The systems of records may refer to the following general routine uses:

System name. FRB—Recruiting, Placement, and Onboarding Records

Security classification. Unclassified.

System location. Records will be maintained at the Board’s central offices located at: Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue NW, Washington, DC 20551. Copies of resumes, applications, supporting documentation, and other information may also be stored by the hiring managers in their respective Board offices and electronic systems. Some of the records are stored by the Board’s contractor, Oracle Corporation, located at 500 Oracle Parkway, Redwood Shores, CA 94065.

System manager(s). The managers are located at the Board’s central offices in Washington, DC. The system manager for records for all positions other than those involving the recruitment of economist or research assistant positions at the Board is Lewis Andrews, Senior Manager, Human Resources Analytics, Systems and Operations, Management Division, (202) 452-3082, or lewis.e.andrews@ frb.gov. The system manager for records involving the recruitment of economist or research assistant positions at the Board is Lil Shewmaker, Assistant Director, Division of Research and Statistics, (202) 452-3377, or lil.shewmaker@frb.gov.

Authority for maintenance of the system. Sections 10 and 11 of the Federal Reserve Act (12 U.S.C. 244 and 248(l)) and Executive Order 9397.

Purpose(s) of the system. These records are collected and maintained to assist the Board in recruiting and hiring individuals for Board employment and onboarding prospective employees. The records will also assist the Board in retaining qualified employees and allow the Board to periodically review its hiring practices.

Categories of individuals covered by the system. Persons who seek employment with the Board and prospective Board employees.

Categories of records in the system. Records in the system include resumes, applications, and supporting documentation submitted by persons seeking employment; information from job fairs; job referrals; notes from interviews; notes on references; onboarding information from prospective employees; offer letters; and other recruiting related documentation, including verification of education, previous government service, and/or military status. The records also include information regarding access to and use of the electronic systems. Certain information is also retained to enable the Board’s Office of Diversity and Inclusion to monitor and track the Board’s recruiting and hiring performance. Ethics-related information including potential conflicts are retained for compliance with the Board’s ethics program requirements.

Record source categories. Information is provided by the individual to whom the record pertains; the individual’s references and former employers; Board staff such as recruiters, interviewers, or contractors; job referrals; and official transcripts and other documentation from schools identified by the individual.

Routine uses of records maintained in the system, including categories of users and purposes of such uses. General routine uses A, B, C, D, E, F, G, H, I, and J apply to this system. These general routine uses are located at https://www.federalreserve.gov/files/SORN-page-general-routine-uses-of-board-systems-of-records.pdf and are published in the Federal Register at 83 Fed Reg. 43,872, 43,873–74 (August 28, 2018). In addition, records may also be used 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 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 benefit.

Policies and practices for storage of records. Paper records in this system are stored in file folders with access limited to staff with a need to know. Electronic records are stored on a secure server with access limited to staff with a need to know.

Policies and practices for retrieval of records. Paper and electronic records can be retrieved by name or other personal identifiers.

Policies and practices for retention and disposal of records. The Board is presently re-evaluating the retention schedule for application records and until the existing retention period is confirmed as appropriate or a new retention period is set, the Board will maintain the records. The Board will maintain onboarding materials for prospective employees who do not enter on duty for one year, in accordance with GRS 2.1 item 142. Relevant application records for applicants who are hired are kept in the employee’s official personnel file and maintained in accordance with the System of Records entitled BGFRS-4 “FRB—General Personnel Records.” Ethics-related records for applicants who are hired may be maintained in accordance with the System of Records entitled BGFRS-41 “FRB—Ethics Program Records.” Onboarding records for hires who become employees of the Board are maintained in accordance with the respective Board system of records for the records including BGFRS-4 “FRB—General Personnel Records,” BGFRS-7 “FRB—Payroll and Leave Records,” BGFRS-24 “FRB—EEO General Files,” and BGFRS-34 “FRB—ESS Staff Identification Card File.”

Administrative, technical, and physical safeguards. Paper records are secured by lock and key and electronic files are stored on secure servers. The system has the ability to track individual user actions within the system. The audit and accountability controls are based on NIST and Board standards which, in turn, are based on applicable laws and regulations. The controls assist in detecting security violations and performance or other issues in the system. Access to the system is restricted to authorized users within the Board who require access for official business purposes. Users are classified into different roles and common access and usage rights are established for each role. User roles are used to delineate between the different types of access requirements such that users are restricted to data that is required in the performance of their duties. Periodic assessments and reviews are conducted to determine whether users still require access, have the appropriate role, and whether there have been any unauthorized changes.

Record access procedures. The Privacy Act allows individuals the right to access records maintained about them in a Board system of records. Your request for access must: (1) contain a statement that the request is made pursuant to the Privacy Act of 1974; (2) provide either the name of the Board system of records expected to contain the record requested or a concise description of the system of records; (3) provide the information necessary to verify your identity; and (4) provide any other information that may assist in the rapid identification of the record you seek.

Contesting record procedures. The Privacy Act allows individuals to seek amendment of information that is erroneous, irrelevant, untimely, or incomplete and is maintained in a system of records that pertains to them. To request an amendment to your record, you should clearly mark the request as a “Privacy Act Amendment Request.” You have the burden of proof for demonstrating the appropriateness of the requested amendment and you must provide relevant and convincing evidence in support of your request.

