.
Contesting record procedures:
Same as ``Notification procedure'' above.
Record source categories:
The individual to whom the record pertains; an employee's
physical or mental health care provider or counselor; the contractor
administering the Drug-Free Workplace Plan; official records of other
federal agencies; Federal Reserve System personnel records.
Systems exempted from certain provisions of the act:
None.
BGFRS-4
System name:
FRB -- General Personnel Records.
Security classification:
None.
System location:
Board of Governors of the Federal Reserve System, 20th and
Constitution, NW, Washington, DC 20551
Categories of individuals covered by the system:
Current and former employees of the Board, and the surviving
spouses and children of former Board employees.
Categories of records in the system:
This system of records consists of information relating to
employment determinations, such as salary and job classification
actions, disciplinary actions, leave issues, reasonable accommodation
decisions, Performance Management Program (PMP) appeals, grievances,
as well as any other decisions made about an individual during the
course of his or her employment by the Board. These records may
contain information about employees and former employees relating to
employment, placement, and personnel actions; academic assistance,
and training and development activities; health conditions;
background investigations; and salary actions. PMP ratings are
included, but the actual PMP form is not included. Also included are:
minority group and medical disability designators; records relating
to benefits and designation of beneficiary; emergency contact
information; address and name changes; information concerning awards;
and other information relating to the status of the individual while
employed by the Board, including records of jury duty by the employee
and any doctor's certificate that may have been filed at the request
of the employee regarding the employee's health. The system of
records also contains information regarding surviving beneficiaries
of deceased Board employees to the extent necessary to provide
benefits to those individuals. All categories of records may include
identifying information, such as name, date of birth, home address,
mailing address, social security number, and home telephone.
Authority for maintenance of the system:
Secs. 10 and 11 of the Federal Reserve Act (12 U.S.C. 244 and
248(l)).
Purpose(s):
These records are collected and maintained to assist the Board in
its personnel actions and decisions, and in the administration of its
benefits programs.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information in these records may be used:
a. To disclose information to Government training facilities
(Federal, State, and local) and to non-Government training facilities
(private vendors of training courses or programs, private schools,
etc.) for training purposes.
b. To disclose information to educational institutions on
appointment of a recent graduate to a position at the Board, and to
provide college and university officials with information about their
students who are working in internships or other similar programs
necessary to a student's obtaining credit for the experience gained.
c. To disclose information to the Department of Labor, Department
of Veterans Affairs, Social Security Administration, Department of
Defense, a Federal Reserve Bank, or any Federal agencies that have
special civilian employee retirement programs; or to a national,
State, county, municipal, or other publicly recognized charitable or
income security, administration agency (e.g., State unemployment
compensation agencies), when necessary to adjudicate a claim under
the retirement, insurance, unemployment, or health benefits programs
of the Board, a Federal Reserve Bank, or any agency cited above, or
to an agency to conduct an analytical study or audit of benefits
being paid under such programs.
d. To disclose to the Office of Federal Employees Group Life
Insurance, information necessary to verify election, declination, or
waiver of regular and/or optional life insurance coverage,
eligibility for payment of a claim for life insurance, or a Thrift
Savings Program (TSP) election change and designation of beneficiary.
e. To disclose to an employee, agent, contractor, or
administrator of any Board, Federal Reserve System, or Federal
government employee benefit or savings plan, any information
necessary to carry out any function authorized under such plan, or to
carry out the coordination or audit of a benefit or savings plan.
f. To disclose pertinent information to the appropriate Federal,
State, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order,
when the Board becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation.
g. To disclose information to any source from which additional
information is requested (to the extent necessary to identify the
individual, inform the source of the purpose(s) of the request, and
to identify the type of information requested), when necessary to
obtain information relevant to a Board decision to hire or retain an
employee, issue a security clearance, conduct a security or
suitability investigation of an individual, classify jobs, let a
contract, or issue a license, grant, or other benefits.
h. To disclose to a Federal agency in the executive, legislative
or judicial branch of government, or to a Federal Reserve Bank, in
response to its request, or at the initiation of the Board,
information in connection with the hiring of an employee, the
issuance of a security clearance, the conducting of a security or
suitability investigation of an individual, the classifying of jobs,
the letting of a contract, the issuance of a license, grant, or other
benefits by the requesting agency, or the lawful statutory,
administrative, or investigative purpose of the agency to the extent
that the information is relevant and necessary to the requesting
agency's decision.
i. To provide information to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of the individual.
j. To disclose information to another Federal agency, a court, or
a party in litigation before a court or in an administrative
proceeding being conducted by a Federal agency, when the Board or
United States is a party to the judicial or administrative
proceeding.
k. To disclose information to the Department of Justice, or in a
proceeding before a court, adjudicative body, or other administrative
body before which the Board is authorized to appear, when:
(1) The Board or any employee of the Board in his or her official
capacity; or
(2) Any employee of the Board in his or her individual capacity
where the Department of Justice or the Board has agreed to represent
the employee; or
(3) The United States (when the Board determines that the
litigation is likely to affect the Board) is a party to litigation or
has an interest in such litigation, and the use of such records by
the Department of Justice or the Board is deemed by the Board to be
relevant and necessary to the litigation provided, however, that in
each case it has been determined that the disclosure is compatible
with the purpose for which the records were collected.
l. By the National Archives and Records Administration in
connection with records management inspections and its role as
Archivist.
m. When an individual to whom a record pertains is deceased, or
mentally incompetent, or under other legal disability, information in
the individual's record may be disclosed to the executor of the
individual's estate, the government entity probating a will, a
designated beneficiary, or to any person who is responsible for the
care of the individual, to the extent necessary to assure payment of
benefits to which the individual, heir, or beneficiary is entitled.
n. To disclose to the Board-appointed representative of an
employee all notices, determination, decisions, or other written
communications issued to the employee, in connection with an
examination ordered by the Board under fitness-for-duty examination
procedures.
o. To disclose, in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
p. To disclose to a requesting agency, organization, or
individual the home address and other relevant information on those
individuals who it reasonably believed might have contracted an
illness or might have been exposed to or suffered from a health
hazard while employed in the Federal workforce.
