[Privacy Act Issuances (1999)]
[From the U.S. Government Publishing Office, www.gpo.gov]
FEDERAL RESERVE SYSTEM
Table of Contents
BGFRS-1, FRB--Recruiting and Placement Records
BGFRS-2, FRB--Personnel Background Investigation Reports
BGFRS-3, FRB--Medical Records
BGFRS-4, FRB--General Personnel Records
BGFRS-5, FRB--EEO Discrimination Complaint File
BGFRS-6, FRB--Adverse Information and Action Records, Disciplinary
Records
BGFRS-7, FRB--Payroll and Leave.
BGFRS-8, FRB--Leave Records
BGFRS-9, FRB--Consultant and Staff Associate File
BGFRS-10, FRB--General File on Board Members
BGFRS-11, FRB--Official General Files
BGFRS-12, FRB--Biographical File of Federal Reserve Personnel
BGFRS-13, FRB--General File of Examiners and Assistant Examiners at
Federal Reserve Banks
BGFRS-14, FRB--General File of Federal Reserve Bank and Branch
Directors
BGFRS-15, FRB--General Files of Federal Reserve Agents, Alternates
and Representatives at Federal Reserve Banks
BGFRS-16, FRB--Individuals Sho Extend Margin Credit.
BGFRS-17, FRB--Municipal or Government Securities Principals and
Representatives.
BGFRS-18, FRB--Consumer Complaint Information System
BGFRS-19, FRB--Financial Disclosure Reports and Outside Business
Interest Applications
BGFRS-21, FRB--Supervisory Tracking and Reference System
BGFRS-22, FRB--Chain Banking Reference System
BGFRS-23, Freedom of Information Act/Privacy Act (FOIA/PA) Case
Tracxking and Reporting System.
BGFRS-24, EEO General Files.
BGRS/OIG-1, OIG Investigative Records.
BGFRS/OIG-2, OIG Personnel Records.
BGFRS/SS-1, Telephone Call Detail Records.
BGRS/SS-2, Staff Identification Card File.
BGRS/SS-3, Staff Parking Permit File.
BGFRS-1
System name: FRB--Recruiting and Placement Records.
System location: Board of Governors, Federal Reserve System, 20th
and Constitution NW, Washington, DC 20551.
Categories of individuals covered by the system: Persons who have
applied for employment with or are employed by the Federal Reserve
Board.
Categories of records in the system: These records may contain
information relating to the education, training, employment history
and earnings, appraisal of past performance, convictions for offenses
against the law; results of tests, appraisal of potential, honors,
awards of fellowships; military service; veteran status, school
transcripts, work samples; birth date; social security number;
sipping authorizations; travel vouchers, offer letters and
correspondence, reference checks, and home address of persons who
have applied for Board employment or are employed by the Federal
Reserve Board.
Authority for maintenance of the system: Sections 10 and 11 of the
Federal Reserve Act (12 U.S.C. 244, 248(i) and 248(1)).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Information in
these records may be used:
a. To refer applicants for purposes of consideration for
placement in positions for which an applicant has applied and is
qualified. This includes various government organizations.
b. To refer current Board employees for consideration for
reassignment and promotion within the Board.
c. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained, or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research of other personnel management functions.
d. To refer, where there is an indication of a violation or
potential violation of law, whether civil, criminal or regulatory in
nature, to the appropriate agency, whether federal, state or local,
charged with the responsibility of investigating or prosecuting such
violation or with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto.
e. To request information from a Federal, state or local agency
maintaining civil, criminal, or other relevant enforcement or other
pertinent information, such as licenses, if necessary to obtain
relevant information to an agency decision concerning the hiring or
retention of an employee, the issuance of a security clearance, the
letting of a contract, or the issuance of a license, grant or other
benefit.
f. To provide information or disclose to a Federal Agency, or any
other employer or prospective employer in response to its request, in
connection with the hiring or retention of an employee, the letting
of a contract, or issuance of a license, grant or other benefit by
the requesting agency to the extent that the information is relevant
and necessary to the requesting agency's decision on that matter.
g. To respond to a court order.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained on magnetic tapes, punched cards,
microfilm, cards, lists, forms, and in folders.
Retrievability: Records are indexed by name, combination of birth
date, social security account number, and applicable identification
number.
Safeguards: Access to and use of these records are limited to those
persons whose official duties require such access.
Retention and disposal:
a. Files of eligibles. Retained for a minimum of one year after
date of determination that no suitable position exists currently.
b. Index cards. Destroyed when no longer needed.
c. Cancelled and ineligible applications. Same as ``a'' above.
d. Inquiries and replies regarding availability for appointment.
System manager(s) and address: Director of Personnel, Board of
Governors, Federal Reserve System, 20th and Constitution, NW,
Washington, DC 20551.
Notification procedure: Individuals should provide name, date of
birth, Social Security Number, identification number (if known),
approximate date of record, and type of position with which concerned
to the System Manager, address above.
Record access procedures: Individuals should provide name, date of
birth, Social Security Number, identification number (if known),
approximate date of record, and type of position with which concerned
to the System Manager, address above.
Record source categories: Information in this system of records
either comes from the individual to whom it applies or is derived
from information he or she supplies, except reports from medical
personnel on physical qualifications; and statements supplied by
references.
Systems exempted from certain provisions of the act: Pursuant to
subsections (k)(2) and (k)(5) of the Privacy Act and the Board's
regulation relating thereto (12 CFR part 261a), certain portions of
this system of records may be exempted from certain provisions of the
Act where: (1) Such portions represent investigatory material
compiled for law enforcement purposes, or (2) such portions represent
investigatory material compiled solely for the purpose of determining
suitability, eligibility, or qualifications for Board employment of
the extent that disclosure of such portions would reveal the identity
of a source who furnished information under a promise of
confidentiality.
BGFRS-2
System name: FRB Personnel Background Investigation Reports.
System location: Board of Governors, Federal Reserve System, 20th
and Constitution, NW, Washington, DC 20551.
Categories of individuals covered by the system: Current and former
applicants for employment by the Board of Governors; Federal Reserve
System employees considered for access to classified information or
restricted areas; and/or security determinations as contractors,
employees of contractors, experts, instructors, and consultants to
the Board. Individuals who are neither applicants nor employees of
the Board but are or were involved in Board programs under a
cooperative assignment or similar agreement; individuals who are
neither applicants nor employees of the Board but are or were
involved in matters related to the operation of the Board.
Categories of records in the system: These records may contain
investigative information regarding an individual's character,
financial responsibility, conduct, behavior; arrests and convictions
for any violations against the law; reports of interviews with former
supervisors, co-workers, associates, educators, etc.; reports about
the qualifications of an individual for a specific position; reports
of inquiries with law enforcement agencies; former employers;
education institutions attended; and other information developed from
the above.
Authority for maintenance of the system: Section 11 of the Federal
Reserve Act (12 U.S.C. 248(i) and 248(1)).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: The contents of
these records may be disclosed to and used as follows:
a. To assist in determining the suitability for access to
classified information.
b. To designated officers and employees of other agencies and
departments of the Federal Government, and the District of Columbia
Government, having an interest in the individual for employment
purposes, in connection with performance of a service to the Federal
Government, under a contract or other agreement, including a security
clearance or access determination, and a need to evaluate
qualifications, suitability, and loyalty to the United States
Government.
c. To the intelligence agencies of the Department of Defense,
National Security Agency, Central Intelligence Agency, and the
Federal Bureau of Investigation for use in intelligence activities.
d. To any source from which information is requested by the Board
in the course of an investigation, to the extent necessary to
identify the individual, inform the source of the nature and purpose
of the investigation and to identify the type of information
requested.
e. In the event of an indication of any violation or potential
violation of the law, whether civil, criminal, or regulatory in
nature, and whether arising by statute or by regulation, rule or
order issued pursuant thereto, the relevant records in the system of
records may be referred, as a routine use, to the appropriate agency,
whether Federal, State, or local charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation or order issued
pursuant thereto; such referral shall also include, and be deemed to
authorize any and all appropriate and necessary uses of such records
in a court of law and before an administrative board or hearing.
f. As a data source for management information for production of
descriptive statistics and analytical studies in support of the
function for which the records are collected and maintained, or for
related personnel management functions or manpower studies; may also
be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
g. To respond to a court order.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Files are maintained in folders and index cards in steel
file cabinets with manipulation proof combination lock.
Retrievability: Records are indexed by name in alphabetical order.
Safeguards: Access to and use of these records are limited to those
persons whose official duties require access and who have appropriate
security clearance.
Retention and disposal: The indexing cards are retained
indefinitely, while the reports of investigation are returned to the
originating agency after separation of employment.
System manager(s) and address: Assistant Director, Division of
Support Services Board of Governors, Federal Reserve System, 20th and
Constitution, NW, Washington, DC 20551.
Notification procedure: An individual may inquire as to whether or
not the system contains a record pertaining to him or to her by
addressing a written request to:
Director of Personnel, Board of Governors, Federal Reserve
System, 20th and Constitution, NW, Washington, DC 20551.
The request should include the full name and date and place of
birth of the individual, and any available information regarding the
type of record involved, and the category of individual under which
the inquirer feels he or she fits.
Record access procedures: In response to a written request by an
individual to determine whether or not the system contains a record
pertaining to him or to her, the Director will set forth the
procedure for gaining access to the record. If the individual desires
to contest the contents of a record, he or she may do so by writing
to the:
Director of Personnel, Board of Governors, Federal Reserve
System, 20th and Constitution, NW, Washington, DC 20551.
Record source categories: Information contained in the system is
obtained from the following:
1. Applications and other personnel and security forms furnished
by the individual.
2. Investigative material furnished by other Federal agencies.
Notices of personnel actions furnished by other Federal agencies.
3. By personal investigation or written inquiry from sources such
as:
Employers
Schools
References
Neighbors
Associates
Police Departments
Courts
Credit Bureau
Medical Records
Probation Officials
Prison Officials
4. Newspapers, magazines, periodicals, and other publications.
5. Published hearings of Congressional Committees.
Systems exempted from certain provisions of the act: Pursuant to
subsections (k)(2) and (k)(5) of the Privacy Act and the Board's
regulation relating thereto (12 CFR part 261a), certain portions of
this system of records may be exempted from certain provisions of the
Act where: (1) Such portions represent investigatory material
compiled for law enforcement purposes, or (2) such portions represent
investigatory material compiled solely for the purpose of determining
suitability, eligibility, or qualifications for Board employment to
the extent that disclosure of such portions would reveal the identity
of a source who furnished information under a promise of
confidentiality.
BGFRS-3
System name: FRB--Medical Records.
System location: Board Physician, Federal Reserve System, 20th and
Constitution, NW, Washington, DC 20551.
Categories of individuals covered by the system:
1. Applicants who have been medically examined for Board
employment.
2. Applicants for disability retirement under the Civil Service
Retirement Law or Federal Reserve System Retirement Plan.
3. Current and former Federal Reserve Board employees.
Categories of records in the system:
1. Information relating to an individual's medical qualifications
to hold a position with the Board.
2. Medical information relating to an individual's capability
(physical and mental) to satisfactorily perform the duties of the
position he or she holds or held.
3. Information relating to an employee's participation in an
occupational health services program.
4. Information relating to pre-employment or periodic medical
examinations to assure that the incumbent is qualified (physically
and mentally) to satisfactorily perform the duties of the position.
5. Information attesting to an annuitant's state of health as
required for ``insurable interest'' survivor annuity elections.
6. Information relating to handicaps.
7. Information relating to employee participation in the Federal
Civilian Employee Alcoholism and Drug Abuse Programs.
Authority for maintenance of the system: Section 11 of the Federal
Reserve Act (12 U.S.C. 248(i) and 248(l)).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. Information in these records is used to:
a. Determine veteran disability status.
b. Support applications for Disability Retirement.
c. Support ``insurable interest'' survivor annuity elections.
d. Determine suitability for employment or continued employment.
e. Assist in medical counseling.
2. Information in these records may be provided to officials of
other Federal agencies responsible for Federal benefit programs
administered by:
a. Office of Workmen Compensation Programs.
b. Retired Military Pay Centers.
c. Veterans Administration.
d. Social Security Administration.
e. Specific private contractors engaged in providing benefits
under Federal contracts.
f. Office of Personnel Management.