Notification procedures. Same as “Access procedures” above. You may also follow this procedure in order to request an accounting of previous disclosures of records pertaining to you as provided for by 5 U.S.C. 552a(c).

Exemptions promulgated for the system. Certain portions of this system of records may be exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) of the Privacy Act pursuant to subsections 5 U.S.C. 552a(k)(2) and (k)(5).

History. This SORN was previously published in the Federal Register at 81 FR 39923 (June 20, 2016) and 73 FR 24984 at 24987 (May 6, 2008). The SORN was also amended to incorporate two new routine uses required by OMB at 83 FR 43872 (August 28, 2018).

System name. FRB—Personnel Security Systems

System location.

Categories of individuals covered by the system. Past and present employees of the Board of Governors; and Federal Reserve System employees, contractors, employees of contractors, experts, instructors, and consultants to the Board considered for access to classified information or restricted areas or for security determinations; and 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.

Categories of records in the system. Investigative information (including personal identifiable information) regarding an individual’s character, financial responsibility, conduct, and/or behavior; arrests and convictions for any violations of law; reports of interviews with former supervisors, coworkers, associates, educators, etc.; reports about the qualifications of an individual for a specific position; reports of inquiries with law enforcement agencies; former employers; educational institutions attended; and other information developed from the above. This system does not include investigative reports provided by OPM. Investigative reports provided by OPM are maintained in a government-wide system of records (OPM/CENTRAL-9) and requests for access to or amendment of such reports should be made to the Federal Investigations Processing Center.

Authority for maintenance of the system. Sections 10 and 11 of the Federal Reserve Act (12 USC 243 and 248), and Executive Order 9397.

Purpose(s). These records are collected and maintained to assist the Board in making suitability determinations.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses. General routine uses A, B, C, D, G, and I apply to this system. Records may also be used—

System name. FRB—Medical Records

Security classification. Unclassified.

System location.

Certain records are also maintained on the Board’s behalf by Medical Advisory Services, 1140 19th Street NW, Suite 700, Washington, DC 20036 and Workpartners, 600 Grant Street, 8th Floor, Pittsburgh, PA 15219.

System manager(s).

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

Purpose(s) of the system. These records are collected and maintained to assist the Board in determining an employee’s fitness for duty and eligibility for benefits based on medical information, to respond to reasonable accommodation requests, to assist the Board in providing a safe and healthy working environment, and to comply with Executive Order 12564, Drug-Free Federal Workplace.

Categories of individuals covered by the system. Past and present Board employees, contractors, candidates for Board employment, and members of the public.

Categories of records in the system. The majority of records are maintained by the Board’s vendor on behalf of the Board and relate to occupational medical examinations of current and prospective employees, including employees subject to fit-for-duty requirements, and the drug testing of current and prospective employees under the Board’s Drug-Free Workplace Plan. The Board’s vendor also maintains historical records relating to the preventive health screenings that the Board previously offered employees through its now-defunct in-house health unit. The Board’s Management Division maintains medical records that an employee, contractor, applicant, or other individual may provide directly to the Board, including records relating to certain sick leave and other leave requests and reasonable accommodation requests. The Management Division also maintains information regarding any failed drug testing administered by the Board’s vendor and information regarding whether an employee or applicant has passed or failed the medical examinations administered by the Board’s vendor.

Record source categories. Information may be provided by the individual to whom the record pertains, medical professionals, and diagnostic laboratories.

Routine uses of records maintained in the system, including categories of users and purposes of such uses. General routine uses A, B, C, D, F, G, H, I, and J apply to this system. These general routine uses are located at https://www.federalreserve.gov/files/SORN-page-general-routine-uses-of-board-systems-of-records.pdf and are published in the Federal Register at 83 Fed. Reg. 43,872, 43,873-74 (August 28, 2018). Employee medical information that is obtained under the Rehabilitation Act may be used only in accordance with the confidentiality provisions of the Rehabilitation Act. Records may also be used:

Policies and practices for storage of records. Paper records in this system are stored in locked file cabinets with access limited to staff with a need to know. Electronic records are stored on secure servers with access limited to staff with a need to know.

Policies and practices for retrieval of records. Records can be retrieved by name.

Policies and practices for retention and disposal of records. Records pertaining to occupational medical examination of employees are retained for 30 years after the employee’s separation or when the Official Personnel Folder (OPF) is destroyed, whichever is longer. All medical records of applicants who do not become Board employees are destroyed 3 years after the end of the year in which the position is filled or the vacancy announcement is closed, whichever is later, unless longer retention is authorized for business use. Medical records relating to reasonable accommodation requests are retained 3 years after employee separation from the Board or when all appeals are concluded whichever is later, but longer retention is authorized if required for business use. Records of positive drug test results in connection with drug testing of employees are destroyed when the employee leaves the Board or when 3 years old, whichever is later. Other medical records are generally destroyed when 3 years old in accordance with applicable records schedules.