q. To disclose information to the Equal Employment Opportunity
Commission when requested in connection with investigations of
alleged or possible discrimination practices in the Federal sector,
examination of Federal affirmative employment programs, or other
functions vested in the Commission.
r. To disclose to prospective non-Federal employers the following
information about a specifically identified current or former Board
employee: (1) tenure of employment; (2) civil service status; (3)
length of service at the Board and in the Government; and (4) when
separated, the date and nature of action as shown on the Job Action.
s. To disclose information to contractors, agents, or volunteers
performing or working on a contract, service, cooperative agreement,
or job for the Board.
t. To disclose information to a Federal, State or local
governmental entity or agency (or its agent) when necessary to locate
individuals who are owed money or property either by a Federal,
State, or local agency, or by a financial or similar institution.
u. To disclose to a spouse or dependent child (or court-appointed
guardian thereof) of a Board employee enrolled in the Federal
Employees Health Benefits Program, upon request, whether the employee
has changed from a self-and-family to a self-only health benefits
enrollment.
v. To verify for an entity preparing to make a loan to an
employee the individual's employment status and salary.
w. To disclose information to officials of labor organizations
recognized under applicable law when relevant and necessary to their
duties of exclusive representation concerning personnel policies,
practices, and matters affecting working conditions.
x. To disclose information to the Merit Systems Protection Board
or the Office of Special Counsel in connection with appeals, special
studies of the civil service and other merit systems, review of
Office rules and regulations, investigation of alleged or possible
prohibited personnel practices, and such other functions promulgated
in 5 U.S.C. chapter 12, or as may be authorized by law.
y. To disclose information to officials of foreign governments
for clearance before a Board employee is assigned to that country.
z. To disclose information to a Federal, State, or local agency
for determination of an individual's entitlement to benefits in
connection with Federal Housing Administration programs.
aa. To consider and select employees for incentive awards and
other honors and to publicize those granted. This may include
disclosure to other public and private organizations, including news
media, which grant or publicize employee recognition.
bb. To disclose specific Board or civil service employment
information required under law by the Department of Defense on
individuals identified as members of the Ready Reserve to assure
continuous mobilization readiness of Ready Reserve units and members,
and to identify demographic characteristics of Board or civil service
retirees for national emergency mobilization purposes.
cc. To disclose information to the Department of Defense,
National Oceanic and Atmospheric Administration, U.S. Public Health
Service, Department of Veterans Affairs, and the U.S. Coast Guard
needed to effect any adjustments in retired or retained pay required
by the dual compensation provisions of section 5532 of title 5,
United States Code.
dd. To disclose information in connection with the investigation
and resolution of election disputes or other matters within the
jurisdiction of the Federal Reserve Board Labor Relations Panel when
requested.
ee. To disclose relevant information with personal identifiers of
Board employees to authorized Federal agencies and non-Federal
entities for use in computer matching. The matches will be performed
to help eliminate waste, fraud, and abuse in Governmental programs;
to help identify individuals who are potentially in violation of
civil or criminal law or regulation; and to collect debts and
overpayments owed to Federal, State, or local governments and their
components. The information disclosed may include, but is not limited
to, the name, social security number, date of birth, sex, annualized
salary rate, service computation date of basic active service,
veteran's preference, retirement status, occupational services,
health plan code, position occupied, work schedule (full time, part
time, or intermittent), duty station location, standard metropolitan
service area, special program identifier, and submitting office
number of Board employees.
ff. To disclose information to Federal, State, local, and
professional licensing boards, Board of Medical Examiners, or to the
Federation of State Medical Boards or a similar non-government entity
which maintains records concerning individuals' employment histories
or concerning the issuance, retention or revocation of licenses,
certifications or registration necessary to practice an occupation,
profession or speciality, in order to obtain information relevant to
a Board decision concerning the hiring, retention or termination of
an employee or to inform a Federal agency or licensing boards or the
appropriate non-government entities about the health care practices
of a terminated, resigned or retired health care employee whose
professional health care activity so significantly failed to conform
to generally accepted standards of professional medical practice as
to raise reasonable concern for the health and safety of patients in
the private sector or from another Federal agency.
gg. To disclose information to the Office of Child Support
Enforcement, Administration for Children and Families, Department of
Health and Human Services, Federal Parent Locator System and Federal
Offset System for use in locating individuals, verifying social
security numbers, and identifying their incomes sources to establish
paternity, establish and modify orders of support for enforcement
action.
hh. To disclose to Federal Reserve Bank personnel responsible for
assigning examination or inspection staff information concerning a
current employee's job qualifications and specializations and that
employee's availability for assignment.
Disclosure to consumer reporting agencies:
Not applicable.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage.
Records are maintained in file folders, microfiche, and in
electronic storage media.
Retrievability.
Records are indexed by name, Social Security number, or
identification number. Electronically maintained records may be
sorted and retrieved by other variables, such as date of birth,
division in which an employee works, or date of hire.
Safeguards.
Paper or microfiche records are located in locked metal file
cabinets or in metal file cabinets in secured rooms with access
limited to those whose official duties require it. Access to
electronic records is limited, through use of access codes, to those
whose official duties require it. In addition, access to electronic
records can be tracked through an automatically-generated audit
trail.
Retention and disposal.
The general employment records are retained indefinitely. An
individual's benefits records are maintained until the death of the
last surviving beneficiary.
System manager(s) and address:
Associate Director, Human Resources Function, Management
Division, Board of Governors of the Federal Reserve System, 20th
&Constitution, NW, Washington, DC 20551.
Notification procedure:
Inquiries should be sent to the Secretary of the Board, Board of
Governors of the Federal Reserve System, 20th and Constitution
Avenue, NW, Washington, DC 20551. The request should contain the
individual's name, date of birth, Social Security number,
identification number (if known), approximate date of record, and
type of position.
Record access procedures:
Current Board employees who wish to gain access to or contest
their records should contact the system manager, address above.
Former Board employees should direct such a request in writing to the
Secretary of the Board, Board of Governors of the Federal Reserve
System, 20th and Constitution Avenue, N.W., Washington, DC 20551. The
request should contain the individual's name, date of birth, Social
Security number, identification number (if known), approximate date
of record, and type of position.