3. Information in these records is used:
a. To refer, where there is an indication of a violation or
potential violation of law, whether civil, criminal or regulatory in
nature, to the appropriate agency, whether Federal, state, or local
charged with the responsibility of investigating or prosecuting such
violation or charged with enforcing or implementing the statute or
rule, regulation or order issued pursuant thereto.
b. To request information from a Federal, state or local agency
maintaining civil, criminal or other relevant enforcement or other
pertinent information, such as a license, if necessary to obtain
relevant information to the Board's decision concerning the hiring or
retention of an employee, the issuance of a security clearance, the
letting of a contract or the issuance of a grant or other benefit.
c. To provide information or disclose to a Federal agency, in
response to its request, in connection with the hiring or retention
of an employee, the letting of a contract or issuance of a license,
grant or other benefit by the requesting agency to the extent that
the information is relevant and necessary to the requesting agency's
decision on the matter.
d. As a data source for management information for production of
descriptive statistics and analytical studies in support of the
function for which the records are collected and maintained, or for
related personnel management functions or manpower studies; may also
be utilized to respond to general requests for information (without
personal identification of individuals) under the Freedom of
Information Act or to locate specific individuals for personnel
research or other personnel management functions.
e. To respond to a court order.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are in folders.
Retrievability: Records are indexed by name, social security
number, identification number, date of birth and/or claim number.
Safeguards:
Access to and use of these records are limited to those persons
whose official duties require such access. Records are stored in
lockable metal containers.
Retention and disposal:
a. Medical certificates and other medical records of examination
used to determine an employee's fitness for a job 6 years after
separation.
b. Miscellaneous medical records, correspondence dispensary
records and similar papers, 6 months after separation.
c. Applicant's medical records, 6 years after separation.
d. Disability retirement medical files, 6 years after separation.
System manager(s) and address:
Director of Personnel, Board of Governors, Federal Reserve
System, 20th and Constitution, NW, Washington, DC 20551.
Notification procedure:
Individuals requesting information about this system of records
should provide their full name, date of birth, social security
number, name of office or division in which currently or formerly
employed, and annuity account number, if any has been assigned, to
the System Manager, address above.
Record access procedures:
Individuals requesting information about this system of records
should provide their full name, date of birth, social security
number, name of office or division in which currently or formerly
employed, and annuity account number, if any has been assigned, to
the System Manager, address above.
Record source categories:
1. The individual to whom the record pertains.
2. Personal physicians.
3. Medical institutions.
4. Official records of other Federal agencies.
5. Federal Reserve Board Official Personnel Records.
6. Federal Reserve System Personnel Management Records Systems.
Systems exempted from certain provisions of the act:
None; however, see special procedures provided at 12 CFR 261a.6.
BGFRS-4
System name:
FRB--General Personnel Records.
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
personnel actions of the Board and its determinations 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, personnel actions;
academic assistance, and training and development activities;
background investigations; and salary actions. Performance Management
Program (PMP) ratings for the most recent two years are included, but
the actual PMP form is not. It also includes minority group and
medical disability designators; records relating to benefits and
designation of beneficiary; emergency contact information; address
and name changes; documentation supporting personnel actions or
decisions made about an individual; 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.
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
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 the manager of the Federal Reserve Thrift Plan,
or any other TSP, information necessary to complete enrollment,
determine appropriate levels of withholding and/or contributions,
determine eligibility for disbursements, verify designation of
beneficiary, or to carry out the coordination or audit of the Plan or
savings program.
f. To disclose, to health insurance carriers contracting with the
Board and/or the Federal Government to provide a health benefits plan
(e.g., Federal Employees Health Benefits Program), information
necessary to identify enrollment in a plan, to verify eligibility for
payment of a claim for health benefits, or to carry out the
coordination or audit of benefit provisions of such contracts.
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 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.
i. 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.
j. 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.
k. 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.
l. 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.
m. By the National Archives and Records Administration in
connection with records management inspections and its role as
Archivist.
n. When an individual to whom a record pertains is mentally
incompetent or under other legal disability, information in the
individual's record may be disclosed 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 is entitled.
o. 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--
(1) Fitness-for-duty examination procedures; or
(2) Agency-filed disability retirement procedures.
p. 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.
q. 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.
r. To disclose information to the Equal Employment Opportunity
Commission when requested in connection with investigations or other
functions vested in the Commission.
s. 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.
t. To disclose information to contractors, grantees, or
volunteers performing or working on a contract, service, grant,
cooperative agreement, or job for the Board.
u. 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.
v. 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.
w. To verify for an entity preparing to make a loan to an
employee the individual's employment status and salary.
x. 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.
y. To disclose information to the Merit Systems Protection Board
or the Office of Special Counsel in connection with appeals, special
studies of the civil service and other merit systems, review of
Office rules and regulations, investigation of alleged practices, and
such other functions promulgated in 5 U.S.C. chapter 12, or as may be
authorized by law.
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
computer processable 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
computerized records is limited, through use of access codes, to
those whose official duties require it. In addition, access to
computerized 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, 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:
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 part 261a), certain
portions of this system of records may be exempted from certain
provisions of the Act where: (1) Such portions represent
investigatory material compiled for law enforcement purposes, or (2)
such portions represent investigatory material compiled solely for
the purpose of determining suitability, eligibility, or
qualifications for Board employment to 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--Adverse Information and Action Records:
Disciplinary Records.
System location: Board of Governors, Federal Reserve System, 20th
and Constitution, NW, Washington, DC 20551.
Categories of individuals covered by the system: Current and former
Board employees, (including special employees) and annuitants who are
involved in an Adverse Action; employees who suffer a withholding of
a Progress Step Increase; and those employees who have creditors
contacting the Board relative to credit problems.
Categories of records in the system: This system of records may
contain information or documents relating to a determination made by
the Board affecting an individual. The records consist of the letters
or notices to the individual, record of hearings when conducted,
materials placed into the record to support the decision or
determination, affidavits or statements, testimonies of witnesses,
investigative reports, and related correspondence, opinions and
recommendations. Letters from creditors are also contained in this
system.
Authority for maintenance of the system: Section 11 of the Federal
Reserve Act (12 U.S.C. 248(i) and 248(1)).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: The information in
the records may be used:
a. To respond to a request from a Member of Congress regarding
the status of an appeal, complaint or grievance.
b. To provide information to the public on the decision of an
appeal, complaint, or grievance required by the Freedom of
Information Act.
c. To respond to a court order.
d. To adjudicate an appeal, complaint, or grievance.
e. As a data source for management information for production of
descriptive statistics and analytical studies in support of the
function for which the records are collected and maintained, or for
related personnel management functions or manpower studies; may also
be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel management functions.
f. To refer, where there is an indication of a violation or
potential violation of law, whether civil, criminal or regulatory in
nature, to the appropriate agency, whether Federal, state, or local,
charged with the responsibility of investigating or prosecuting such
violation or charged with enforcing or implementing the statute,
rule, regulation or order issued pursuant thereto.
g. To request information from a Federal, state or local agency
maintaining civil, criminal, or other relevant enforcement or other
pertinent information, such as licenses, if necessary to obtain
relevant information to a Board decision concerning the hiring or
retention of an employee, the issuance of a security clearance, the
letting of a contract, or the issuance of a grant or other benefit.
h. To provide information or disclose to a Federal agency, in
response to its request, in connection with the hiring or retention
of an employee, the letting of a contract, or issuance of a license,
grant or other benefit by the requesting agency to the extent that
the information is relevant and necessary to the requesting agency's
decision on that matter.
i. To administer various aspects of established personnel
management programs.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: These records are maintained in file folders, binders,
index cards, magnetic tape and disk.
Retrievability: These records are indexed by the names of the
individuals on whom they are maintained.
Safeguards: Access to and use of these records are limited to those
persons whose official duties require such access. Personnel
screening is employed to prevent unauthorized disclosure.
Retention and disposal: The records are maintained indefinitely
after cessation of employment unless deemed unnecessary, and thus
destroyed.
System manager(s) and address: Director of Personnel, Board of
Governors, Federal Reserve System, 20th and Constitution, NW,
Washington, DC 20551.
Notification procedure: Individuals should provide name, date of
birth, Social Security Number, identification number (if known),
approximate date of record, and type of situation with which
concerned to the System Manager, address above.
Record access procedures: Individuals should provide name, date of
birth, Social Security Number, identification number (if known),
approximate date of record, and type of situation with which
concerned to the System manager, address above.
Record source categories: a. Individual to whom the record
pertains.
b. Board officials.
c. Affidavits or statements from employees.
d. Testimonies of witnesses.
e. Official documents relating to an action, appeal, grievance,
or complaints.
f. Correspondence from specific organizations or persons.
Systems exempted from certain provisions of the act: None.
BGFRS-7
System name:
Payroll and Leave.
Security classification:
None.
System location:
Board of Governors, Federal Reserve System, 20th and
Constitution, NW., Washington, DC 20551.
Categories of individuals covered by the system:
Past and present employees and members of the Board.
Categories of records in the system:
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)).
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. 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.
b. To provide information to the Office of Child Support
Enforcement, Administration for Children and Families, Department of
Health and Human Services Federal Parent Locator System (FPLS) and
Federal Tax Offset System for use in locating individuals and
identifying their income sources to establish paternity, establish
and modify orders of support and for enforcement action.
c. To provide information to the Office of Child Support
Enforcement for release to the Social Security Administration for
verifying social security numbers in connection with the operation of
the FPLS by the Office of Child Support Enforcement.
d. To provide information to the Office of Child Support
Enforcement for release to the Department of the Treasury for
purposes of administering the Earned Income Tax Credit Program
(Section 32, Internal Revenue Code of 1986) and verifying a claim
with respect to employment in a tax return.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
On tape, disk, folders and document 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:
Director, Division of Human Resources Management, 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: FRB--Leave Records.
System location: Board of Governors, Federal Reserve System, 20th
and Constitution, NW, Washington, DC 20551.
Categories of individuals covered by the system: Present employees,
former employees for a period of three years following their
separation from the Board.
Categories of records in the system: Contains timekeeper records,
leave cards, payroll notifications, supporting memorandum, periodic
leave statements, and creditable service documentation.
Authority for maintenance of the system: Section 11 of the Federal
Reserve Act (12 U.S.C. 248(i) and 248(l)).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Used as a data
source for management information and payment of leave, for
production of statistics and analytical studies in support of the
function for which records are collected and maintained or for
related personnel management functions and manpower studies.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Punched card, tape, disk, index card, folder, and print
out.
Retrievability: Filed by date, but may be filed by name or
identifying number.
Safeguards: Stored in locked metal file cabinets, other records
stored in secured limited access computer facilities.
Retention and disposal: Detailed information destroyed after two
years. Summary data is a part of permanent official personnel file.
System manager(s) and address: Division of Personnel, Board of
Governors, Federal Reserve System, 20th and Constitution, NW,
Washington, DC 20551.
Notification procedure: Individuals wishing to know whether
information about them is maintained in this system of records should
address inquiries to the System Manager above. Former Board employees
should direct such a request in writing, including their name, date
of birth, and Social Security number.
Record access procedures: Individuals wishing to gain access or
contest their records should contact the System Manager, address
above. Former Board employees should direct such a request in
writing, including their name, date of birth, and Social Security
number.
Record source categories: Records, files and forms of the Board,
information provided by the employee and previous Federal Government
employers.
Systems exempted from certain provisions of the act: None.
BGFRS-9
System name: FRB--Consultant and Staff Associate File.
System location: Board of Governors, Federal Reserve System, 20th
and Constitution, NW, Washington, DC 20551.
Categories of individuals covered by the system: Individuals
retained by formal agreement, who (1) provide consulting services to
the Board and (2) act as advisors to the Board, but do not maintain
the independence of action necessary to meet the requirements for
classification as an independent contractor.
Categories of records in the system: Documents, letters, memorandum
of understanding relating to agreement, rates of pay, payment,
records, vouchers, invoicers, and selection; negotiation,
implementation, scope and performance of work. Additional information
may be found on reemployed annuitants in the FRB-General Personnel
Records.
Authority for maintenance of the system: Section 11 of the Federal
Reserve Act (12 U.S.C. 248(i) and 248(l)).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Routine uses
include, but are not restricted to, selection, monitoring, evaluation
and control, audit and analysis, routine management activity, and
statistical use without individual indentification; verification and
confirmation; and referral when used as a basis for prospective
employment by employers other than the Board; to provide information
or disclose to a Federal agency, or any other employer or prospective
employer, in response to its request, in connection with the hiring
or retention of an employee, the letting of a contract, or issuance
of a license, grant, or other benefit by the requesting agency, to
the extent that the information is relevant and necessary to the
requesting agency's decision on the matter.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Folder, punched card, tape, disk and index card.