Administrative, technical, and physical safeguards. Electronic files are stored on secure servers. The system has the ability to track individual user actions within the system. The audit and accountability controls are based on NIST and Board standards which, in turn, are based on applicable laws and regulations. The controls assist in detecting security violations and performance or other issues in the system. Access to the system is restricted to authorized users within the Board who require access for official business purposes. Users are classified into different roles and common access and usage rights are established for each role. User roles are used to delineate between the different types of access requirements such that users are restricted to data that is required in the performance of their duties. Periodic assessments and reviews are conducted to determine whether users still require access, have the appropriate role, and whether there have been any unauthorized changes.

Record access procedures. The Privacy Act allows individuals the right to access records maintained about them in a Board system of records. Your request for access must: (1) contain a statement that the request is made pursuant to the Privacy Act of 1974; (2) provide either the name of the Board system of records expected to contain the record requested or a concise description of the system of records; (3) provide the information necessary to verify your identity; and (4) provide any other information that may assist in the rapid identification of the record you seek.

Contesting record procedures. The Privacy Act allows individuals to seek amendment of information that is erroneous, irrelevant, untimely, or incomplete and is maintained in a system of records that pertains to them. To request an amendment to your record, you should clearly mark the request as a “Privacy Act Amendment Request.” You have the burden of proof for demonstrating the appropriateness of the requested amendment and you must provide relevant and convincing evidence in support of your request.

Notification procedures. Same as “Access procedures” above. You may also follow this procedure in order to request an accounting of previous disclosures of records pertaining to you as provided for by 5 U.S.C. 552a(c).

Exemptions promulgated for the system. None.

History. This SORN was previously published in the Federal Register at 73 Fed. Reg. 24,984, 24,988 (May 6, 2008). The SORN was also amended to incorporate two new routine uses required by OMB at 83 Fed. Reg. 43,872 (August 28, 2018).

System name. FRB—General Personnel Records

System location.

Categories of individuals covered by the system. Past and present employees of the Board, and the surviving spouses and children of former Board employees.

Categories of records in the system. Information relating to employment determinations; salary and job classification actions; leave; placement; personnel actions; academic assistance; training and development activities; PMP ratings (but not the actual PMP form); minority group and medical disability designators; records relating to benefits and designation of beneficiary; emergency contact information; address and name changes; information concerning awards; and other information relating to the status of the individual while employed by the Board, including records of jury duty by the employee. All categories of records may include identifying information, such as name, date of birth, home address, mailing address, Social Security number, and personal telephone numbers.

Authority for maintenance of the system. Sections 10 and 11 of the Federal Reserve Act (12 USC 244 and 248), and Executive Order 9397.

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. General routine uses A, B, C, D, E, F, G, H, and I apply to this system. Records may also be used—

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system.

System manager and address.

Notification procedures. An individual desiring to learn of the existence of, or to gain access to, his or her record in this system of records shall submit a request in writing to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue NW, Washington, DC 20551. The request should contain (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, and (4) any other information that may assist in the rapid identification of the record for which access is being requested.

Record access procedures. Same as “Notification procedures” above.

Contesting record procedures. Same as “Notification procedures” above except that the envelope should be clearly marked “Privacy Act Amendment Request.” The request for amendment of a record should (1) identify the system of records containing the record for which amendment is requested, (2) specify the portion of that record requested to be amended, and (3) describe the nature of and reasons for each requested amendment.

Record source categories. Information is provided by the individual to whom it applies (or is derived from the information the individual supplied); Board officials; the 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.

Exemptions claimed for the system. Certain portions of this system of records may be exempt from 5 USC 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) of the Privacy Act pursuant to 5 USC 552a(k)(2) and (k)(5).

System name. FRB—EEO Discrimination Complaint File

System location.

Categories of individuals covered by the system. Applicants for Board employment, and past and present Board employees who have filed a complaint of discrimination or appealed a determination made by an official of the Board relating to equal employment opportunities.

Categories of records in the system. 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. Sections 10 and 11 of the Federal Reserve Act (12 USC 244 and 248).

Purpose(s). These records are collected and maintained 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.

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:

System manager and address.

Notification procedures. An individual desiring to learn of the existence of, or to gain access to, his or her record in this system of records shall submit a request in writing to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue NW, Washington, DC 20551. The request should contain (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, and (4) any other information that may assist in the rapid identification of the record for which access is being requested.

Record access procedures. Same as “Notification procedures” above.

Contesting record procedures. Same as “Notification procedures” above except that the envelope should be clearly marked “Privacy Act Amendment Request.” The request for amendment of a record should (1) identify the system of records containing the record for which amendment is requested, (2) specify the portion of that record requested to be amended, and (3) describe the nature of and reasons for each requested amendment.

Record source categories. Information is provided by the individual to whom the record pertains, Board employees, testimonies of witnesses, official documents relating to the appeal, grievance, or complaints, and correspondence from organizations or persons.

Exemptions claimed for the system. Certain portions of this system of records may be exempt from 5 USC 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) of the Privacy Act pursuant to 5 USC 552a(k)(2).

System name. FRB—Disciplinary and Adverse Action Records

System location.

Categories of individuals covered by the system. Past and present Board employees (including special employees) who were or are involved in a disciplinary or adverse action.

Categories of records in the system. This system contains records and documents on the processing of adverse actions and disciplinary actions. The following categories of records are maintained in this system: copies of the notice of proposed action, materials relied on by the Board to support the reasons in the notice, replies by the employee, statements of witnesses, hearing notices, record of hearings, reports, appeals and related documents, Board decisions, and records related to the Personnel Placement Program.