Contesting record procedures:
Same as ``Notification procedure'' above.
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: OPM Personnel Management
Records System; personnel records of other Government agencies;
personnel records of Federal Reserve Banks; and official transcripts
from schools when authorized by the employee.
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 261a), certain
portions of this system of records may be exempted from certain
provisions of the Act where: (1) Such portions represent
investigatory material compiled for law enforcement purposes, or (2)
such portions represent investigatory material compiled solely for
the purpose of determining suitability, eligibility, or
qualifications for Board employment to extent that disclosure of such
portions would reveal the identity of a source who furnished
information under a promise of confidentiality.
BGFRS-5
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--Disciplinary and Adverse Action Records.
Security classification:
None.
System location:
Board of Governors of the Federal Reserve System, 20th and
Constitution, NW, Washington, DC 20551.
Categories of individuals covered by the system:
Current and former Board employees (including special employees),
and annuitants who are involved in a disciplinary or adverse action.
Categories of records in the system:
This system contains records and documents on the processing of
adverse actions and disciplinary actions. The records include, as
appropriate, copies of the notice of proposed action, materials
relied on by the Board to support the reasons in the notice, replies
by the employee, statements of witnesses, hearing notices, record of
hearings, reports, appeals and related documents, and Board
decisions. This system may also contain records related to the Career
Transition Program.
Authority for maintenance of the system:
Secs. 10(4) and 11(l) of the Federal Reserve Act (12 U.S.C. 244
and 248(l)).
Purpose(s):
These records are collected and maintained to assist the Board in
administering its personnel functions, and to maintain a record of
proceedings in a disciplinary or adverse action.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The information in the records may be used:
a. To disclose information to any source from which additional
information is requested for processing any of the covered actions or
in regard to any appeal or administrative review procedure, to the
extent necessary to identify the individual, inform the source of the
purpose(s) of the request and identify the type of information
requested.
b. To disclose pertinent information to the appropriate Federal,
State, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order,
when the Board becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation.
c. To disclose to a Federal agency in the executive, legislative
or judicial branch of government, or to a Federal Reserve Bank, in
response to its request, or at the initiation of the Board,
information in connection with the hiring of an employee, the
issuance of a security clearance, the conducting of a security or
suitability investigation of an individual, the classifying of jobs,
the letting of a contract, the issuance of a license, grant, or other
benefits by the requesting agency, or the lawful statutory,
administrative, or investigative purpose of the agency to the extent
that the information is relevant and necessary to the requesting
agency's decision.
d. To provide information to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of the individual.
e. To disclose information to another Federal agency, a court, or
a party in litigation before a court or in an administrative
proceeding being conducted by a Federal agency, when the Board is a
party to the judicial or administrative proceeding.
f. To disclose information to the Department of Justice or in a
proceeding before a court, adjudicative body, or other administrative
body before which the Board is authorized to appear, when:
(1) The Board or any employee of the Board in his or her official
capacity; or
(2) Any employee of the Board in his or her individual capacity
where the Department of Justice or the Board has agreed to represent
the employee; or
(3) The United States (when the Board determines that the
litigation is likely to affect the Board) is a party to litigation or
has an interest in such litigation, and the use of such records by
the Department of Justice or the Board is deemed by the Board to be
relevant and necessary to the litigation provided, however, that in
each case it has been determined that the disclosure is compatible
with the purpose for which the records were collected.
g. By the National Archives and Records Administration in
connection with records management inspections and its role as
Archivist.
h. To disclose information to the Equal Employment Opportunity
Commission when requested in connection with investigations or other
functions vested in the Commission.
i. To disclose information to the Merit Systems Protection Board
in connection with appeals filed by preference-eligible employees.
j. To disclose information in connection with the investigation
and resolution of allegations of unfair labor practices before the
Federal Reserve Board Labor Relations Panel when requested.
k. To disclose, in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
l. To locate individuals for personnel research or survey
response and in producing summary descriptive statistics and
analytical studies to support the function for which the records are
collected and maintained, or for related work force studies. While
published statistics and studies do not contain individual
identifiers, in some instances the selection of elements of data
included in the study may be structured in such a way as to make the
data individually identifiable by inference.
m. To provide an official of another Federal agency information
he or she needs to know in the performance of his or her official
duties or reconciling or reconstructing data files, in support of the
functions for which the records were collected and maintained.
n. To disclose information to the Department of Labor, Department
of Veterans Administration, Social Security Administration, or any
other Federal Agencies that have special civilian employee retirement
programs; or to a national, State, county, municipal, or other
publicly recognized charitable or income security, administration
agency (e.g., State unemployment compensations agencies), when
necessary to adjudicate a claim under the retirement, insurance,
unemployment, or health benefits programs of the Board or an agency,
or to conduct an analytical study or audit of benefits being paid
under such programs.
o. To disclose to contractors, grantees or volunteers performing
or working on a contract, service, grant, cooperative agreement, or
job for the Board, when necessary to performance.
Disclosure to consumer reporting agencies:
Not applicable.
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:
Records are maintained for seven years after the case is closed.
System manager(s) and address:
Associate Director, Human Resources Function, Management
Division, Board of Governors of the Federal Reserve System, 20th &
Constitution, NW., Washington, DC 20551.
Notification procedure:
Inquiries should be sent to the Secretary of the Board, Board of
Governors of the Federal Reserve System, 20th and Constitution
Avenue, NW., Washington, DC 20551. The request should contain the
individual's name, date of birth, Social Security number,
identification number (if known), approximate date of record, and
type of position. Individuals receiving notice of a proposed adverse
action must be provided access to all documents supporting the
notice. At any time thereafter, individuals subject to the action
will be provided access to the complete record.
Record access procedures:
Individuals against whom disciplinary or adverse actions are
taken must be provided access to the record. However, after the
action has been closed, an individual may request access to the
official file by contacting the Secretary of the Board, Board of
Governors of the Federal Reserve System, 20th and Constitution
Avenue, NW., Washington, DC 20551. The request should contain the
individual's name, date of birth, Social Security number,
identification number (if known), approximate date of record, and
type of position.