Retrievability: File by name, and cross index by voucher number and
date, or identifying number.
Safeguards: Stored in secured area.
Retention and disposal: Indefinite.
System manager(s) and address: For consultants:
Office of Controller, Board of Governors, Federal Reserve System,
20th and Constitution NW, Washington, DC 20551.
For Staff Associates:
Director of Personnel, Board of Governors, Federal Reserve
System, 20th and Constitution NW, Washington, DC 20551.
Notification procedure: Individuals who have filed appeals or
grievances are aware of that fact and have been provided a copy of
the records. They may, however, contract the System Manager, address
above. Individuals should provide their name, date of birth, and the
approximate date of employment or application, and the kind of action
taken by the Board when making inquiries about records.
Record access procedures: Individuals who have appealed or filed a
grievance about a decision or determination made by the Board or
about conditions existing in the Board already have been provided a
copy of the records. However, to gain access or contest the records
in this system, individuals should contact the System Manager,
address above. Individuals should provide their name, date of birth,
approximate date of employment or application, and the kind of action
taken by the Board when requesting access to, or contest of records.
Record source categories: Information in this system of records is
obtained from the individual to whom it applies or is derived from
information supplied by the individual, except information provided
by Board staff, and for reemployed annuitants where the inactive
General Personnel File is activated.
Systems exempted from certain provisions of the act: Pursuant to
subsections (k)(2) and (k)(5) of the Privacy Act and the Board's
regulation relating thereto (12 CFR part 261a), certain portions of
this systems of records may be exempted from certain provisions of
the Act where: (1) Such portions represent investigatory material
compiled for law enforcement purposes, or (2) such portions represent
investigatory material compiled solely for the purpose of determining
suitability, eligibility, or qualifications for Board employment to
the extent that disclosure of such portions would reveal the identity
of a source who furnished information under a promise of
confidentiality.
BGFRS-10
System name: FRB--General File on Board Members.
System location: Board of Governors, Federal Reserve System, 20th
and Constitution NW, Washington, DC 20551
Categories of individuals covered by the system:
Past and present members of the Board of Governors.
Categories of records in the system:
Biographies of past and present members of the Board, oaths of
office, and miscellaneous correspondence relating to such Members.
Authority for maintenance of the system:
Section 10 of the Federal Reserve Act (12 U.S.C. 241 et seq.)
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Used for background information to determine qualifications for
appointment, reappointments, for compiling information for news
releases and other publications, and for recording correspondence
concerning the Governors.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records.
Retrievability:
Indexed by name.
Safeguards:
Locked in supreme power file. Access limited to Board staff on a
restricted basis.
Retention and disposal:
Indefinite.
System manager(s) and address: Secretary of the Board, Board of
Governors, Federal Reserve System, 20th and Constitution, NW,
Washington, DC 20551.
Notification procedure:
Same as System Manager, address above.
Record access procedures:
Same as System Manager, address above.
Record source categories:
Generated by individuals, incoming correspondence and staff
response thereto.
Systems exempted from certain provisions of the act:
Pursuant to subsection (i)(5) of the Privacy Act and the Board's
regulation relating thereto (12 CFR part 261a), certain portions of
this system of records may be exempted from certain provisions of the
Act where such portions represent investigatory material compiled
solely for the purpose of determining suitability, eligibility, or
qualifications for Board employment to the extent that disclosure of
such portions would reveal the identity of a source who furnished
information under a promise of confidentiality.
BCFRS-11
System name: FRB--Official General Files.
System location: Board of Governors, Federal Reserve System, 20th
and Constitution, NW, Washington, DC 20551.
Categories of individuals covered by the system: Correspondents
with the Board and System Personnel and Fine Arts Program
participants.
Categories of records in the system: Incoming and outgoing
correspondence concerning Board business. Records relating to System
Personnel in official capacities such as instructors, consultants,
and Board representatives to various committees, conferences, etc.
Authority for maintenance of the system: Section 11 of the Federal
Reserve Act (12 U.S.C. 248(i)).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Used for reference
purposes in preparing responses to inquiries from the public and used
in recording official duties of System Personnel.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper records.
Retrievability: Indexed by name.
Safeguards: Locked in Supreme power file. Access limited to Board
staff on a restricted basis.
Retention and disposal: Indefinite.
System manager(s) and address: Secretary of the Board, Board of
Governors, Federal Reserve System, 20th and Constitution, NW,
Washington, DC 20551.
Notification procedure: System Manager, address above.
Record access procedures: System Manager, address above.
Record source categories: Generated by individuals incoming
correspondence and staff response thereto.
Systems exempted from certain provisions of the act: Pursuant to
subsection (k)(5) of the Privacy Act and the Board's regulation
relating thereto (12 CFR part 261a), certain portions of this system
of records may be exempted from certain provisions of the Act where
such portions represent investigatory material compiled solely for
the purpose of determining suitability, eligibility, or
qualifications for Board employment to the extent that disclosure of
such portions would reveal the identity of a source who furnished
information under a promise of confidentiality.
BGFRS-12
System name: FRB--Biographical File of Federal Personnel.
System location: Board of Governors, Federal Reserve System, 20th
and Constitution, NW, Washington, DC 20551.
Categories of individuals covered by the system: Current and former
Federal Reserve System officers, and their staff.
Categories of records in the system: This system consists of a
variety of records relating to personnel actions and determinations
made about an individual while employed in the Federal Reserve
System. These records contain information about an individual
relating to birth date; education; veteran status; tenure; handicap;
past and present salaries, grades, and position titles; personnel
actions, including but not limited to appointment, reassignment,
demotion, detail, promotion, transfer, and separation; photograph,
awards; and other information relating to the status of the
individual.
Authority for maintenance of the system: Sections 4, 11 and 22 of
the Federal Reserve Act (12 U.S.C. 221 et seq.).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Information in
there records may be used:
a. By Federal Reserve System officials for purposes of review in
connection with appointments, transfers, promotion, reassignments,
adverse actions, disciplinary actions, and determination of
qualifications of an individual.
b. By the Board of Governors for purposes of making a decision
when a listed employee or former listed employee is questioning the
validity of a specific document in the individual's record.
c. To respond to a court order.
d. To publish name and title data for the Directory of officers
of Federal Reserve Banks.
e. To provide reports to Congress, agencies, and the public on
characteristics of the System work force.
f. To refer, where there is an indication of a violation or
potential violation of law, whether civil, criminal, or regulatory in
nature, to the appropriate agency, whether Federal, state, or local,
charged with the responsibility of investigating or prosecuting such
violation or charged with enforcing or implementing the statute,
rule, regulation, or order issued pursuant thereto.
g. As a data source for management information for production of
summary descriptive statistic and analytical studies in support of
the function for which the records are collected and maintained, or
for related personnel management functions or manpower studies; may
also be utilized to repond to general requests for information
(without personal identification of individuals) under the Freedom of
Information Act or to locate specific individuals for personnel
research or other personnel management functions.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained in file folders, magnetic tape,
punched cards and disk.
Retrievability: Records are indexed by combination of name or
identification number.
Safeguards: Records are located in lockable metal file cabinets or
in metal file cabinets in secured rooms with access limited to those
whose official duties require access.
Retention and disposal: Retained indefinitely.
System manager(s) and address: Director of Personnel, Board of
Governors, Federal Reserve System, 20th and Constitution, NW,
Washington, DC 20551.
Notification procedure: Inquiries, including name, date of birth,
and Social Security Numbers should be addressed to the System
Manager, address above.
Record access procedures: Current and former System employees who
wish to gain access to and contest their records should direct such a
request in writing, including their name, date of birth, and Social
Security Number to the System Manager, address above.
Record source categories: Information in this system of records
comes from either the individual to whom it applies, extracted from
documents he supplied, or data provided by Federal Reserve System
officials and employees.
Systems exempted from certain provisions of the act: None.
BGFRS-13
System name: FRB--General File of Examiners and Assistant
Examiners at Federal Reserve Banks.
System location: Board of Governors, Federal Reserve System, 20th
and Constitution, NW, Washington, DC 20551.
Categories of individuals covered by the system:
Past and present examiners and assistant examiners at Federal
Reserve Banks.
Categories of records in the system:
Brief biographies of past and present examiners and assistant
examiners, oaths of office, and miscellaneous correspondence.
Authority for maintenance of the system:
Section 11 of the Federal Reserve Act (12 U.S.C. 248(a) and
248(i)).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Used as background information for determining qualifications for
appointment, reappointment, etc.; for compiling information for news
releases and other publications, and recording correspondence
concerning such persons.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records.
Retrievability:
Indexed by name.
Safeguards:
Locked in Supreme power file. Access limited to Board staff on a
restricted basis.
Retention and disposal:
Indefinite.
System manager(s) and address: Secretary of the Board, Board of
Governors, Federal Reserve System, 20th and Constitution, NW,
Washington, DC 20551.
Notification procedure: System Manager, as indicated above.
Record access procedures: Same as ``Notification'' above.
Record source categories:
Individuals themselves, references such as ``Who's Who'' and
miscellaneous correspondence from system personnel and others.
Systems exempted from certain provisions of the act:
Pursuant to subsection (k)(5) of the Privacy Act and the Board's
regulation relating thereto (12 CFR part 261a), certain portions of
this system of records may be exempted from certain provisions of the
Act where such portions represent investigatory material compiled
solely for the purpose of determining suitability, eligibility, or
qualifications for Board employment to the extent that disclosure of
such portions would reveal the identity of a source who furnished
information under a promise of confidentiality.
BGFRS-14
System name: FRB--General File of Federal Reserve Bank and
Branch Directors.
System location: Board of Governors, Federal Reserve System, 20th
and Constitution, NW, Washington, DC 20551.
Categories of individuals covered by the system: Past and present
Federal Reserve Bank and Branch Directors.
Categories of records in the system: Biographies of past and
present Federal Reserve Bank and Branch Directors, oaths of office,
resignations, and miscellaneous correspondence.
Authority for maintenance of the system: Sections 3, 4 and 11 of
the Federal Reserve Act (12 U.S.C. 221 et seq.).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Used as background
information for determining qualifications for appointment,
reappointment, etc.; for compiling information for news releases and
other publications and recording correspondence concerning such
persons.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper records.
Retrievability: Indexed by name.
Safeguards: Locked in Supreme power file. Access limited to Board
staff on a restricted basis.
Retention and disposal: Indefinite.
System manager(s) and address: Secretary of the Board, Board of
Governors, Federal Reserve System, 20th and Constitution, NW,
Washington, DC 20551.
Notification procedure: System Manager, as indicated above.
Record access procedures: Same as ``Notification'' above.
Record source categories: Generated by individual's incoming
correspondence and staff response thereto.
Systems exempted from certain provisions of the act: Pursuant to
subsection (k)(5) of the Privacy Act and the Board's regulation
relating thereto (12 CFR part 261a) certain portions of this system
of records may be exempted from certain provisions of the Act where
such portions represent investigatory material compiled solely for
the purpose of determining suitability, eligibility, or
qualifications for Board employment to the extent that disclosure of
such portions would reveal the identity of a source who furnished
information under a promise of confidentiality.
BGFRS-15
System name: FRB--General Files of Federal Reserve Agents,
Alternates and Representatives at Federal Reserve Banks.
System location: Board of Governors, Federal Reserve System, 20th
and Constitution, NW, Washington, DC 20551.
Categories of individuals covered by the system:
Past and present Federal Reserve Agents, Alternates and
Representatives at Federal Reserve Banks.
Categories of records in the system: Biographies of past and
present examiners, oath of office and miscellaneous correspondence
relating to such persons.
Authority for maintenance of the system:
Sections 4 and 11 of the Federal Reserve Act (12 U.S.C. 248(i),
(j) and 305).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Used as background information for determining qualifications for
appointment, reappointment etc.; for completing information for news
releases and other correspondence; and recording correspondence
concerning such persons.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper records.
Retrievability:
Indexed by name.
Safeguards:
Locked in Supreme power file. Access limited to Board staff on a
restricted basis.
Retention and disposal:
Indefinite.
System manager(s) and address: Secretary of the Board, Board of
Governors, Federal Reserve System, 20th and Constitution, NW,
Washington, DC 20551.
Notification procedure:
System Manager, as indicated above.
Record access procedures:
Same as ``Notification'' above.