Authority for maintenance of the system. Sections 10 and 11 of the Federal Reserve Act (12 USC 244 and 248).

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

Routine uses of records maintained in the system, including categories of users and the purposes of such uses. General routine uses A, B, C, D, E, F, G, H, and I apply to this system. Records may also be used—

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system.

System manager(s) and address.

Notification procedures. An individual desiring to learn of the existence of, or to gain access to, his or her record in this system of records shall submit a request in writing to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue NW, Washington, DC 20551. The request should contain (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, and (4) any other information that may assist in the rapid identification of the record for which access is being requested.

Record access procedures. Same as “Notification procedures” above.

Contesting record procedures. Same as “Notification procedures” above except that the envelope should be clearly marked “Privacy Act Amendment Request.” The request for amendment of a record should (1) identify the system of records containing the record for which amendment is requested, (2) specify the portion of that record requested to be amended, and (3) describe the nature of and reasons for each requested amendment.

Record source categories. Information is provided by the individual to whom the record pertains; Board officials; affidavits or statements from employees; testimonies of witnesses; official documents relating to an action, appeal, grievance, or complaint; and correspondence from specific organizations or persons.

Exemptions claimed for the system. None.

System name. FRB—Payroll and Leave Records

Security classification. Unclassified.

System location.

Records are also stored by the Board’s contractor, Workday, Inc., located at 6110 Stoneridge Mall Road, Pleasanton, CA 94588 and outside vendors for certain tax forms.

Authority for maintenance of the system. Sections 10 and 11 of the Federal Reserve Act (12 U.S.C. 244 and 248), and Executive Order 9397.

Purpose(s) of the system. These records are collected and maintained by the Board for payroll, attendance, leave, insurance, tax, retirement, budget, and financial reporting, and to facilitate compliance with statutory requirements.

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; any voluntary withholdings; tax forms; W–2 forms; overtime requests; leave data; leave entries for worker’s compensation data; leave records, including compensatory time, and codes indicating reasons for taking leave, such as family illness, or military leave.

Record source categories. Information is provided by the individual or his or her supervisor via various forms or systems reports such as federal, state, and local tax forms, employee authorizations and directives, insurance forms, leave and overtime reports, and federal and state garnishment forms.

Routine uses of records maintained in the system, including categories of users and purposes of such uses. General routine uses A, B, C, D, E, F, G, H, I, and J apply to this system. These general routine uses are located at https://www.federalreserve.gov/files/SORN-page-general-routine-uses-of-board-systems-of-records.pdf and are published in the Federal Register at 83 Fed. Reg. 43,872, 43,873–74 (August 28, 2018). Records may also be used:

Policies and practices for storage of records. Paper records in this system are stored in locked file cabinets with access limited to staff with a need to know. Electronic records are stored on a secure server with access limited to staff with a need to know.

Policies and practices for retrieval of records. Records can be retrieved by name, Social Security number, or employee identification number.

Policies and practices for retention and disposal of records. All records are retained for the appropriate period which ranges from one year from the date of annual audit or when six years old (whichever is sooner) to sixty-five years after separation or transfer of the employee.

Administrative, technical, and physical safeguards. Paper records are secured by lock and key and electronic files are stored on secure servers. The system has the ability to track individual user actions within the system. The audit and accountability controls are based on NIST and Board standards which, in turn, are based on applicable laws and regulations. The controls assist in detecting security violations and performance or other issues in the system. Access to the system is restricted to authorized users within the Board who require access for official business purposes. Users are classified into different roles and common access and usage rights are established for each role. User roles are used to delineate between the different types of access requirements such that users are restricted to data that is required in the performance of their duties. Periodic assessments and reviews are conducted to determine whether users still require access, have the appropriate role, and whether there have been any unauthorized changes.

Record access procedures. The Privacy Act allows individuals the right to access records maintained about them in a Board system of records. Your request for access must: (1) contain a statement that the request is made pursuant to the Privacy Act of 1974; (2) provide either the name of the Board system of records expected to contain the record requested or a concise description of the system of records; (3) provide the information necessary to verify your identity; and (4) provide any other information that may assist in the rapid identification of the record you seek.

Contesting record procedures. The Privacy Act allows individuals to seek amendment of information that is erroneous, irrelevant, untimely, or incomplete and is maintained in a system of records that pertains to them. To request an amendment to your record, you should clearly mark the request as a “Privacy Act Amendment Request.” You have the burden of proof for demonstrating the appropriateness of the requested amendment and you must provide relevant and convincing evidence in support of your request.

Notification procedures. Same as “Access procedures” above. You may also follow this procedure in order to request an accounting of previous disclosures of records pertaining to you as provided for by 5 U.S.C. 552a(c).

Exemptions promulgated for the system. None.

History. This SORN was previously published in the Federal Register at 73 Fed. Reg. 24,984 (May 6, 2008). The SORN was also amended to incorporate two new routine uses required by OMB at 83 Fed. Reg. 43,872 (August 28, 2018).

[Rescinded]

System name. FRB—Supplier Files

Security classification. Unclassified.

System location.