Contesting record procedures:
Review of requests from individuals seeking amendment of their
records that have or could have been the subject of a judicial,
quasi-judicial, or administrative action will be limited in scope.
Review of amendment requests of these records will be restricted to
determining if the record accurately documents that action of the
Board, and will not include a review of the merits of the action,
determination, or finding.
Individuals wishing to request amendment of their records to
correct factual errors should contact the Secretary of the Board,
Board of Governors of the Federal Reserve System, 20th and
Constitution Avenue, NW., Washington, DC 20551. The request should
contain the individual's name, date of birth, Social Security number,
identification number (if known), approximate date of record, and
type of position.
Record source categories:
Individual to whom the record pertains; Board officials;
affidavits or statements from employees; testimonies of witnesses;
official documents relating to an action, appeal, grievance, or
complaints; and correspondence from specific organizations or
persons.
Systems exempted from certain provisions of the act:
None.
BGFRS-7
System name:
Payroll and Leave.
Security classification:
None.
System location:
Board of Governors of the Federal Reserve System, 20th and
Constitution, NW., Washington, DC 20551. Some information is
electronically stored off-site on behalf of the Board by a
contractor.
Categories of individuals covered by the system:
Past and present employees and members of the Board.
Categories of records in the system:
Payroll records, including pay statements; requests for
deductions; tax and social security withholdings; Board retirement
deductions; voluntary withholdings for the Board's Thrift Plan or
FERS, savings bonds, CFC, and insurance; tax forms; W-2 forms;
overtime requests; leave data; and worker's compensation data. Leave
records, including compensatory time, and codes indicating reasons
for taking leave, such as family illness, or military leave.
Authority for maintenance of the system:
Section 11 of the Federal Reserve Act (12 U.S.C. 248(i) and
248(l)).
Purpose(s):
These records are used by the Board for payroll, attendance,
leave, insurance, tax, retirement, budget, and cost accounting
programs, and to facilitate compliance with statutory requirements.
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 for the following
purposes.
a. By the National Archives and Records Administration in
connection with records management inspections and its role as
Archivist.
b. To disclose to contractors, agents, or volunteers performing
or working on a contract, service, cooperative agreement, or job for
the Board.
c. To disclose information to Federal, State, local, and
professional licensing boards, Board of Medical Examiners, or to the
Federation of State Medical Boards or a similar non-government entity
which maintains records concerning individuals' employment histories
or concerning the issuance, retention or revocation of licenses,
certifications or registration necessary to practice an occupation,
profession or specialty, in order to obtain information relevant to a
Board decision concerning the hiring, retention or termination of an
employee or to inform a Federal agency or licensing boards or the
appropriate non-government entities about the health care practices
of a terminated, resigned or retired health care employee whose
professional health care activity so significantly failed to conform
to generally accepted standards of professional medical practice as
to raise reasonable concern for the health and safety of patients in
the private sector or from another Federal agency.
d. To disclose pertinent information to the appropriate Federal,
State, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order,
when the Board becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation.
e. To disclose information to any source from which additional
information is requested (to the extent necessary to identify the
individual, inform the source of the purpose(s) of the request, and
to identify the type of information requested), when necessary to
obtain information relevant to a Board decision to hire or retain an
employee, issue a security clearance, conduct a security or
suitability investigation of an individual, classify jobs, let a
contract, or issue a license, grant, or other benefits.
f. To disclose to a Federal agency or to a Federal Reserve Bank,
in response to its request, or at the initiation of the Board,
information in connection with the hiring of an employee, issuing a
security clearance, conducting a security or suitability
investigation of an individual, classifying positions, letting a
contract, or issuing a license, grant, or other benefit by the
requesting agency or Federal Reserve Bank, or the lawful statutory,
administrative, or investigative purpose of the agency to the extent
that the information is relevant and necessary to the requesting
agency's or Federal Reserve Bank's decision.
g. To provide information to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of the individual.
h. To disclose information to another Federal agency, a court, or
a party in litigation before a court or in an administrative
proceeding being conducted by a Federal agency, when the Board or
United States is a party to the judicial or administrative
proceeding.
i. To disclose information to the Department of Justice or in a
proceeding before a court, adjudicative body, or other administrative
body before which the Board is authorized to appear, when:
(1) The Board or any employee of the Board in his or her official
capacity; or
(2) Any employee of the Board in his or her individual capacity
where the Department of Justice or the Board has agreed to represent
the employee; or
(3) The United States (when the Board determines that the
litigation is likely to affect the Board) is a party to litigation or
has an interest in such litigation, and the use of such records by
the Department of Justice or the Board is deemed by the Board to be
relevant and necessary to the litigation provided, however, that in
each case it has been determined that the disclosure is compatible
with the purpose for which the records were collected.
j. To disclose, in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
k. To disclose information to the Equal Employment Opportunity
Commission when requested in connection with investigations of
alleged or possible discrimination practices in the Federal sector,
examination of Federal affirmative employment programs, or other
functions vested in the Commission.
l. To disclose information to the Merit Systems Protection Board
or the Office of Special Counsel in connection with appeals, special
studies of the civil service and other merit systems, review of
Office rules and regulations, investigation of alleged or possible
prohibited personnel practices, and such other functions, e.g., as
prescribed in 5 U.S.C. chapter 12, or as may be authorized by law.
m. To disclose information in connection with the investigation
and resolution of allegations of unfair labor practices before the
Federal Reserve Board Labor Relations Panel when requested.
n. To provide information to a Federal agency, in response to its
request, in connection with the hiring or retention of an employee,
the letting of a contract, or issuance of a license, grant, or other
benefit by the requesting agency to the extent that the information
is relevant and necessary to the requesting agency's decision on that
matter.
o. To provide information to the Office of Child Support
Enforcement, Administration for Children and Families, Department of
Health and Human Services Federal for the purposes of locating
individuals to establish paternity, establishing and modifying orders
of child support, identifying sources of income, and for other child
support enforcement actions as required by the Personal
Responsibility and Work Opportunity Reconciliation Act (Welfare
Reform Law, Pub. L. 104-193).