Record source categories:
Generated by individual's incoming correspondence and staff
response thereto.
Systems exempted from certain provisions of the act:
Pursuant to subsection (k)(5) of the Privacy Act and the Board's
regulation relating thereto (12 CFR part 261a), certain portions of
this system of records may be exempted from certain provisions of the
Act: Where such portions represent investigatory material compiled
solely for the purpose of determining suitability, eligibility, or
qualifications for Board employment to the extent that disclosure of
such portions would reveal the identity of a source who furnished
information under a promise of confidentiality.
BGFRS-16
System name:
FRB--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: FRB--Consumer Complaint Information System.
System location:
Board of Governors of the Federal Reserve System, 20th &
Constitution Avenue, NW, Washington, DC 20551.
Categories of individuals covered by the system:
Persons who have filed complaints with the Federal Reserve Board
or the Federal Reserve Banks.
Categories of records in the system:
These records may contain complaints regarding state-chartered
member banks, as well as other financial institutions, individuals or
organizations that are subject to federal banking regulations.
Information included in these records are the complainant's name, a
code symbol indicating the subject matter of the complaint, and
information regarding the investigation and action taken on the
complaint. Supporting records may include documents supplied by the
complainant, intra-agency memoranda, as well as correspondence
between the Federal Reserve System and the financial institution or
other individual or organization in question.
Authority for maintenance of the system:
Section 11 of the Federal Reserve Act (12 U.S.C. 248(i)).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The information in these records may be used:
a. By Board staff in its consumer affairs program for the
investigation and resolution of consumer complaints.
b. To provide the appropriate Reserve Bank with information when
a complaint or inquiry is received by the Board involving a state-
chartered member bank in that Reserve Bank's jurisdiction.
c. In the investigation and resolution of complaints by the
Reserve Bank which may require the disclosure of information
contained in the records pertaining to the subject individual or
institution.
d. For the maintenance of all follow-up correspondence (i.e.,
information submitted by complainant and information gathered in the
investigation process concerning the complainant's bank records and
pertinent bank policies.
e. To respond to Congressional inquiries and referral of
complaints made on behalf of constituents. Congressional inquiries
are generally made for the purpose of assessing the implementation of
Congressional legislation. Information identifying the complainant
and the institution or individual subject to the complaint is
generally deleted in these requests, unless the complainant consents
to disclosure. Information provided in response to complaint
referrals will be in the form of follow-up correspondence on the
complaints.
f. To refer, where there is an indication of a violation or
potential violation of law, whether civil, criminal or regulatory in
nature, to the appropriate agency, whether federal, state or local,
charged with the responsibility of investigating or prosecuting such
violations or with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto.
g. To respond to a court order.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are stored in computer readable format, computer
printouts, control forms, in file folders, and on microfiche.
Retrievability:
File folders and microfiche are retrievable by subject code;
control forms by control form number; computer printouts by state
member bank name, consumer name, and control form number.
Safeguards:
Access to and use of these records is restricted to authorized
personnel only.
Retention and disposal:
a. File folders of complaints will be retained for two years.
b. Complaints on microfiche will be retained indefinitely.
c. Records stored in computer readable format will be retained
indefinitely, with the following exceptions: Records on control forms
will be retained for a maximum of one year, with the exception of
Reserve Bank referrals which, will be retained indefinitely; records
on computer printouts of monthly and year-end reports will be
retained for one year, then put on microfiche and retained
indefinitely.
System manager(s) and address: Director, Division of Consumer and
Community Affairs, Board of Governors, Federal Reserve System, 20th
and Constitution Ave., NW, Washington, DC 20051.
Notification procedure:
Inquiries should be directed to the System Manager at the address
above. Inquirers may be required to file notarized statements
attesting to their identity.
Record access procedures:
Inquiries should be directed to the System Manager at the address
above. Inquirers may be required to file notarized statements
attesting to their identity.
Record source categories:
Person(s) who initiate complaints (or his or her representative,
which may include a member of Congress or an attorney); appropriate
federal, state or local regulatory and enforcement agencies;
institutions or individuals that are the subject of a complaint.
Systems exempted from certain provisions of the act:
Pursuant to subsection (k)(2) and (k)(5) of the Privacy Act and
the Board's regulations relating thereto (12 CFR part 261a), certain
portions of this system of records may be exempted from certain
provisions of the act where: (1) Such portions represent
investigatory material compiled for law enforcement purposes, or (2)
such portions represent investigatory material compiled solely for
the purpose of determining suitability, eligibility, or
qualifications for Board employment to the extent that disclosure of
such portions would reveal the identity of a source who furnished
information under a promise of confidentiality.
BGFRS-19
System name: FRB--Financial Disclosure Reports and Outside
Business Interest Applications.
System location: Board of Governors of the Federal Reserve System,
20th and Constitution Avenue, NW, Washington, DC 20551.
Categories of individuals covered by the system: Board members,
officials, and key Board employees who are required to file annual
financial disclosure reports pursuant to Title II of the Ethics in
Government Act, as amended, Pub. L. 95-521 (1978) and Pub. L. 96-19,
and 96-28 (1979), or pursuant to Board regulation, 12 CFR part 264;
and Outside Business Interest Application forms, filed pursuant to 12
CFR part 264.
Categories of records in the system: These records contain:
a. The annual Financial Disclosure reports filed on forms
prescribed by the Office of Government Ethics, for those Board
members and officials who are required by statute to file these
reports;
b. Confidential Annual Financial Disclosure Reports filed
annually by remaining Board officials and designated key Board
employees who are required by Board regulations to file these
reports; and
c. Outside Business Interest Application forms filed by employees
pursuant to Board regulation.
Authority for maintenance of the system: Title II of Pub. L. 95-521
(1978) and sections 10 and 11 of the Federal Reserve Act (12 U.S.C.
221 et seq.).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: The information in
these records may be used:
a. To identify or determine conflict of interest situations or
potential conflicts of interest.
b. To advise an employee of potential problems.
c. To provide information to the Office of Government Ethics.
d. To provide copies of those financial disclosure reports filed
pursuant to the Ethics in Government Act to the public, upon request.
e. To respond to a request from a Member of Congress.
f. To respond to a request from the General Accounting Office
made in the exercise of their official responsibilities.
g. To respond to a court order.
h. To respond to requests for nonidentified statistical
information under the Freedom of Information Act.
i. To refer where there is an indication of a violation or
potential violation of law, whether civil, criminal or regulatory in
nature, to the appropriate agency, whether federal, state, or local,
charged with the responsibility of investigating or prosecuting such
violation or charged with enforcing or implementing the statute,
rule, regulation or order issued pursuant thereto.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: These records are maintained in file folders, in locked
steel file cabinets, in a secured room.
Retrievability: These records are indexed by the names of the
individuals to whom they pertain.
Safeguards: Access to and use of these records is restricted to
those persons whose official duties require such access.
Retention and disposal:
a. Financial Disclosure Reports filed pursuant to the Ethics in
Government Act are retained for the statutorily required six-year
period, after which they are destroyed, unless needed in an ongoing
investigation.
b. Confidential Financial Disclosure Reports filed pursuant to
Board regulation are maintained indefinitely.
c. Outside Business Interest Applications are maintained
indefinitely.
System manager(s) and address: Board Ethics Official, Board of
Governors, Federal Reserve System, 20th and Constitution, NW,
Washington, DC 20551.
Notification procedure:
a. Requests for access to Financial Disclosure Reports filed
pursuant to the Ethics in Government Act are to be submitted on the
form provided by the Office of Government Ethics.
b. Individuals wishing to have access to their own Confidential
Financial Disclosure reports or Outside Business Interest
Applications should contact the System Manager above.
Record access procedures: Individuals wishing to gain access to or
to correct information maintained about them in this system of
records should contact the System Manager above. Former Board
employees should direct such a request in writing, including their
name, date of birth and social security number.
Record source categories: Individual to whom the record pertains.
Systems exempted from certain provisions of the act: None.
BGFRS-21
System name:
FRB--Supervisory Tracking and Reference System.
System location:
Division of Banking Supervision and Regulation (Enforcement and
Special Investigations and Examinations Sections), Board of Governors
of the Federal Reserve System (Board), 20th and C Streets NW,
Washington, DC 20551. Computerized records of Suspicious Activity
Reports (SARs), with status updates, are managed by the Financial
Crimes Enforcement Network (FinCEN), Department of the Treasury,
pursuant to a contractual agreement, and are stored in Detroit,
Michigan. Authorized personnel at the Board and the Federal Reserve
Banks have on-line access to the computerized database managed by
FinCEN through individual work stations that are linked to the
database central computer.
Categories of individuals covered by the system:
Directors, officers, employees, agents and persons participating
in the conduct of the affairs of entities regulated by the Board who
have been involved in suspected criminal activity or suspicious
financial transactions and referred to law enforcement officials; and
other individuals who have been involved in irregularities,
violations of law, or unsafe or unsound practices referenced in
documents received by the Board in the course of exercising its
supervisory functions.
Categories of records in the system:
Inter- and intra-agency correspondence, memoranda and reports.
The SAR contains information identifying the financial institution
involved, the suspected person, the type of suspicious activity
involved, and any witnesses.
Authority for maintenance of the system:
12 U.S.C. 248(a), 1820(d) and 1818 (for state member banks); 12
U.S.C. 1844 (for bank holding companies and their subsidiaries); 12
U.S.C. 622 and 625 (for Edge and Agreement corporations); 12 U.S.C.
3105 (for U.S. branches and agencies of foreign banks).
Purpose(s):
The overall system serves as a central Board repository for
investigatory or enforcement information related to the Board's
responsibility to examine and supervise entities regulated by the
Board.
The system maintained by FinCEN serves as the database for the
cooperative storage, retrieval, analysis, and use of information
relating to Suspicious Activity Reports made to or by the Board, the
Office of the Comptroller of the Currency, the Federal Deposit
Insurance Corporation, the Office of Thrift Supervision, and the
National Credit Union Administration (collectively, the Federal
Financial Regulatory Agencies), and FinCEN to various law enforcement
agencies for possible criminal, civil, or administrative proceedings
based on known or suspected violations affecting or involving
persons, financial institutions, or other entities under the
supervision or jurisdiction of such Federal Financial Regulatory
Agencies.
Routine uses of records maintained in the system, including
categories of users, and the purposes of such uses:
Information in these records may be used to:
(1) Provide information or records to any appropriate
governmental department or agency or self-regulatory organization
charged with the responsibility of administering law or investigating
or prosecuting violations of law or charged with enforcing or
implementing a statute, rule, regulation, order, policy, or license;
(2) Provide the Federal Financial Regulatory Agencies and FinCEN
with information relevant to their operations;
(3) Disclose information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation;
(4) Disclose information, when appropriate, to foreign
governmental authorities in accordance with law, and formal or
informal international agreements;
(5) Disclose certain records, in the event of litigation or
enforcement action, to the appropriate court, magistrate, or
administrative tribunal; or to counsel or witnesses for the
presentation of evidence in the course of discovery, to the extent
permitted by law; and
(6) With regard to formal or informal enforcement actions,
release information pursuant to 12 U.S.C. 1818(u), which requires the
Board to publish and make available to the public final orders and
written agreements, and modifications thereto.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The records will be maintained in electronic data processing
systems and in paper and card files.
Retrievability:
Computer output, file folders, and card files are retrievable by
indexes of data fields, including name of financial institution,
Federal Reserve Bank District, and individuals' names.
Safeguards:
Paper records and word processing discs are stored at the Board
in lockable metal file cabinets. The database maintained by FinCEN
complies with applicable security requirements of the Department of
the Treasury. On-line access to the information in the database is
limited to authorized individuals who have been designated by each
Federal Financial Regulatory Agency and FinCEN, and each such
individual has been issued a nontransferable identifier or password.
Retention and disposal:
Records are maintained indefinitely.
System manager(s) and address:
Deputy Associate Director (Enforcement and Special Investigations
and Examinations Sections), Division of Banking Supervision and
Regulation, Board of Governors of the Federal Reserve System, 20th
and C Streets, NW, Washington, DC 20551, (202) 452-2620.
Notification procedure:
Inquiries should be sent to the Secretary of the Board, Board of
Governors of the Federal Reserve System, 20th Street and Constitution
Avenue, NW, Washington, DC 20551.
Record access procedures:
Same as ``Notification procedure'' above.
Contesting record procedures:
Same as ``Notification procedure'' above.