Some data will be hosted by third-party vendors, in government clouds managed by Workday and Coupa, located at 6110 Stoneridge Mall Road, Pleasanton, CA 94588 and 1855 S Grant Street, San Mateo, CA 94402, respectively.

Authority for maintenance of the system. Sections 10 and 11 of the Federal Reserve Act (12 U.S.C. 244 and 248), and Executive Order 9397.

Purpose(s) of the system. These records are collected and maintained to assist the Board in tracking and paying suppliers and completing reports for the Internal Revenue Service.

Categories of individuals covered by the system. Individuals who supply contracted goods and/or services to the Board, speakers, applicants, or other individuals to whom the Board provides reimbursement for fees, travel or other expenses (collectively referred to as “suppliers”).

Categories of records in the system. Supplier Information Form, W–9 Tax Identification Document, and any other information pertaining to the supplier’s status. The Supplier Information Form contains the following information: individual’s name, Social Security number or taxpayer identification number, address, telephone/fax numbers, email address, contact name/telephone number, supplier classification (such as vendor, speaker, or applicant), and EFT or wire bank information.

Record source categories. Information is provided by the individual to whom the record pertains and information from contract documents.

Routine uses of records maintained in the system, including categories of users and purposes of such uses. General routine uses A, C, D, G, I, and J apply to this system. These general routine uses are located at https://www.federalreserve.gov/files/SORN-page-general-routine-uses-of-board-systems-of-records.pdf and are published in the Federal Register at 83 Fed. Reg. 43,872, 43,873–74 (August 28, 2018). Records may also be used to disclose information to the Internal Revenue Service to report payments that may be considered income to the suppliers.

Policies and practices for storage of records. Paper records in this system are stored in locked file cabinets with access limited to staff with a need to know. Electronic records are stored on a secure server with access limited to staff with a need to know.

Policies and practices for retrieval of records. Paper records can be retrieved by a supplier’s name. Electronic records can be retrieved by name, Social Security number, taxpayer identification number, purchase order number, or other identifier.

Policies and practices for retention and disposal of records. Destroy six years after final payment or cancellation, but longer retention is authorized if required for business use. The final payment of cancellation is based on the final payment of the contract, and not each individual payment to the vendor.

Administrative, technical, and physical safeguards. Paper records are secured by lock and key and electronic files are stored on secure servers. The system has the ability to track individual user actions within the system. The audit and accountability controls are based on NIST and Board standards which, in turn, are based on applicable laws and regulations. The controls assist in detecting security violations and performance or other issues in the system. Access to the system is restricted to authorized users within the Board who require access for official business purposes. Users are classified into different roles and common access and usage rights are established for each role. User roles are used to delineate between the different types of access requirements such that users are restricted to data that is required in the performance of their duties. Periodic assessments and reviews are conducted to determine whether users still require access, have the appropriate role, and whether there have been any unauthorized changes.

Record access procedures. The Privacy Act allows individuals the right to access records maintained about them in a Board system of records. Your request for access must: (1) contain a statement that the request is made pursuant to the Privacy Act of 1974; (2) provide either the name of the Board system of records expected to contain the record requested or a concise description of the system of records; (3) provide the information necessary to verify your identity; and (4) provide any other information that may assist in the rapid identification of the record you seek.

Contesting record procedures. The Privacy Act allows individuals to seek amendment of information that is erroneous, irrelevant, untimely, or incomplete and is maintained in a system of records that pertains to them. To request an amendment to your record, you should clearly mark the request as a “Privacy Act Amendment Request.” You have the burden of proof for demonstrating the appropriateness of the requested amendment and you must provide relevant and convincing evidence in support of your request.

Notification procedures. Same as “Access procedures” above. You may also follow this procedure in order to request an accounting of previous disclosures of records pertaining to you as provided for by 5 U.S.C. 552a(c).

Exemptions promulgated for the system. None.

History. This SORN was previously published in the Federal Register at 73 Fed. Reg. 24,984, 24,994–95 (May 6, 2008). The SORN was also amended to incorporate two new routine uses required by OMB at 83 Fed. Reg. 43,872 (August 28, 2018).

System name. FRB—General Files on Board Members

System location.

Categories of individuals covered by the system. Past and present members of the Board.

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. Sections 10 and 11 of the Federal Reserve Act (12 USC 244 and 248).

Purpose(s). These records are collected and maintained to confirm the composition of the Board, length of term, appointments, succession, and biographical details.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses. General routine uses A, C, D, G, and I apply to this system. Records may also be used for background information to determine qualifications for appointment and reappointment, 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.

System manager and address.

Notification procedures. An individual desiring to learn of the existence of, or to gain access to, his or her record in this system of records shall submit a request in writing to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue NW, Washington, DC 20551. The request should contain (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, and (4) any other information that may assist in the rapid identification of the record for which access is being requested.

Record access procedures. Same as “Notification procedures” above.

Contesting record procedures. Same as “Notification procedures” above except that the envelope should be clearly marked “Privacy Act Amendment Request.” The request for amendment of a record should (1) identify the system of records containing the record for which amendment is requested, (2) specify the portion of that record requested to be amended, and (3) describe the nature of and reasons for each requested amendment.