p. To appropriate Federal and State agencies to provide required
reports including data on unemployment insurance.
q. To the Social Security Administration to report FICA
deductions.
r. To charitable institutions to report contributions.
s. To the Internal Revenue Service and to State, local, tribal
and territorial governments for tax purposes.
t. To the Office of Personnel Management in connection with
programs administered by that office.
u. To an employee, agent, contractor, or administrator of any
Board, Federal Reserve System, or Federal government employee benefit
or savings plan, any information necessary to carry out any function
authorized under such plan, or to carry out the coordination or audit
of a benefit or savings plan.
v. To officials of labor organizations recognized under
applicable law when relevant and necessary to their duties of
exclusive representation concerning personnel policies, practices,
and matters affecting working conditions.
w. To a Federal agency for the purpose of collecting a debt owed
the Federal government through administrative or salary offset or the
offset of tax refunds
x. To other Federal agencies conducting computer matching
programs to help eliminate fraud and abuse and to detect unauthorized
overpayments made to individuals.
y. To the Department of Defense, National Oceanic and Atmospheric
Administration, U.S. Public Health Service, Department of Veterans
Affairs, and the U.S. Coast Guard needed to effect any adjustments in
retired or retained pay required by the dual compensation provisions
of 5 U.S.C. 5532.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage. Electronic and paper files.
Retrievability. Filed by name, Social Security number, and
employee number.
Safeguards. Access to and use of these records is limited to
those persons whose official duties require such access. Personnel
screening is employed to prevent unauthorized access. Electronic
files are protected by passwords. Paper records are stored in
cabinets and a safe.
Retention and disposal: Various; minimum of one year from date of
annual audit; maximum of indefinite.
System manager(s) and address:
Associate Director, Human Resources Function, Management
Division, Board of Governors of the Federal Reserve System, 20th and
Constitution, NW., Washington, DC 20551.
Notification procedure:
Inquiries should be sent to the Secretary of the Board, Board of
Governors of the Federal Reserve System, 20th 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:
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:
Travel Records.
Security classification:
None.
System location:
Board of Governors of the Federal Reserve System, 20th and
Constitution, NW., Washington, DC 20551. A commercial credit card
contractor maintains information on employee use of the government
travel credit card.
Categories of individuals covered by the system:
Current and former Board employees.
Categories of records in the system:
Travel Authorization forms and supporting documentation; Travel
Expense Statements and supporting documentation; applications for the
government travel card; periodic reports from the commercial credit
card contractor regarding use of the government travel cards; records
regarding Board reimbursement of travel expenses; and records
regarding reservations for transportation and lodging made by the
Board's Travel Desk.
Authority for maintenance of the system:
Secs. 10(4) and 11(l) of the Federal Reserve Act (12 U.S.C. 244
and 248(l)).
Purpose(s):
To provide a travel management process that covers official
travel for the Board and provides for tracking and appropriate
reimbursement of expenses incurred in such travel.
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. By the National Archives and Records Administration in
connection with records management inspections and its role as
Archivist.
b. To disclose to contractors, grantees or volunteers performing
or working on a contract, service, grant, cooperative agreement, or
job for the Board, where necessary for performance.
c. To provide information to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of the individual.
d. To disclose information to another Federal agency, a court, or
a party in litigation before a court or in an administrative
proceeding being conducted by a Federal agency, when the Board is a
party to the judicial or administrative proceeding.
e. To disclose information to the Department of Justice or in a
proceeding before a court, adjudicative body, or other administrative
body before which the Board is authorized to appear, when:
(1) The Board or any employee of the Board in his or her official
capacity; or
(2) Any employee of the Board in his or her individual capacity
where the Department of Justice or the Board has agreed to represent
the employee; or
(3) The United States (when the Board determines that the
litigation is likely to affect the Board) is a party to litigation or
has an interest in such litigation, and the use of such records by
the Department of Justice or the Board is deemed by the Board to be
relevant and necessary to the litigation provided, however, that in
each case it has been determined that the disclosure is compatible
with the purpose for which the records were collected.
f. To disclose information to the Equal Employment Opportunity
Commission when requested in connection with investigations or other
functions vested in the Commission.
g. To disclose information to the Merit Systems Protection Board
in connection with appeals filed by preference-eligible employees.
h. To disclose information in connection with the investigation
and resolution of allegations of unfair labor practices before the
Federal Reserve Board Labor Relations Panel when requested.
i. To disclose, in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
j. To disclose pertinent information to the appropriate Federal,
State, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order,
when the Board becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation.
Disclosure to consumer reporting agencies:
Disclosures may be made from this system to consumer reporting
agencies as defined in the Fair Credit Reporting Act (15 U.S.C.
1681a(f)) regarding the use of the government travel card.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in file folders and in computer
processable storage media.
Retrievabililty:
Records are indexed by name or trip number.
Safeguards:
Current and previous year's paper records are stored in the
central lundia file system with access limited to those whose
official duties require it. Records three years and older are stored
in cardboard files in secured rooms. Access to computerized records
is limited, through use of access codes, to those whose official
duties require it.
Retention and disposal:
Records are destroyed six years after reimbursement is made
unless the claim is subject to litigation, in which case the records
are destroyed when 10 years old.
System manager(s) and address:
Associate Director, Finance Function, Management Division, Board
of Governors of the Federal Reserve System, 20th & Constitution, NW.,
Washington, DC 20551.
Notification procedure:
Inquiries should be sent to the Secretary of the Board, Board of
Governors of the Federal Reserve System, 20th and Constitution
Avenue, NW., Washington, DC 20551. The request should contain the
individual's name, date of birth, Social Security number,
identification number (if known), approximate date of record, and
type of position.
Record access procedures:
Same as ``Notification procedure'' above.
Contesting record procedures:
Same as ``Notification procedure'' above.
Record source categories:
Information provided by the employee, information from Travel
Authorizations, reports from the credit card contractor, information
from the Finance Function of the Management Division regarding
reimbursement; and information from the Travel Desk regarding
reservations.
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:
Biographical File of Federal Reserve Bank Officers.
Security classification:
None.