Record source categories:
Information received by the Board from various sources,
including, inter alia, law enforcement and other agency personnel
involved in sending inquiries to the Board, documents received by the
Board in the course of executing the Board's supervisory
responsibilities, and reports and forms filed by individuals to whom
the records pertain. The information maintained by FinCEN is compiled
from SAR and related historical and updating forms compiled by
financial institutions, the Board, and the other Federal Financial
Regulatory Agencies for law enforcement purposes.
System exempted from certain provisions of the act:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H), and (I), and (f) of the
Privacy Act pursuant to 5 U.S.C. 552a(k)(2).
BGFRS-22
System name: FRB-Chain Banking Reference System.
System location:
Board of Governors of the Federal Reserve System Constitution
Ave. at 20th St., NW, Washington, DC 20551
Categories of individuals covered by the system:
Principals who directly or indirectly, or acting through or in a
concert with one or more persons, control two or more banking
organizations or own or have the power to vote 25 percent or more of
the outstanding voting shares of two or more separate banking
organizations.
Categories of records in the system:
Names of the principal(s) of each chain, the percentage ownership
each has, positions held by principal(s) in the institutions, the
bank and bank holding company names and reference numbers, and the
institutions' locations.
Authority for maintenance of the system:
12 U.S.C. 248(a)(1) et seq.; 12 U.S.C. 1811 et seq.; and 12
U.S.C. 1841 et seq.; which together authorize the Board to examine,
supervise, and regulate all state chartered commercial banks that are
members of the Federal Reserve System and all bank holding companies.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information in these records may be used:
a. By Board and Reserve Banks' staff to identify any individual
who is a principal in two or more banks or bank holding companies; to
ensure in the merger and application process that all elements of a
chain banking organization are considered in assessing financial,
managerial and competitive factors and capital adequacy; to apply
Board supervisory guidelines and policies that are relevant to chain
banking organizations; to analyze problems within a chain
organization in an effort to avoid similar problems at related
banking institutions; to coordinate the scheduling of concurrent
examinations and inspections of related banking institutions; and to
ensure the identification of common practices among banking
institutions.
b. To respond to Congressional inquiries, referrals of
constituent questions and comments, and to official inquiries by the
General Accounting Office.
c. To refer where there is an indication of a violation of law,
whether civil, criminal or regulatory in nature, to the appropriate
federal, state or local agency charged with the responsibility of
investigating or prosecuting such violations or with enforcing or
implementing a statute, rule, regulation or order issued pursuant
thereto.
d. To respond to a court order.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records and word processing discs would be stored in locked
metal cabinets; computerized records would be maintained in
electronic data processing systems.
Retrievability:
Computer output, file folders, and card files would be
retrievable by indexes of data fields, including name of a subject
individual, bank or bank holding company name or number, Federal
Reserve Bank district location, and perhaps control form numbers.
Safeguards:
Paper records and word processing discs would be stored in locked
metal cabinets. Computer-stored information would be protected by
appropriate coding and other security measures. Only a limited number
of authorized Board and Reserve Banks' staff who have a legitimate
need for the information will be able to gain access to these
records.
Retention and disposal:
Records would be maintained indefinitely.
System manager(s) and address:
James I. Garner, Assistant Director, Division of Banking
Supervision and Regulation, Board of Governors of the Federal System,
Contitution Ave., at 20th St., NW, Washington, DC 20551, (202) 452-
2704.
Notification procedure:
A person requesting notice as to whether this system of records
contains information pertaining to him or her should write to the
Division of Banking Supervision and Regulation, at the address below,
enclosing his or her full name, current address, and a notarized
statement attesting to the individual's identity. Simultaneously with
requesting notification of inclusion in the system of records, the
individual may request record access as described in the following
section on ``Record Access Procedures''.
James I. Garner, Assistant Director, Division of Banking
Supervision and Regulation, Board of Governors of the Federal Reserve
System, Consitution Ave., at 20th St., NW, Washington, DC 20551,
(202) 452-2704.
Record access procedures:
Individuals who, through notification procedures set out above,
have established that the system of records contains information
pertaining to them, may request access to these records by writing to
the Division of Banking Supervision and Regulation at the address
given above; and the Board will thereafter notify the individual as
to the time and place for access to the records.
Contesting record procedures:
Individuals who seek to contest or to correct records in this
system of records should: Contact the Division of Banking Supervision
and Regulation at the address given above; reasonably identify the
records; specify the information sought to be contested or corrected,
the rationale for such challenge or correction, and the information
requested to be substituted.
Record source categories:
The information would be generated substantially from existing
sources, including acquisition, merger and other applications, change
of control notices, examination and inspection reports, and the
annual F.R. Y-6 reports.
Systems exempted from certain provisions of the act:
None.
BGFRS-23
System name:
Freedom of Information Act/Privacy Act (FOIA/PA) Case Tracking
and Reporting System.
Security classification:
None.
System location:
Freedom of Information Office, Board of Governors of the Federal
Reserve System (Board), 20th Street & Constitution Avenue, NW,
Washington, DC 20551.
Categories of individuals covered by the system:
Individuals who have submitted requests and individuals whose
records are requested by others under the provisions of the Freedom
of Information Act (FOIA) and/or the Privacy Act (PA).
Categories of records in the system:
A computer data base that includes: The log number assigned to
the request, the name and address of a requester, the date of the
request, the date a response is due, the date of the determination
letter, the date responsive documents were mailed to requester, a
brief description of the information requested, the names of Board
staff to whom the request was assigned for processing, fee data, and
other information used for tracking and to compile the FOIA Annual
Report and Biennial Privacy Act Report to Congress and other ad hoc
reports.
Authority for maintenance of the system:
5 U.S.C. 552 and 552a; 12 CFR parts 261 and 261a.
Purpose(s):
To assist the Board in carrying out its responsibilities under
the Freedom of Information Act and Privacy Act.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
(1) Information may be provided to another Federal agency, which
furnished information responsive to a request, for the purpose of
making a decision regarding access or amendment to the responsive
information.
(2) Information may be released to the news media and the public,
unless it is determined that release of specific information in the
context of a particular case would constitute an unwarranted invasion
of personal privacy.
(3) Information may be released to a Member of Congress or
congressional staff as is necessary to appropriately respond to
congressional inquiries on behalf of constituents.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored on computer disks.
Retrievability:
Retrieved by name of requester, by log number assigned to the
request, by the subject matter of the request, or any other field of
information that is collected.
Safeguards:
Access to records is limited to Board personnel who have need for
the records to perform their duties.
Retention and disposal:
Records are retained indefinitely.
System manager(s) and address:
Manager, Freedom of Information Office, Mail Stop 132, Board of
Governors of the Federal Reserve System, 20th Street & Constitution
Avenue, NW., Washington, DC 20551.
Notification procedure:
Inquiries should be sent to the Secretary of the Board, Board of
Governors of the Federal Reserve System, 20th Street and Constitution
Avenue, NW., Washington, DC 20551.
Record access procedures:
Same as ``Notification procedure'' above.
Contesting record procedures:
Same as ``Notification procedure'' above.
Record source categories:
The sources of information contained in this system are the
individuals making requests, other agencies referring requests for
access to or correction of records originating at the Board, and
Board employees engaged in processing or making determinations on the
requests.
Exemptions claimed for the system:
None.
BGFRS-24
System name:
EEO General Files.
Security classification:
None.
System location:
EEO Programs Office, 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.
Categories of records in the system:
Self-identification reports of current and former employees
regarding race, national origin, sex and disability; identification
by Board staff regarding the race, national origin, sex and
disability of those employees who refuse to voluntarily provide the
information.
Authority for maintenance of the system:
Rehabilitation Act of 1973, 29 U.S.C. 791; Title VII of the Civil
Rights Act, 42 U.S.C. 2000e et seq; Age Discrimination in Employment
Act, 29 U.S.C. 621 et seq; Equal Pay Act, 29 U.S.C. 206; and section
11 of the Federal Reserve Act, 12 U.S.C. 248(i) and 248(l).
Purpose(s):
To assist the Board in carrying out its responsibilities under
the Rehabilitation Act of 1973, Title VII of the Civil Rights Act,
and other nondiscrimination statutes.
Routine uses of records maintained in the system, including
categories of uses and the purposes of such uses:
The information in the records may be used:
a. As a data source for production of summary descriptive
statistics and analytical studies in support of the function for
which the records are collected and maintained, or for related
personnel management functions or manpower studies.
b. To respond to general requests for statistical information
(without personal identification of individuals) under the Freedom of
Information Act.
c. To inform appropriate Board employees regarding any need for
assistance by a disabled individual in the event an evacuation is
necessary.
d. To provide information to a federal agency, in response to its
request, in connection with the hiring or retention of an employee,
the letting of a contract, or issuance of a license, grant, or other
benefit by the requesting agency to the extent that the information
is relevant and necessary to the requesting agency's decision on that
matter.
e. To provide statistical information to Congress.
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
form.
Retrievability:
These records are indexed by the names of the individuals on whom
they are maintained.
Safeguards:
Access to and the use of these records is limited to those
persons whose official duties require such access. Personnel
screening is employed to prevent unauthorized access. Electronic
files are protected by passwords.
Retention and disposal:
The records are maintained indefinitely.
System manager(s) and address:
EEO Programs Director, 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:
Individual to whom the record pertains; employees responsible for
administering the Board's EEO program.
System exempted from certain provisions of the act:
None.
BGFRS/OIG-1
System name:
OIG Investigative Records.
System location:
Office of Inspector General, Board of Governors of the Federal
Reserve System, Suite 3000, 1790 New York Avenue, NW., Washington, DC
20006.
Categories of individuals covered by the system:
Individuals covered consist of:
(1) Officers or employees of the Board or other persons involved
in the Board's programs or operations who are or have been under
investigation by the Board's Office of Inspector General in order to
determine whether such officers, employees or other persons have been
or are engaging in fraud and abuse with respect to the Board's
programs or operations; and
(2) Complainants and witnesses where necessary for future
retrieval.
Categories of records in the system:
The system contains files on individual investigations including
investigative reports and related documents generated during the
course of or subsequent to an investigation. It includes electronic
and hard copy case tracking systems, databases containing
investigatory information, ``Hotline'' telephone logs, and
investigator workpapers and memoranda and letter referrals to
management or others.
Authority for maintenance of the system:
5 U.S.C. App. 4(a)(1) and 6(a)(2).
Purpose(s):
These records are collected, maintained and used by the OIG in
its inquiries and investigations and reports relating to the
administration of the Board's programs and operations and to manage
the investigatory program.
Routine uses of records maintained in the system, including
categories of users and purposes of such uses:
Under normal circumstances, no individually identifiable records
will be provided. However, under those unusual circumstances when
release of information contained in an individually identifiable
record is required, proper safeguards will be maintained to protect
the information collected from unwarranted invasion of personal
privacy. Subject to this general limitation, the routine uses are as
follows:
1. In the event the information in the system of records
indicates a violation or potential violation of a criminal or civil
law, rule, or regulation, the relevant records may be disclosed to
the appropriate federal, state, or local agency or authority
responsible for investigating or prosecuting such a violation or for
enforcing or implementing a statute, rule, or regulation.
2. The information in the system of records may be disclosed to a
court, magistrate, or administrative tribunal in the course of
presenting evidence, including disclosures to counsel or witnesses in
the course of civil discovery, litigation, or settlement negotiations
or in connection with criminal proceedings.
3. The information may be disclosed to a congressional office in
response to an inquiry made by that office at the request of the
individual who is the subject of the records.
4. The information may be disclosed to any source, including a
federal, state, or local agency maintaining civil, criminal, or other
relevant enforcement information or other pertinent information, but
only to the extent necessary for the OIG to obtain information
relevant to an OIG investigation.
5. The information maybe disclosed in order to respond to a
federal agency's request made in connection with the hiring or
retention of an individual, the issuance of a security clearance, the
reporting of an investigation of an individual, the letting of a
contract or issuance of a grant, license, or other benefit by the
requesting agency, but only to the extent that the information
disclosed is necessary and relevant to the requesting agency's
decision on the matter.
6. The information may be disclosed to other federal entities,
such as other federal Offices of Inspector General or the General
Accounting Office, or to a private party with which the OIG or the
Board has contracted for the purpose of auditing or reviewing the
performance or internal management of the OIG's investigatory
program, provided the record will not be transferred in a form that
is individually identifiable, and provided further that the entity
acknowledges in writing that it is required to maintain Privacy Act
safeguards for the information.