Record source categories. The information is provided by individual to whom the record pertains, his or her incoming correspondence, and staff response thereto.

Exemptions claimed for the system. Certain portions of this system of records may be exempted from 5 USC 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) of the Privacy Act pursuant to 5 USC 552a(k)(5).

System name. FRB—Official General Files

System location.

Categories of individuals covered by the system. Correspondents with the Board and System personnel.

Categories of records in the system. Incoming and outgoing correspondence concerning Board business, including 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. Sections 10 and 11 of the Federal Reserve Act (12 USC 244 and 248).

Purpose(s). These records are collected and maintained to document important transactions between Board members, officials, and staff and with the White House, Congress, other federal agencies, foreign financial institutions, professional groups, and the public.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses. General routine uses A, C, D, G, and I apply to this system. Records may also be 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.

System manager and address.

Notification procedures. An individual desiring to learn of the existence of, or to gain access to, his or her record in this system of records shall submit a request in writing to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue NW, Washington, DC 20551. The request should contain (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, and (4) any other information that may assist in the rapid identification of the record for which access is being requested.

Record access procedures. Same as “Notification procedures” above.

Contesting record procedures. Same as “Notification procedures” above except that the envelope should be clearly marked “Privacy Act Amendment Request.” The request for amendment of a record should (1) identify the system of records containing the record for which amendment is requested, (2) specify the portion of that record requested to be amended, and (3) describe the nature of and reasons for each requested amendment.

Record source categories. Information is provided by the individual to whom the record pertains, his or her incoming correspondence, and staff response thereto.

Exemptions claimed for the system. Certain portions of this system of records may be exempted from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(5).

System name. FRB—Bank Employees Personnel System

Security classification. Unclassified.

System location.

System manager(s).

Authority for maintenance of the system. Sections 4, 10, 11, and 21 of the Federal Reserve Act (12 U.S.C. 247, 248, 307, and 485).

Purpose(s) of the system. These records are collected and maintained to assist the Board in its oversight of the Federal Reserve Banks. The Board’s use includes ensuring compliance with the Federal Reserve Administrative Manual through reviews and monitoring.

Categories of individuals covered by the system. All current and former Federal Reserve Bank employees, including interns, but not including contractors.

Categories of records in the system. Past and present Federal Reserve Bank employee information would be limited to data elements directly associated with the Board’s oversight role, such as demographic and employment information and compensation-related transactions that have occurred during the employee’s employment.

Record source categories. The individual to whom the record pertains, Federal Reserve Bank staff, and Federal Reserve System personnel systems all provide the information contained within this system of records.

Routine uses of records maintained in the system, including categories of users and purposes of such uses. General routine uses A, B, C, D, F, G, H, I, and J apply to this system. These general routine uses are located at https://www.federalreserve.gov/files/SORN-page-general-routine-uses-of-board-systems-of-records.pdf and are published in the Federal Register at 83 Fed. Reg. 43,872, 43,873–74 (August 28, 2018).

Policies and practices for storage of records. Paper records in this system are stored in locked file cabinets with access limited to staff with a need to know. Electronic records are stored on a secure server with access limited to staff with a need to know.

Policies and practices for retention and disposal of records. Records are retained for at least three years in accordance with applicable record retention schedules.

Administrative, technical, and physical safeguards. Access to records is limited to those whose official duties require it.

Record access procedures. The Privacy Act allows individuals the right to access records maintained about them in a Board system of records. Your request for access must: (1) contain a statement that the request is made pursuant to the Privacy Act of 1974; (2) provide either the name of the Board system of records expected to contain the record requested or a concise description of the system of records; (3) provide the information necessary to verify your identity; and (4) provide any other information that may assist in the rapid identification of the record you seek.

Contesting record procedures. The Privacy Act allows individuals to seek amendment of information that is erroneous, irrelevant, untimely, or incomplete and is maintained in a system of records that pertains to them. To request an amendment to your record, you should clearly mark the request as a “Privacy Act Amendment Request.” You have the burden of proof for demonstrating the appropriateness of the requested amendment and you must provide relevant and convincing evidence in support of your request.

Notification procedures. Same as “Access procedures” above. You may also follow this procedure in order to request an accounting of previous disclosures of records pertaining to you as provided for by 5 U.S.C. 552a(c).

Exemptions promulgated for the system. No exemptions are claimed for this system.

History. This system was previously published in the Federal Register at 73 Fed. Reg. 24,984, 24,996 (May 6, 2008). The SORN was also amended to incorporate two new routine uses required by OMB at 83 Fed. Reg. 43,872 (August 28, 2018).

System name. FRB—Federal Reserve System Bank Supervision Staff Qualifications

System location.

Some information is collected and maintained, on behalf of the Board, by the twelve Federal Reserve Banks.

Categories of individuals covered by the system. Past and present bank supervision staff (including bank examiners) employed by the Federal Reserve System.

Categories of records in the system. Information relating to the skills, qualifications, training, and experience of bank supervision staff, and information regarding past and present assignments and current availability of individual bank supervision staff employees.

Authority for maintenance of the system. Sections 10, 11, and 21 of the Federal Reserve Act (12 U.S.C. 244, 248, and 483).