System location:
Board of Governors of the Federal Reserve System, 20th and
Constitution Ave., NW., Washington, DC 20551.
Categories of individuals covered by the system:
Current and former Federal Reserve Bank officers.
Categories of records in the system:
The system contains a variety of biographical information on the
Reserve Bank officers, as well as personnel actions that occurred
during that officer's employment by the Federal Reserve System. The
biographical information includes System employment date; birth date;
tenure; medical; education; gender; ethnicity; veteran status; past
and present salaries, group levels, department, and position titles.
Personnel actions include, but are not limited to: appointment,
promotion, reassignment, transfer, demotion, awards, and separation.
Authority for maintenance of the system:
Sections 11 and 21 of the Federal Reserve Act (12 U.S.C. 248 and
12 U.S.C. 485).
Purpose(s):
These records are collected and maintained to assist the Board in
its role as supervisor of the Federal Reserve Banks.
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 the National Archives and Records Administration in
connection with records management inspections and its role as
Archivist.
b. To disclose to contractors, agents, or volunteers performing
or working on a contract, service, cooperative agreement, or job for
the Board.
c. By Federal Reserve System officials for purposes of review in
connection with appointments, transfers, promotion, function
reassignments, adverse actions, reassignment to non-officer status,
and determination of qualifications of an individual.
d. To publish name, title and department/function data for the
directory of officers of the Federal Reserve Banks.
e. To provide reports to Congress, agencies, and the public on
characteristics of the work force.
f. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained, or
for related personnel management functions or man-power studies. May
also be utilized to respond to general requests for information
(without personal identification of individuals) under the Freedom of
Information Act or to locate specific individuals for personnel
research or other personnel management functions.
g. To disclose pertinent information to the appropriate Federal,
State, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order,
when the Board becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation.
h. To disclose information to another Federal agency, a court, or
a party in litigation before a court or in an administrative
proceeding being conducted by a Federal agency, when the Board or
United States is a party to the judicial or administrative
proceeding.
i. To provide information to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of the individual.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained in file folders, loose-leaf
notebooks, and an electronic database.
Retrievability: Electronic records are indexed by combination of
name or identification number. Records in file folders and notebooks
are maintained by Federal Reserve Districts.
Safeguards: Records are maintained in lockable metal file cabinet
or metal file cabinets in secured rooms with access limited to those
whose official duties require access. Access to the electronic
database is controlled through assignment of security clearances to
appropriate personnel.
Retention and disposal: Records are retained by the system
manager until the officer separates from the Federal Reserve System,
at which time they are sent to the Board's Records for permanent
file, where they are maintained indefinitely.
System manager(s) and address:
Director of Reserve Bank Operations and Payment Systems, Board of
Governors of the Federal Reserve System, 20th and Constitution Ave,
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.
Information in this system of records comes from either the
individual to whom it applies, or data provided by Federal Reserve
System officials and employees.
Systems exempted from certain provisions of the act:
None.
BGFRS-13
System name:
Federal Reserve System Bank Supervision Staff Qualifications.
Security classification:
None.
System location:
Board of Governors of the Federal Reserve System, 20th and
Constitution Avenue, NW., Washington, DC 20551; and the twelve
Federal Reserve Banks, located in Boston, MA; New York, NY;
Philadelphia, PA; Cleveland, OH; Richmond, VA; Atlanta, GA; Chicago,
IL; St. Louis, MO; Minneapolis, MN; Kansas City, MO; Dallas, TX; and
San Francisco, CA.
Categories of individuals covered by the system:
Past and present bank supervision staff employed by the Federal
Reserve System, who are located at the Board of Governors and the
twelve Federal Reserve Banks. Bank supervision staff includes bank
examiners and selected supervision staff in the Federal Reserve
System.
Categories of records in the system:
This system of records contains information relating to the
skills, qualifications, training, and experience of bank supervision
staff. It also contains information regarding past and present
assignments and current availability of individual bank supervision
staff employees.
Authority for maintenance of the system:
Section 11 of the Federal Reserve Act, (12 U.S.C. 248(a) and
248(l)).
Purpose(s):
These records are collected and maintained to assist the Board in
performing its statutory duty to examine state member banks, bank
holding companies, financial holding companies and affiliates of such
institutions. The information is used to assist in career development
of examiners and other bank supervision staff. The information also
aids the Board and the Reserve Banks in selecting qualified bank
supervision staff for particular assignments.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The information in the records may be used:
a. To disclose information to Federal Reserve Banks, contractors,
or agents in connection with work performed on behalf of the Board.
b. To disclose information to the National Archives and Records
Administration in connection with records management inspections and
its role as Archivist.
c. To disclose pertinent information to the appropriate federal,
state, or local agency responsible for investigation, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order,
where the Board becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation.
d. To disclose to a Federal Reserve Bank or a federal agency in
the executive, legislative, or judicial branch of government, in
response to its request, information in connection with the hiring of
an employee, the issuance of a security clearance, the conducting of
a security or suitability investigation of an individual, the
classifying of jobs, or the lawful statutory, administrative, or
investigative purpose of the Federal Reserve Bank or agency to the
extent that the information is relevant or necessary to the
requesting Federal Reserve Bank's or agency's decision or action.
e. To provide information to a congressional office from the
record of an individual in response to an inquiry from that
congressional office made at the request of that individual.
f. To disclose, in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
g. To disclose information to another federal agency, to a court,
or to a party in litigation before a court or in an administrative
proceeding being conducted by a federal agency when the Board or
Federal government is a party to the judicial or administrative
proceeding.
h. To disclose to an authorized appeal grievance examiner, formal
complaints examiner, administrative judge, equal employment
opportunity investigator, arbitrator, mediator or other duly
authorized official engaged in investigation, administrative
resolution or settlement of a grievance, complaint or appeal filed by
an employee.
i. To disclose information to officials of state or local bar
associations or disciplinary boards or committees when they are
investigating complaints against attorneys in connection with their
representation of a party before the Board, Equal Employment
Opportunity Commission, or a court.
Disclosure to consumer reporting agencies:
Not applicable.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: These records are maintained in file folders and in
electronic media.