In addition to the foregoing routine uses, a record which is
contained in this system and derived from another Board system of
records may be disclosed as a routine use as specified in the Federal
Register notice of the system of records from which the records
derived.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
These records are maintained in file folders, computer disks,
electronic media, and reports on each investigation.
Retrievability:
Records are generally indexed by name of person under
investigation, investigation number, referral number, or
investigative subject matter.
Safeguards:
File folders are maintained in lockable metal file cabinets
stored in offices that are locked when not in use. Computer disks and
electronic media are locked in the lockable metal file cabinets with
their related file folders, and information not so lockable is kept
in individual offices in locked or passworded computer hardware.
Access to the information in the cabinets and individual offices is
permitted only by and to specifically authorized personnel.
Retention and disposal:
Records in file folders are retained as long as needed and then
destroyed by shredding. Computer disks are cleared, retired, or
destroyed when no longer useful. Entries on electronic media are
deleted or erased when no longer needed.
System manager(s) and address:
Brent L Bowen, Inspector General, Mail Stop 300, Board of
Governors of the Federal Reserve System, Washington, DC 20551. Office
location is Suite 3000, 1790 New York Avenue, NW., Washington, DC
20006.
Notification procedure:
A person requesting notice as to whether this system of records
contains information pertaining to him or her should write to the
Office of Inspector General, Mail Stop 300, Board of Governors of the
Federal Reserve System, Washington, DC 20551. Individuals requesting
their own records must provide their name and address and a notarized
statement attesting to the individual's identity. Requests submitted
on behalf of other persons must include their written, notarized
authorization. Such requests in the form prescribed may also be
presented in person at the Office of the Inspector General, Suite
1070, 1850 K Street, NW., Washington, DC 20006. Simultaneously with
requesting notification of inclusion in this system of records, the
individual may request record access as described in the following
section on ``Record access procedures.''
Record access procedures:
Specific materials in this system have been exempted from Privacy
Act provisions at 5 U.S.C. 552a(d), regarding access to records. The
section of this notice titled ``Exemptions claimed for the system''
indicates the kinds of material exempted and the reasons for
exempting them from access. Individuals wishing to request access to
non-exempt records should follow the procedures described in the
``Notification procedure'' section. Requests submitted on behalf of
other persons must include their written, notarized authorization. If
access to such information by a subject individual is deemed
consistent with the purposes for which this system of records has
been established, then the individual will be notified by the OIG as
to the time and place for access to the records. The OIG will also
notify individuals when access is denied.
Contesting record procedure:
Individuals requesting amendment or contesting records in this
system of records should contact the OIG at the address given above,
reasonably identify the records, specify the information being
contested, the rationale for the challenge, and supply the
information requested to be substituted. Such individuals must also
comply with the Board's Privacy Act regulations on ``Request for
correction or amendment of record'' (12 CFR 261a.7).
Record source categories:
The OIG collects information from many sources including the
subject individuals, employees of the Board and the Federal Reserve
System, other government employees, witnesses and informants, and
nongovernmental sources.
Exemptions claimed for the system:
Pursuant to 5 U.S.C. 552a(k)(2), this system of records is
exempted from 5 U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1), (e)(4)(G),
(H), and (I), and (f) to the extent the system of records consists of
investigatory material compiled for law enforcement purposes.
Pursuant to 5 U.S.C. (k)(5), this system of records is exempted from
5 U.S.C. 552a(d)(1) to the extent that it consists of investigatory
material compiled for the purpose of determining suitability,
eligibility, or qualifications for federal civilian employment or
federal contracts, the release of which would reveal the identity of
a source who furnished confidential information to the Government
under an express promise that the identity of the source would be
held in confidence. Pursuant to 5 U.S.C. 552a(j)(2), this system of
records is exempted from 5 U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1),
(e)(2), and (e)(3) to the extent that it consists of information
compiled for the purpose of criminal investigations.
BGFRS/OIG-2
System name:
OIG Personnel Records.
System location:
Office of Inspector General, Board of Governors of the Federal
Reserve System, Suite 3000, 1709 New York Avenue, NW., Washington, DC
20006.
Categories of individuals covered by the system:
The system contains personal and financial information, in
varying amounts, on former, current, and prospective employees of the
Board's OIG.
Categories of records in the system:
These records may contain information relating to the education,
training, employment history and earnings; appraisal of past
performance; convictions for offenses against the law; results of
tests, appraisals of potential, honors, awards of fellowships;
military service or veteran status; school transcripts; work samples;
birth date; social security number; travel vouchers; offer letters
and correspondence, reference checks; and home address of past,
present and prospective employees of the OIG. Includes allocations of
time spent on various OIG projects and tasks (OIG Time Entry System)
and related documents and reports generated by the Time Entry System.
Authority for maintenance of the system:
5 U.S.C. App. 8E(g)(2); 12 U.S.C. 248(l).
Purpose(s):
The information in these records is used for making hiring,
retention, promotion, and performance evaluation decisions.
Routine uses of records maintained in the system, including
categories of users and purposes of such uses:
Under normal circumstances, no individually identifiable records
will be provided. However, under those unusual circumstances when
release of information contained in an individually identifiable
record is required, proper safeguards will be maintained to protect
the information collected from unwarranted invasion of personal
privacy. Subject to this general limitation, the routine uses are as
follows:
1. The information may be disclosed to assist in determining the
suitability for access to classified information.
2. The information may be disclosed to designated officers and
employees of agencies and departments of the federal government, and
the District of Columbia government, having an interest in the
individual for employment purposes, in connection with performance of
a service to the federal government, under a contract or other
agreement, including a security clearance or access determination,
and a need to evaluate qualifications, suitability, and loyalty to
the United States government.
3. The information may be disclosed to the intelligence agencies
of the Department of Defense, National Security Agency, Central
Intelligence Agency, and the Federal Bureau of Investigation for use
in intelligence activities.
4. The information may be disclosed to any source from which
information is requested by the Board in the course of an
investigation, to the extent necessary to identify the individual,
inform the source of the nature and purpose of the investigation and
to identify the type of information requested.
5. In the event the information in the system of records
indicates a violation or potential violation of a criminal or civil
law, rule, or regulation, the relevant records may be disclosed to
the appropriate federal, state, or local agency or authority
responsible for investigating or prosecuting such a violation or for
enforcing or implementing a statute, rule, regulation.
6. The information may be disclosed as a data source for
management information for production of descriptive statistics and
analytical studies in support of the function for which the records
are collected and maintained, or for related personnel management
functions or manpower studies; and they may also be utilized to
respond to general requests for statistical information (without
personal identification of individuals) under the Freedom of
Information Act or to locate specific individuals for personnel
research or other personnel management functions.
7. The information may be disclosed to respond to a court order.
8. The information may be disclosed to a congressional office in
response to an inquiry made by the office at the request of the
individual who is the subject of the records.
9. The information may be disclosed to other federal entities,
such as other federal Offices of Inspector General or the General
Accounting Office, or to a private party with which the OIG or the
Board has contracted for the purpose of auditing or reviewing the
performance or internal management of the OIG, provided the record
will not be transferred in a form that is individually identifiable,
and provided further that the entity acknowledges in writing that it
is required to maintain Privacy Act safeguards for the information.
In addition to the foregoing, a record which is contained in this
system and derived from another Board system of records may be
disclosed as a routine use as specified in the Federal Register
notice of the system of records from which the records derived.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
The information is stored as written and printed information
contained in file folders and on computer disks, electronic media in
the form of individual reports or in electronic databases.
Retrievability:
The information is indexed by name but can be retrieved by a
variety of personal identification means including by social security
number, employee number, and room number. It can also be retrieved by
project or assignment codes.
Safeguards:
File folders are maintained in lockable metal file cabinets
stored in offices that are locked when not in use. Computer disks and
electronic media are locked in the lockable metal file cabinets with
their related file folders, and information not so lockable is kept
in locked or passworded computer hardware. Access to the information
in the cabinets and individual offices is permitted only by and to
specifically authorized personnel.
Retention and disposal:
Records in file folders are retained as long as needed and then
destroyed by shredding. Computer disks are cleared, retired, or
destroyed when no longer useful. Entries on electronic media are
deleted or erased when no longer needed.
System manager(s) and address:
Brent L Bowen, Inspector General, Mail Stop 300, Board of
Governors of the Federal Reserve System, Washington, DC 20551. Office
location is Suite 3000, 1709 New York Avenue NW., Washington, DC
20006.
Notification procedure:
A person requesting notice as to whether this system of records
contains information pertaining to him or her should write to the
Office of Inspector General, Mail Stop 300, Board of Governors of the
Federal Reserve System, Washington, DC 20551. Individuals requesting
their own records must provide their name and address and a notarized
statement attesting to the individual's identity. Requests submitted
on behalf of other persons must include their written, notarized
authorization. Such requests in the form prescribed may also be
presented in person at the Office of the Inspector General, Suite
1070, 1850 K Street, NW., Washington, DC 20006. Simultaneously with
requesting notification of inclusion in this system of records, the
individual may request record access as described in the following
section on ``Record access procedures''.
Record access procedures:
Specific materials in this system have been exempted from Privacy
Act provisions at 5 U.S.C. 552a(d), regarding access to records. The
section of this notice titled ``Exemptions claimed for the system''
indicates the kinds of material exempted and the reasons for
exempting them from access. Individuals wishing to request access to
non-exempt records should follow the procedures described in the
``Notification procedure'' section. Requests submitted on behalf of
other persons must include their written, notarized authorization. If
access to such information by a subject individual is deemed
consistent with the purposes for which this system of records has
been established, then the individual will be notified by the OIG as
to the time and place for access to the records. The OIG will also
notify individuals when access is denied.
Contesting record procedure:
Individuals requesting amendment of contesting records in this
system or records should contact the Office of Inspector General at
the address given above, reasonably identify the records, specify the
information being contested, the rationale for the challenge, and
supply the information requested to be substituted. Such individuals
must also comply with the Board's Privacy Act regulations on
``Request for correction or amendment of record'' (12 CFR 261a.7).
Record source categories:
Subject individuals, employees of the Board and the Federal
Reserve System, other government employees, and witnesses and
informants.
Exemptions claimed for the system:
Pursuant to 5 U.S.C. (k)(5), this system of records is exempted
from 5 U.S.C. 552a(d)(1) to the extent that it consists of
investigatory material compiled for the purpose of determining
suitability, eligibility, or qualifications for federal civilian
employment or federal contracts, the release of which would reveal
the identity of a source who furnished confidential information to
the Government under an express promise that the identity of the
source would be held in confidence.
BGFRS/SS-1
System name:
Telephone Call Detail Records.
Security classification:
None.
System location:
Division of Support Services, Board of Governors of the Federal
Reserve System, 20th Street & Constitution Avenue, NW., Washington,
DC 20551.
Categories of individuals covered by the system:
Board employees, consultants and contractors who have been
assigned a telephone number by the Board.
Categories of records in the system:
Records relating to use of Board telephones to place local and
long distance calls; records indicating assignment of telephone
numbers to individuals covered by the system; and records relating to
location of telephones.
Authority for maintenance of the system:
Sections 10 and 11 of the Federal Reserve Act, 12 U.S.C. 243 and
248(l).
Purpose(s):
To detect and prevent unauthorized usage of the Board's
telephones.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information in the system may be disclosed, as is necessary:
(1) To a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains.
(2) To representatives of the National Archives and Records
Administration who are conducting records management inspections.
(3) To a court, magistrate, or administrative tribunal in the
course of presenting evidence, including disclosures to counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings.
(4) To the appropriate federal, state, or local agency or
authority responsible for investigating or prosecuting a violation of
or for enforcing or implementing a statute, rule, regulation, or
order, when the information indicates a violation or potential
violation of law, whether civil, criminal, or regulatory in nature,
and whether arising by general statute, or by particular program
statute, or by regulation, rule, or order issued pursuant thereto.
(5) To current or former Board employees and other individuals
currently or formerly provided telephone services by the Board to
determine their individual responsibility for telephone calls.
(6) To respond to a federal agency's request made in connection
with the hiring or retention of an employee, the letting of a
contract or issuance of a grant, license, or other benefit by the
requesting agency, but only to the extent that the information
disclosed is relevant and necessary to the requesting agency's
decision on the matter.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Electronic information is stored on disk and placed in a fire-
proof safe.
Retrievability:
Retrieved by name of individual or telephone number or by
number(s) dialed.