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

Routine uses of records maintained in the system, including categories of users and the purposes of such uses. General Routine uses A, B, C, D, E, F, G, H, and I apply to this system. Records may also be used to disclose information to Federal Reserve Banks in connection with work performed on behalf of the Board or training provided by the Federal Reserve System.

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system.

System managers and address.

Notification procedures. An individual desiring to learn of the existence of, or to gain access to, his or her record in this system of records shall submit a request in writing to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue NW, Washington, DC 20551. The request should contain (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, and (4) any other information that may assist in the rapid identification of the record for which access is being requested.

Record access procedures. Same as “Notification procedures” above.

Contesting record procedures. Same as “Notification procedures” above except that the envelope should be clearly marked “Privacy Act Amendment Request.” The request for amendment of a record should (1) identify the system of records containing the record for which amendment is requested, (2) specify the portion of that record requested to be amended, and (3) describe the nature of and reasons for each requested amendment.

Record source categories. Information is provided by the individual to whom the record pertains and personnel and training records regarding the individual that are maintained by the Board and Federal Reserve Banks.

Exemptions claimed for the system. Certain portions of this system of records may be exempt from 5 USC 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) of the Privacy Act pursuant to 5 USC 552a(k)(5).

System name. FRB—General File of Federal Reserve Bank and Branch Directors

System location.

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, 11 and 21 of the Federal Reserve Act (12 USC 248, 302, 485, and 521).

Purpose(s). These records are collected and maintained to assist the Board in its oversight of the selection of Federal Reserve Bank and Branch directors.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses. General routine uses A, C, D, G, and I apply to this system. Records may be used as background information for determining qualifications for appointment and reappointment, for compiling information for news releases and other publications, and for recording correspondence concerning such persons.

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system.

System manager and address.

Notification procedures. An individual desiring to learn of the existence of, or to gain access to, his or her record in this system of records shall submit a request in writing to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue NW, Washington, DC 20551. The request should contain (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, and (4) any other information that may assist in the rapid identification of the record for which access is being requested.

Record access procedures. Same as “Notification procedures” above.

Contesting record procedures. Same as “Notification procedures” above except that the envelope should be clearly marked “Privacy Act Amendment Request.” The request for amendment of a record should (1) identify the system of records containing the record for which amendment is requested, (2) specify the portion of that record requested to be amended, and (3) describe the nature of and reasons for each requested amendment.

Record source categories. Information is provided by the individual to whom the record pertains, his or her incoming correspondence, and staff response thereto.

Exemptions claimed for the system. Certain portions of this system of records may be exempt from 5 USC 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) of the Privacy Act pursuant to 5 USC 552a(k)(5).

System name. FRB—Regulation U Reports of Nonbank Lenders

System location.

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. Responses to G-1, G-2, and G-4 Reports filed by persons registered pursuant to Regulation U, 12 CFR 221, including identifying information about the registrant such as name, address, securities credit, and balance-sheet assets and liabilities.

Authority for maintenance of the system. Sections 3, 7, 17, and 23 of the Securities Exchange Act of 1934 (15 USC 78c, 78g, 78q, and 78w), and Regulation U (12 CFR 221).

Purpose(s). These records are collected and maintained to assist the Board in maintaining a current list of persons registered as margin lenders under the securities laws.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses. General routine uses A, C, D, G, and I apply to this system. Records may be used—

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:

System manager and address:

Notification procedures. An individual desiring to learn of the existence of, or to gain access to, his or her record in this system of records shall submit a request in writing to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue NW, Washington, DC 20551. The request should contain (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, and (4) any other information that may assist in the rapid identification of the record for which access is being requested.

Record access procedures. Same as “Notification procedures” above.

Contesting record procedures. Same as “Notification procedures” above except that the envelope should be clearly marked “Privacy Act Amendment Request.” The request for amendment of a record should (1) identify the system of records containing the record for which amendment is requested, (2) specify the portion of that record requested to be amended, and (3) describe the nature of and reasons for each requested amendment.

Record source categories. Information is provided by the individual to whom the record pertains.

Exemptions claimed for the system. None.

System name. FRB—Municipal or Government Securities Principals and Representatives

Security classification. Unclassified.

System location. Records are maintained at the Board’s central offices located at:

System manager(s). The manager is located at the Board’s central offices in Washington, DC. The manager for this system is Lindsay Steedman, Manager, Supervision and Regulation Division, (202) 912-4322, or lindsay.a.steedman@frb.gov.

Authority for maintenance of the system. Sections 3, 15B, 15C, 17, and 23 of the Securities Exchange Act of 1934 (15 U.S.C. 78c, 78o-4, 78o-5, 78q, and 78w), and section 11 of the Federal Reserve Act (12 U.S.C. 248).

Purpose(s) of the system. These records are collected and maintained to permit the Board to perform its responsibilities under the securities laws with regard to the individuals described in this system of records.

Categories of individuals covered by the system. Individuals who are, or seek to be: (1) principals or representatives associated with a municipal securities dealer that is a state member bank of the Federal Reserve System, a bank holding company, a savings and loan holding company, a foreign bank, an uninsured state branch or agency of a foreign bank, a commercial lending company owned or controlled by a foreign bank, or an Edge Act corporation; or (2) principals or representatives associated with a government securities broker or dealer that is a state member bank of the Federal Reserve System, a foreign bank, an uninsured state branch or agency of a foreign bank, a foreign bank-owned or controlled commercial lending company, or an Edge Act or agreement corporation.