Retrievability: These records are retrievable by the name of and/
or a unique assigned identification number for the individual on whom
they are maintained.
Safeguards: Access to, and use of, these records is limited to
those persons whose official duties require such access.
Retention and disposal: Records regarding training are removed
from the active file when the employee leaves the Federal Reserve
System and deleted five years later. Records in other parts of this
system are currently under review to determine the appropriate
retention period and will be retained until the appropriate retention
period has been established.
System manager(s) and address:
Director, Division of Banking Supervision and Regulation, and
Director, Consumer and Community Affairs, Board of Governors of the
Federal Reserve System, 20th and Constitution, NW., Washington, DC
20551.
Notification procedure:
Inquiries should be sent to the Secretary of the Board, Board of
Governors of the Federal Reserve System, 20th and Constitution
Avenue, NW., Washington, DC 20551. The request should contain the
individual's name, date of birth, Social Security number,
identification number (if known), approximate date of record, and
type of position.
Record access procedures:
Same as ``Notification procedure'' above.
Contesting record procedures:
Same as ``Notification procedure'' above.
Record source categories:
The records come from the individual to whom the record pertains,
and personnel and training records regarding the individual that are
maintained by the Board and Federal Reserve Banks.
Systems exempted from certain provisions of the act:
None.
BGFRS-14
System Name:
Federal Reserve Bank and Branch Directors
System Location:
Board of Governors of the 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:
Biographical sketches or resumes of Federal Reserve Bank and Branch
directors, appointment and acceptance letters, oaths of office, and
letters of resignation.
Authority for maintenance of the system:
Sections 3, 4 and 11 of the Federal Reserve Act (12 USC Sec. Sec.
521; 301 - 305; and 248(f)).
Routine uses of records maintained in the system, including categories of
users and the purposes of such uses.
a. To disclose pertinent information to the appropriate federal,
state, or local agency responsible for investigation, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order,
where the Board becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation.
b. To disclose information to another federal agency, to a court,
or to a party in litigation before a court or in an administrative
proceeding being conducted by a federal agency when the Board or
Federal government is a party to the judicial or administrative
proceeding.
c. To provide information to a congressional office from the record
of an individual in response to an inquiry from that congressional
office made at the request of that individual.
d. To disclose, in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
e. To disclose information to officials of state or local bar
associations or disciplinary boards or committees when they are
investigating complaints against attorneys in connection with their
representation of a party before the Board, Equal Employment
Opportunity Commission, or a court.
f. To disclose information to any source from which additional
information is requested (to the extent necessary to identify the
individual, inform the source of the purpose(s) of the request, and
to identify the type of information requested), when necessary to
obtain information relevant to a Board decision to issue a security
clearance, conduct a security or suitability investigation of an
individual, classify jobs, let a contract, or issue a license, grant,
or other benefits.
g. To disclose to a Federal Reserve Bank or a federal agency in the
executive, legislative, or judicial branch of government, in response
to its request information in connection with the hiring of an
employee, the issuance of a security clearance, the conducting of a
security or suitability investigation of an individual, the
classifying of jobs, or the lawful statutory, administrative, or
investigative purpose of the Federal Reserve Bank or agency to the
extent that the information is relevant or necessary to the
requesting Federal Reserve Bank's or agency's decision or action.
h. To disclose information to Federal Reserve Banks, contractors,
or agents in connection with work performed on behalf of the Board.
i. To disclose information to the National Archives and Records
Administration in connection with records management inspections and
its role as Archivist.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system.
Storage. In paper and electronic format.
Retrievability. Indexed by name, Federal Reserve district and class
of director.
Safeguards. Paper copies are locked in file cabinets. Access to
both paper copies and electronic information is limited to authorized
Board staff.
Retention and disposal. Files are to be retained a minimum of five
years, and then destroyed when no longer needed for administrative or
reference purposes.
System manager(s) and address:
Secretary of the Board, Board of Governors of the Federal Reserve
System, 20th and Constitution, NW, Washington, DC 20551.
Notification procedure:
Inquiries should be sent to the Secretary of the Board, Board of
Governors of the Federal Reserve System, 20th and Constitution
Avenue, N.W., Washington, DC 20551. The request should contain the
individual's name, approximate date of record, applicable Federal
Reserve district, and type of director position.
Record access procedures:
Same as ``Notification procedure'' above.
Contesting record procedures:
Same as ``Notification procedure'' above.
Record source categories:
Generated by individual's incoming correspondence and staff
response thereto.
Systems exempted from certain provisions of the act.
None
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--Individuals Who Extend Margin Credit.
Security classification:
None.
System location:
Board of Governors of the Federal Reserve System, 20th and
Constitution, NW., Washington, DC 20551.
Categories of individuals covered by the system:
Individuals other than banks, brokers and dealers who extend
credit in specified amounts secured by margin stock.
Categories of records in the system:
G-1, G-2 and G-4 Reports filed by persons registered pursuant to
Regulation U, 12 CFR part 221.
Purpose(s):
To maintain a current list of persons registered as margin
lenders under the securities laws.
Authority for maintenance of the system:
Secs. 3, 7, 17, and 23 of the Securities Exchange Act of 1934 (15
U.S.C. 78c, 78g, 78q, and 78w), and Regulation U (12 CFR part 221).
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 to--
(a) Disclose, upon request, the name of a registered individual
who extends credit secured by margin stock;
(b) 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;
(c) Disclose information, when appropriate, to foreign
governmental authorities in accordance with law, and formal or
informal international agreements; and
(d) Disclose information, 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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper forms and files; electronic data base.
Retrievability:
Indexed by name.
Safeguards:
Papers are retained in a secured space. Access to papers and
electronic data base by Federal Reserve staff on restricted basis.
Retention and disposal:
Indefinite.
System manager(s) and address:
Director, Division of Banking Supervision and Regulation, Board
of Governors of the Federal Reserve System, 20th and 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. The request should contain the
individual's name, date of birth, and Social Security number.
Record access procedures:
Same as ``Notification procedure'' above.
Contesting record procedures:
Same as ``Notification procedure'' above.
Record source categories:
Reports and forms filed by individuals to whom records pertain.