Safeguards:
Access control mechanisms restrict access to authorized
personnel. Passwords restrict access to sensitive information based
upon level of authorization. Audit trails provide an additional level
of security. The file used to set passwords is encrypted and may only
be accessed by those with the highest level of authorization.
Retention and disposal:
Backup is done monthly on disk, which are retained for three
years. After three years the information on the disks is deleted and
the disk re-used for backup. Disks that are no longer usable are
destroyed.
System manager(s) and address:
Director, Division of Support Services, Board of Governors of the
Federal Reserve System, 20th Street & Constitution Avenue NW.,
Washington, DC 20551.
Notification procedure:
Inquiries should be sent to the Secretary of the Board, Board of
Governors of the Federal Reserve System, 20th Street & Constitution
Avenue NW., Washington, DC 20551. The request must contain the
individual's name and the telephone number assigned to the individual
by the Board.
Record access procedures:
Same as ``Notification procedure'' above.
Contesting record procedures:
Same as ``Notification procedure'' above.
Record source categories:
Telephone assignment records; call detail listings; results of
administrative inquiries relating to assignment of responsibility for
placement of specific long distance and local calls.
Exemptions claimed for the system:
None.
BGFRS/SS-2
System name:
Staff Identification Card File.
Security classification:
None.
System location:
Division of Support Services, Board of Governors of the Federal
Reserve System, 20th Street & Constitution Avenue NW., Washington, DC
20551.
Categories of individuals covered by the system:
Board employees, consultants and contractors who have been issued
a Board identification card.
Categories of records in the system:
The system consists of a data base that contains an image of a
picture of the employee; the employee's name and employee number; and
authorization (if applicable) to use the exercise facilities,
computer room, Central Stock Room (CSR) or National Security
Information Processing Center (NSIPC). The data base records the
times of attempted and authorized access to and egress from the
Board's buildings using the identification card, use of the exercise
facilities, computer room, CSR and NSIPC. Records from the data base
may also be maintained in hard copy form.
Authority for maintenance of the system:
Sections 10 and 11 of the Federal Reserve Act, 12 U.S.C. 243 and
248(l).
Purpose(s):
To maintain security of the Board's premises against unauthorized
entry; to record entry to Board premises as well as entry into
secured areas by authorized personnel; to record departure from
secured areas after regular business hours; to control access to
certain areas within Board premises.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: To provide
information to:
(1) A Congressional office in response to an inquiry made at the
request of the individual to whom the record pertains.
(2) Representatives of the National Archives and Records
Administration who are conducting records management inspections.
(3) A court, magistrate, or administrative tribunal in the course
of presenting evidence, including disclosures to counsel or witnesses
in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings.
(4) Board security staff for security purposes, or to determine
whether an individual had entered the Board on a particular day or
had exited the Board after regular business hours.
(5) The system manager to determine compliance with the Board's
rules regarding car pools and parking permits for the Board's
garages.
(6) The Board's Health Unit to determine usage of the exercise
facility for purposes of safety, program planning and space
allocation.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Electronic information is stored on disk or on tape. Hard copy
records are secured in a fire proof safe.
Retrievability:
Information is retrieved by name of individual issued the
identification card, employee number, or card credential number.
Safeguards:
Security passwords restrict access to authorized personnel.
Different levels of access are provided based upon the authorization.
The file used to set the passwords is encrypted and may only be
accessed by those with the highest level of authorization.
Retention and disposal:
Backup of log files is done daily. Tape and/or disk backup are
done monthly and maintained for a period of two years.
System manager(s) and address:
Director, Division of Support Services, Board of Governors of the
Federal Reserve System, 20th Street & Constitution Avenue, NW.,
Washington, DC 20551.
Notification procedure:
Inquiries should be sent to the Secretary of the Board, Board of
Governors of the Federal Reserve System, 20th and Constitution
Avenue, NW., Washington, DC 20551.
Record access procedures:
Same as ``Notification procedure'' above.
Contesting record procedures:
Same as ``Notification procedure'' above.
Record source categories:
Personnel information is obtained from the Board's personnel
records and/or from the individual being issued the identification
card. Information regarding entry into and egress from Board premises
or secured areas is obtained from use of the card to open the doors.
Authorization for access to secured facilities on Board premises is
provided by the Board official responsible for that secured facility.
Exemptions claimed for the system:
None.
BGFRS/SS-3
System name:
Staff Parking Permit File.
Security classification:
None.
System location:
Division of Support Services, Board of Governors of the Federal
Reserve System, 20th Street & Constitution Avenue, NW., Washington,
DC 20551.
Categories of individuals covered by the system:
Board employees, consultants and contractors who have applied for
and/or been issued a parking permit for the Board's garages.
Categories of records in the system:
The system contains completed parking application forms (FR
1103), disability parking applications, and contingency parking
requests submitted by employees; unusual-work-demand permit, and
special contingency parking authorizations submitted by division
directors; requests for parking for official visitors and
contractors; notifications of lost permits; a listing of permit
numbers assigned to car pools, van pools and individual employees;
investigations made of compliance with the Board's Parking
Regulations; and official actions taken as a result of violation of
the Board's Parking Regulations.
Authority for maintenance of the system:
Sections 10 and 11 of the Federal Reserve Act, 12 U.S.C. 243 and
248(l).
Purpose(s):
To allocate usage of the limited number of parking spaces in the
Board's garages among Board staff, visitors and contractors; to
enforce the Board's Parking Regulations for safe usage of the
garages.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
(1) To provide information to a Congressional office in response
to an inquiry made at the request of the individual to whom the
record pertains.
(2) To investigate possible violations of the Board's Parking
Regulations.
(3) To determine eligibility for a parking permit.
(4) To determine eligibility for a public transit subsidy
payment.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Electronic information is stored on tape and secured in a fire-
proof safe. Hard copies are stored in a locked file cabinet.
Retrievability:
Information is retrieved by name of individual, employee
identification number, or license tag number.
Safeguards:
Access control mechanisms restrict access to authorized
personnel. Passwords restrict access to sensitive information based
upon level of authorization. The file used to set passwords is
encrypted.
Retention and disposal:
Retention of personnel data is maintained until separation from
the Board. Backup of files is done daily. Backup tapes and disks are
destroyed when no longer needed. Hard copy files are shredded when no
longer needed.
System manager(s) and address:
Director, Division of Support Services, Board of Governors of the
Federal Reserve System, 20th Street & Constitution Avenue, NW.,
Washington, DC 20551.
Notification procedure:
Inquiries should be sent to the Secretary of the Board, Board of
Governors of the Federal Reserve System, 20th Street & Constitution
Avenue, NW., Washington, DC 20551.
Record access procedures:
Same as ``Notification procedure'' above.
Contesting record procedures:
Same as ``Notification procedure'' above.
Record source categories:
Information is obtained from the parking permit applications,
authorizations and requests; and from written investigations of
possible violations of the Board's Parking Regulations.
Exemptions claimed for the system:
None.
FEDERAL RESERVE SYSTEM
FEDERAL RESERVE SYSTEM
12 CFR PART 261a--RULES REGARDING ACCESS TO PERSONAL INFORMATION UNDER
THE PRIVACY ACT OF 1974
Subpart A--General Provisions
Sec.
261a.1 Authority, purpose and scope.
261a.2 Definitions.
261a.3 Custodian of records; delegations of authority.
261a.4 Fees.
Subpart B--Procedures for Requests by Individual to Whom Record Pertains
261a.5 Request for access to record.
261a.6 Board procedures for responding to request for access.
261a.7 Special procedures for medical records.
261a.8 Request for amendment to record.
261a.9 Agency review of request for amendment of record.
261a.10 Appeal of adverse determination of request for access or
amendment.
Subpart C--Disclosure to Person Other than Individual to Whom Record
Pertains
261a.11 Restrictions on disclosure.
261a.12 Exceptions.
Subpart D--Exempt Records
Sec.
261a.13 Exemptions.
Authority: 5 U.S.C. 552a.
Source: 60 FR 3341, Jan. 17, 1995, unless otherwise noted.
Subpart A--General Provisions
Sec. 261a.1 Authority, purpose and scope.
(a) Authority. This part is issued by the Board of Governors of the
Federal Reserve System (the Board) pursuant to the Privacy Act of 1974
(5 U.S.C. 552a).
(b) Purpose. The purpose of this part is to implement the provisions
of the Privacy Act of 1974 (5 U.S.C. 552a) with regard to the
maintenance, protection, disclosure, and amendment of records contained
within systems of records maintained by the Board.
(c) Scope. This part covers requests for access to, or amendment of,
records concerning individuals that are contained in systems of records
maintained by the Board.
Sec. 261a.2 Definitions.
For the purposes of this part, the following definitions apply:
(a) Business day means any day except Saturday, Sunday or a legal
Federal holiday.
(b) Designated system of records means a system of records maintained
by the Board that has been listed in the Federal Register pursuant to
the requirements of 5 U.S.C. 552a(e).
(c) Guardian means the parent of a minor, or the legal guardian of any
individual who has been declared to be incompetent due to physical or
mental incapacity or age by a court of competent jurisdiction.
(d) Individual means a natural person who is either a citizen of the
United States or an alien lawfully admitted for permanent residence.
(e) Maintain includes maintain, collect, use, disseminate, or control.
(f) Record means any item, collection, or grouping of information
about an individual maintained by the Board that contains the
individual's name, or the identifying number, symbol, or other
identifying particular assigned to the individual, such as a
fingerprint, voice print, or photograph.
(g) Routine use means, with respect to disclosure of a record, the use
of such record for a purpose that is compatible with the purpose for
which it was collected or created.
(h) System of records means a group of any records under the control
of the Board from which information is retrieved by the name of the
individual or by some identifying number, symbol, or other identifying
particular assigned to the individual.
Sec. 261a.3 Custodian of records; delegations of authority.
(a) Custodian of records. The Secretary of the Board is the official
custodian of all records of the Board in the possession or control of
the Board.
(b) Delegated authority of Secretary. With regard to this regulation,
the Secretary of the Board is delegated the authority to:
(1) Respond to requests for access or amendment to records contained
in a system of records, except for such requests regarding systems of
records maintained by the Board's Office of the Inspector General (OIG);
(2) Approve the publication of new systems of records and amend
existing systems of records, except systems of records exempted pursuant
to Secs. 261a.13(b), (c) and (d);
(3) File the biennial reports required by the Privacy Act.
(c) Delegated authority of designee. Any action or determination
required or permitted by this part to be done by the Secretary of the
Board may be done by an Associate Secretary or other responsible
employee of the Board who has been duly designated for this purpose by
the Secretary.
(d) Delegated authority of Inspector General. With regard to systems
of records maintained by the OIG, the Inspector General is delegated the
authority to respond to requests for access or amendment.
Sec. 261a.4 Fees.
(a) Copies of records. Copies of records requested pursuant to
Sec. 261a.5 of this part shall be provided at the same cost charged for
duplication of records and/or production of computer output under the
Board's Rules Regarding Availability of Information, Sec. 261.10 of this
part.
(b) No fee. Documents may be furnished without charge where total
charges are less than $5.
(c) Waiver of fees. In connection with any request by an employee,
former employee, or applicant for employment, for records for use in
prosecuting a grievance or complaint of discrimination against the
Board, fees shall be waived where the total charges (including charges
for information provided under the Freedom of Information Act) are $50
or less; but the Secretary may waive fees in excess of that amount.
Subpart B--Procedures for Requests by Individual to Whom Record
Pertains
Sec. 261a.5 Request for access to record.
(a) Procedures for making request. (1) Any individual (or guardian of
an individual) other than a current Board employee desiring to learn of
the existence of, or to gain access to, his or her record in a
designated system of records shall submit a request in writing to the
Secretary of the Board, Board of Governors of the Federal Reserve
System, 20th and Constitution Avenue NW., Washington, DC 20551.
(2) A request by a current Board employee for that employee's own
personnel records may be made in person during regular business hours at
the Division of Human Resources, Board of Governors of the Federal
Reserve System, 20th and Constitution Avenue NW., Washington, DC 20551.
(3) A request by a current Board employee for information other than
personnel information may be made in person during regular business
hours at the Freedom of Information Office, Board of Governors of the
Federal Reserve System, 20th and Constitution Avenue NW., Washington, DC
20551.
(4) Requests for information contained in a system of records
maintained by the Board's OIG shall be submitted in writing to the
Inspector General, Board of Governors of the Federal Reserve System,
20th and Constitution Avenue NW., Washington, DC 20551.