Exemptions claimed for the system:
None.
BGFRS-17
System name:
FRB--Municipal or Government Securities Principals and
Representatives.
Security classification:
None.
System location:
Board of Governors of the Federal Reserve System, 20th and
Constitution, NW., Washington, DC 20551.
Categories of individuals covered by the system:
Persons who are, or seek to be, municipal or government
securities principals or municipal or government securities
representatives associated with a municipal or government securities
dealer that is a State member bank of the Federal Reserve System or a
U.S. branch of a foreign bank, or a subsidiary or a department or
division thereof.
Categories of records in the system:
These records may contain identifying information as well as
educational, employment, and disciplinary information; scores on
professional qualification examinations; and, where applicable,
information regarding termination of employment of individuals
covered by the system. Identifying information includes name,
address, date and place of birth, and may include social security
account number.
Purpose(s):
To permit the Board to perform its responsibilities under the
securities laws with regard to the persons described in this system
of records.
Authority for maintenance of the system:
Secs. 3, 15B, 15C, 17, and 23 of the Securities Exchange Act of
1934 (15 USC 78c, 78o-4, 78o-5, 78q, and 78w) and section 11 of the
Federal Reserve Act (12 USC 248).
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 refer, where there is an indication of a violation or
potential violation of law, whether civil, criminal, or regulatory in
nature, to the appropriate governmental authority, whether federal,
state, local, or foreign, or self-regulatory organization.
(b) To refer, in the event of litigation, whether civil,
criminal, or regulatory in nature, to the appropriate court,
magistrate, or administrative law judge.
(c) To assist in any proceeding in which the federal securities
or banking laws are in issue or in which the Federal Reserve Board or
a past or present member of its staff is a party or otherwise
involved in an official capacity.
(d) To disclose to a federal, state, local, or foreign
governmental authority or a self-regulatory organization if necessary
in order to obtain information relevant to a Federal Reserve Board
inquiry concerning a person who is or seeks to be associated with a
municipal or government securities dealer.
(e) To respond to a request from a federal, state, local, or
foreign governmental authority or a self-regulatory organization for
information in connection with the issuance of a license or other
benefit to the extent that such information is relevant and
necessary.
(f) To disclose to a congressional office from the record of an
individual in response to an inquiry from the congressional office
made at the request of that individual.
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:
Director, Division of Banking Supervision and Regulation, Board
of Governors of the Federal Reserve System, 20th and 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. The request should contain the
individual's name, date of birth, and Social Security number.
Record access procedures:
Same as ``Notification procedure'' above.
Contesting record procedures:
Same as ``Notification procedure'' above.
Record source categories:
Individuals on whom the records are maintained as well as
municipal or government securities dealers with whom the individuals
are associated, and federal, state, local, and foreign governmental
authorities, and self-regulatory organizations, which regulate the
securities industry.
Exemptions claimed for the system:
None.
BGFRS-18
System name:
Consumer Complaint Information.
Security classification:
None.
System location:
Board of Governors of the Federal Reserve System, 20th and
Constitution Avenue, NW., Washington, DC 20551; and the twelve
Federal Reserve Banks, located in Boston, MA; New York, NY;
Philadelphia, PA; Cleveland, OH; Richmond, VA; Atlanta, GA; Chicago,
IL; St. Louis, MO; Minneapolis, MN; Kansas City, MO; Dallas, TX; and
San Francisco, CA.
Categories of individuals covered by the system:
Persons who have filed consumer complaints with the Federal
Reserve Board or the Federal Reserve Banks, or whose complaint to
another agency has been referred to the Federal Reserve Board for
review.
Categories of records in the system:
These records primarily consist of complaints regarding state-
chartered member banks, as well as other financial institutions,
individuals, or organizations that are subject to federal banking
supervision. The records may contain the name and address of an
individual or organization that referred a matter to the Board.
Information in these records includes the complainant's name; the
name of the financial institution that is the subject of the
complaint; the subject matter of the complaint; and the Board's
response to the complaint. Supporting records include, but are not
limited to, documents supplied by the complainant. If the complaint
concerns an institution that is not subject to supervision by the
Board, the record may consist of a referral letter to the appropriate
supervisory agency.
Purpose:
These files permit the Board to perform its responsibilities
under the Federal Reserve Act, the Federal Trade Commission Act, and
other consumer protection laws to respond to consumer complaints and
inquiries regarding practices by banks and other financial
institutions supervised by the Board.
Authority for maintenance of the system:
Section 11 of the Federal Reserve Act (12 U.S.C. 248(a)); Section
5 of the Bank Holding Company Act (12 U.S.C. 1844); and Section 18(f)
of the Federal Trade Commission Act (15 U.S.C. 57a(f)).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information maintained in this system may be disclosed to:
a. A Board-regulated entity that is the subject of a complaint or
inquiry;
b. Third parties to the extent necessary to obtain information
that is relevant to the resolution of a complaint or inquiry;
c. The appropriate governmental, tribal, self-regulatory, or
professional organization if the information is relevant to a known
or suspected violation of a law or licensing standard within that
organization's jurisdiction;
d. The appropriate governmental, tribal, self-regulatory, or
professional organization if that entity has jurisdiction over the
subject matter of the complaint or inquiry, or the entity that is the
subject of the complaint or inquiry;
e. The Department of Justice, a court, an adjudicative body, a
party in litigation, or a witness if the Board determines that the
information is relevant and necessary to a proceeding in which the
Board, any Board employee in his or her official capacity, any Board
employee in his or her individual capacity represented by the
Department of Justice or the Board, or the United States is a party
or has an interest;
f. A congressional office when the information is relevant to an
inquiry made at the request of the individual about whom the record
is maintained;
g. Contractors, agents, or volunteers performing or working on a
contract, service, cooperative agreement, or job for the Board;
h. Third parties when mandated or authorized by statute; or
i. The National Archives and Records Administration in connection
with records management inspections and its role as Archivist.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
These records are stored in electronic or printed form.
Retrievability:
Files are retrievable by consumer name or as appropriate.
Safeguards:
Access to and use of these records is restricted to authorized
personnel only.
Retention