(b) Contents of request. A request made pursuant to paragraph (a) of
this section shall include the following:
(1) A statement that it is made pursuant to the Privacy Act of 1974;
(2) The name of the system of records expected to contain the record
requested or a concise description of such system of records.
(3) Necessary information to verify the identity of the requester
pursuant to paragraph (c) of this section; and
(4) Any other information that may assist in the rapid identification
of the record for which access is being requested (e.g., maiden name,
dates of employment, etc.).
(c) Verification of identity. The Board shall require proof of
identity from a requester and reserves the right to determine the
adequacy of such proof. In general, the following shall be considered
adequate proof of identity:
(1) For a current Board employee, his or her Board identification
card; or
(2) For an individual other than a current Board employee, either:
(i) Two forms of identification, one of which has a picture of the
individual requesting access; or
(ii) A notarized statement attesting to the identity of the requester.
(d) Verification of identity not required. No verification of identity
shall be required of individuals seeking access to records that are
otherwise available to any person under 5 U.S.C. 552, Freedom of
Information Act.
(e) Request for accounting of previous disclosures. An individual
making a request pursuant to paragraph (a) of this section may also
include a request for an accounting (pursuant to 5 U.S.C. 552a(c)) of
previous disclosures of records pertaining to such individual in a
designated system of records.
Sec. 261a.6 Board procedures for responding to request for access.
(a) Compliance with Freedom of Information Act. Every request made
pursuant to Sec. 261a.5 of this part shall also be handled by the Board
as a request for information pursuant to the Freedom of Information Act
(5 U.S.C. 552), except that the time limits set forth in paragraph (b)
of this section and the fees specified in Sec. 261a.4 of this part shall
apply to such requests.
(b) Time limits. Every request made pursuant to Sec. 261a.5 of this
part shall be acknowledged or, where practicable, substantially
responded to within 10 business days from receipt of the request.
(c) Disclosure. (1) Information to be disclosed pursuant to this part
and the Privacy Act, except for information maintained by the Board's
OIG, shall be made available for inspection and copying during regular
business hours at the Board's Freedom of Information Office.
(2) Information to be disclosed that is maintained by the Board's OIG
shall be made available for inspection and copying at the OIG.
(3) When the requested record cannot reasonably be put into a form for
individual inspection (e.g., computer tapes), or when the requester asks
that the information be forwarded, copies of such information shall be
mailed to the requester.
(4) Access to or copies of requested information shall be promptly
provided after the acknowledgement as provided in paragraph (b) of this
section, unless good cause for delay is communicated to the requester.
(d) Other authorized presence. The requester of information may be
accompanied in the inspection of that information by a person of the
requester's own choosing upon the requester's submission of a written
and signed statement authorizing the presence of such person.
(e) Denial of request. A denial of a request made pursuant to
Sec. 261a.5 of this part shall include a statement of the reason(s) for
denial and the procedures for appealing the denial.
Sec. 261a.7 Special procedures for medical records.
Medical or psychological records requested pursuant to Sec. 261a.5 of
this part shall be disclosed directly to the requester unless such
disclosure could, in the judgment of the Privacy Officer, in
consultation with the Board's physician, have an adverse effect upon the
requester. Upon such determination, the information shall be transmitted
to a licensed physician named by the requester, who will disclose those
records to the requester in a manner the physician deems appropriate.
Sec. 261a.8 Request for amendment of record.
(a) Procedures for making request. (1) An individual desiring to amend
a record in a designated system of records that pertains to him or her
shall submit a request in writing to the Secretary of the Board (or to
the Inspector General for records in a system of records maintained by
the OIG) in an envelope clearly marked ``Privacy Act Amendment
Request.''
(2) Each request for amendment of a record shall:
(i) Identify the system of records containing the record for which
amendment is requested;
(ii) Specify the portion of that record requested to be amended; and
(iii) Describe the nature of and reasons for each requested amendment.
(3) Each request for amendment of a record shall be subject to
verification of identity under the procedures set forth in
Sec. 261a.5(c) of this part, unless such verification has already been
made in a related request for access or amendment.
(b) Burden of proof. The request for amendment of a record shall set
forth the reasons the individual believes the record is not accurate,
relevant, timely, or complete. The burden of proof for demonstrating the
appropriateness of the requested amendment rests with the requester, and
the requester shall provide relevant and convincing evidence in support
of the request.
Sec. 261a.9 Board review of request for amendment of record.
(a) Time limits. The Board shall acknowledge a request for amendment
of a record within 10 business days of receipt of the request. Such
acknowledgement may request additional information necessary for a
determination on the request for amendment. To the extent possible, a
determination upon a request to amend a record shall be made within 10
business days after receipt of the request.
(b) Contents of response to request for amendment. The response to a
request for amendment shall include the following:
(1) The decision to grant or deny, in whole or in part, the request
for amendment; and
(2) If the request is denied:
(i) The reasons for denial of any portion of the request for
amendment;
(ii) The requester's right to appeal any denial; and
(iii) The procedures for appealing the denial to the appropriate
official.
Sec. 261a.10 Appeal of adverse determination of request for access
or amendment.
(a) Appeal. A requester may appeal a denial of a request made pursuant
to Sec. 261a.5 or Sec. 261a.8 of this part to the Board, or any official
designated by the chairman of the Board, within 10 business days of
issuance of notification of denial. The appeal shall:
(1) Be made in writing to the Secretary of the Board, with the words
``PRIVACY ACT APPEAL'' written prominently on the first page;
(2) Specify the previous background of the request; and
(3) Provide reasons why the initial denial is believed to be in error.
(b) Determination. The Board or an official designated by the Chairman
of the Board shall make a determination with respect to such appeal not
later than 30 business days from its receipt, unless the time is
extended for good cause shown.
(1) If the Board or designated official grants an appeal regarding a
request for amendment, the Board shall take the necessary steps to amend
the record, and, when appropriate and possible, notify prior recipients
of the record of the Board's action.
(2) If the Board or designated official denies an appeal, the Board
shall inform the requester of such determination, give a statement of
the reasons therefor, and inform the requester of the right of judicial
review of the determination.
(c) Statement of disagreement. (1) Upon receipt of a denial of an
appeal regarding a request for amendment, the requester may file a
concise statement of disagreement with the denial. Such statement shall
be maintained with the record the requester sought to amend, and any
disclosure of the record shall include a copy of the statement of
disagreement.
(2) When practicable and appropriate, the Board shall provide a copy
of the statement of disagreement to any person or other agency to whom
the record was previously disclosed.
Subpart C--Disclosure to Person Other Than Individual to Whom Record
Pertains
Sec. 261a.11 Restrictions on disclosure.
No record contained in a designated system of records shall be
disclosed to any person or agency without the prior written consent of
the individual to whom the record pertains unless the disclosure is
authorized by Sec. 261a.12 of this part.
Sec. 261a.12 Exceptions.
The restrictions on disclosure in Sec. 261a.11 of this part do not
apply to any disclosure:
(a) To those officers and employees of the Board who have a need for
the record in the performance of their duties;
(b) That is required under the Freedom of Information Act (5 U.S.C.
552);
(c) For a routine use listed with respect to a designated system of
records;
(d) To the Bureau of the Census for purposes of planning or carrying
out a census or survey or related activity pursuant to the provisions of
title 13 of the United States Code;
(e) To a recipient who has provided the Board with advance adequate
written assurance that the record will be used solely as a statistical
research or reporting record, and the record is to be transferred in a
form that is not individually identifiable;
(f) To the National Archives of the United States as a record that has
sufficient historical or other value to warrant its continued
preservation by the United States government, or for evaluation by the
administrator of General Services or his designee to determine whether
the record has such value;
(g) To another agency or to an instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity if the activity is authorized
by law, and if the head of the agency or instrumentality has made a
written request to the Board specifying the particular portion desired
and the law enforcement activity for which the record is sought;
(h) To a person pursuant to a showing of compelling circumstances
affecting the health or safety of an individual if upon such disclosure
notification is transmitted to the last known address of such
individual;
(i) To either House of Congress, or, to the extent of matter within
its jurisdiction, any committee or subcommittee thereof, any joint
committee of Congress or subcommittee of any such joint committee;
(j) To the Comptroller General, or any of his authorized
representatives, in the course of the performance of the duties of the
General Accounting Office;
(k) Pursuant to the order of a court of competent jurisdiction; or
(l) To a consumer reporting agency in accordance with 31 U.S.C.
3711(f).
Subpart D--Exempt Records
Sec. 261a.13 Exemptions.
(a) Information compiled for civil action. Nothing in this regulation
shall allow an individual access to any information compiled in
reasonable anticipation of a civil action or proceeding.
(b) Law enforcement information. Pursuant to section (k)(2) of the
Privacy Act of 1974 (5 U.S.C. 552a(k)(2)), the Board has deemed it
necessary to exempt certain designated systems of records maintained by
the Board from the requirements of the Privacy Act concerning access to
accountings of disclosures and to records, maintenance of only relevant
and necessary information in files, and certain publication provisions,
respectively, 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (H) and (I),
and (f), and Secs. 261a.5, 261a.7 and 261a.8 of this part. Accordingly,
the following designated systems of records are exempt from these
provisions, but only to the extent that they contain investigatory
materials compiled for law enforcement purposes:
(1) BGFRS-1 Recruiting and Placement Records.
(2) BGFRS-2 Personnel Background Investigation Reports.
(3) BGFRS-4 General Personnel Records.
(4) BGFRS-5 EEO Discrimination Complaint File.
(5) BGFRS-9 Consultant and Staff Associate File.
(6) BGFRS-16 Regulation G Reports.
(7) BGFRS-18 Consumer Complaint Information System.
(8) BGFRS-21 Supervisory Tracking and Reference System.
(9) BGFRS/OIG-1 OIG Investigatory Records.
(c) Confidential references. Pursuant to section (k)(5) of the Privacy
Act of 1974 (5 U.S.C. 552a(k)(5)), the Board has deemed it necessary to
exempt certain designated systems of records maintained by the Board
from the requirements of the Privacy Act concerning access to
accountings of disclosures and to records, maintenance of only relevant
and necessary information in files, and certain publication provisions,
respectively 5 U.S.C. 552a(c)b(3), (d), (e)(1), (e)(4)(G), (H) and (I),
and (f), and Secs. 261a.5, 261a.7 and 261a.8 of this part. Accordingly,
the following systems of records are exempt from these provisions, but
only to the extent that they contain investigatory material compiled to
determine an individual's suitability, eligibility, and qualifications
for Board employment or access to classified information, and the
disclosure of such material would reveal the identity of a source who
furnished information to the Board under a promise of confidentiality.
(1) BGFRS-1 Recruiting and Placement Records.
(2) BGFRS-2 Personnel Background Investigation Reports.
(3) BGFRS-4 General Personnel Records.
(4) BGFRS-9 Consultant and Staff Associate File.
(5) BGFRS-10 General File on Board Members.
(6) BGFRS-11 Official General Files.
(7) BGFRS-13 General File of Examiners and Assistant Examiners at
Federal Reserve Banks.
(8) BGFRS-14 General File of Federal Reserve Bank and Branch
Directors.
(9) BGFRS-15 General Files of Federal Reserve Agents, Alternates and
Representatives at Federal Reserve Banks.
(10) BGFRS/OIG-2 OIG Personnel Records.
(d) Criminal law enforcement information. Pursuant to 5 U.S.C.
552a(j)(2), the Board has determined that portions of the OIG
Investigatory Records (BGFRS/OIG-1) shall be exempt from any part of the
Privacy Act (5 U.S.C. 552a), except the provisions regarding disclosure,
the requirement to keep an accounting, certain publication requirements,
certain requirements regarding the proper maintenance of systems of
records, and the criminal penalties for violation of the Privacy Act,
respectively, 5 U.S.C. 552a (b), (c)(1), and (2), (e)(4) (A) through
(F), (e)(6), (e)(7), (e)(9), (e)(10), (e)(11) and (i). This designated
system of records is maintained by the OIG, a Board component that
performs as its principal function an activity pertaining to the
enforcement of criminal laws. The exempt portions of the records consist
of:
(1) Information compiled for the purpose of identifying individual
criminal offenders and alleged offenders;
(2) Information compiled for the purpose of a criminal investigation,
including reports of informants and investigators, and associated with
an identifiable individual; or
(3) Reports identifiable to an individual compiled at any stage of the
process of enforcement of the criminal laws from arrest or indictment
through release from supervision.