Categories of records in the system. Identifying information (e.g., name, address); educational, employment, criminal history, and disciplinary information; scores on professional qualification examinations; and, where applicable, information regarding termination of employment of individuals covered by the system. Historical records may also include the individual’s date of birth, place of birth, and social security number.

Record source categories. Information is provided by the individual to whom the record pertains 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 that regulate the securities industry.

Routine uses of records maintained in the system, including categories of users and purposes of such uses. General routine uses A, C, D, E, G, I, and J apply to this system. These general routine uses are located at https://www.federalreserve.gov/files/SORN-page-general-routine-uses-of-board-systems-of-records.pdf and are published in the Federal Register at 83 Fed. Reg. 43,872, 43,873–74 (August 28, 2018). In addition, records may also be used to disclose information 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 an individual who is or seeks to be associated with a municipal or government securities dealer.

Policies and practices for storage of records. Records are stored in paper and electronic form.

Policies and practices for retrieval of records. Records can be retrieved by an individual’s name.

Policies and practices for retention and disposal of records. The retention period for these records is currently under review. Until the review is completed, the records will not be destroyed.

Administrative, technical, and physical safeguards. Access to records is limited to those whose official duties require it. Paper records are secured by lock and key.

Record access procedures. The Privacy Act allows individuals the right to access records maintained about them in a Board system of records. Your request for access must: (1) contain a statement that the request is made pursuant to the Privacy Act of 1974; (2) provide either the name of the Board system of records expected to contain the record requested or a concise description of the system of records; (3) provide the information necessary to verify your identity; and (4) provide any other information that may assist in the rapid identification of the record you seek.

Contesting record procedures. The Privacy Act allows individuals to seek amendment of information that is erroneous, irrelevant, untimely, or incomplete and is maintained in a system of records that pertains to them. To request an amendment to your record, you should clearly mark the request as a “Privacy Act Amendment Request.” You have the burden of proof for demonstrating the appropriateness of the requested amendment and you must provide relevant and convincing evidence in support of your request.

Notification procedures. Same as “Access procedures” above. You may also follow this procedure in order to request an accounting of previous disclosures of records pertaining to you as provided for by 5 U.S.C. 552a(c).

Exemptions promulgated for the system. No exemptions are claimed for this system.

History. This system was previously published in the Federal Register at 73 Fed. Reg. 24,984, 24,999 (May 6, 2008).

System name. FRB—Consumer Complaint Information

System location.

Some information is collected and maintained, on behalf of the Board, by the twelve Federal Reserve Banks.

Categories of individuals covered by the system. Persons who have filed consumer complaints with the Federal Reserve Board or a Federal Reserve Bank, or whose complaint to another agency has been referred to the Federal Reserve Board for review.

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

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

Purpose(s). These records are collected and maintained to permit the Board to perform its responsibilities under the Federal Reserve Act, the Federal Trade Commission Act, and other consumer protection laws to respond to consumer complaints and inquiries regarding practices by banks and other financial institutions supervised by the Board.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses. General routine uses A, B, C, D, G, and I apply to this system. Records may also be used—

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system.

System manager and address.

Notification procedures. An individual desiring to learn of the existence of, or to gain access to, his or her record in this system of records shall submit a request in writing to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue NW, Washington, DC 20551. The request should contain (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, and (4) any other information that may assist in the rapid identification of the record for which access is being requested.

Record access procedures. Same as “Notification procedures” above.

Contesting record procedures. Same as “Notification procedures” above except that the envelope should be clearly marked “Privacy Act Amendment Request.” The request for amendment of a record should (1) identify the system of records containing the record for which amendment is requested, (2) specify the portion of that record requested to be amended, and (3) describe the nature of and reasons for each requested amendment.

Record source categories. Information is provided by the individual who initiates complaint (or his or her representative, which may include a member of Congress or an attorney); appropriate federal, state, or local regulatory and enforcement agencies; and institutions or individuals that are the subject of the complaint.

Exemptions claimed for the system. Certain portions of this system of records may be exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2).

System name. FRB—Survey of Consumer Finances

Security classification. Unclassified.

System location.

Information is also collected and maintained on behalf of the Board, by National Opinion Research Center at the University of Chicago (NORC) at 1808 Swift Drive, Oak Brook, IL 60523.

System manager(s).

Authority for maintenance of the system. Section 2A and 12A of the Federal Reserve Act (12 U.S.C. 225a and 263) and the Confidential Information Protection and Statistical Efficiency Act of 2018 (44 U.S.C. 3561–3583).

Purpose(s) of the system. The Microeconomic Survey Section, a recognized statistical unit of the U.S. government, collects and maintains the Survey of Consumer Finance (SCF) records for statistical purposes only in accordance with CIPSEA. The SCF records are used to structure, conduct, and process the SCF. The SCF is a key part of the national statistical system and it provides a basis for a wide variety of government, academic, and other statistical research.

Categories of individuals covered by the system. Individuals who voluntarily respond to the SCF.

Categories of records in the system. NORC, the independent contractor for survey data collection, holds three types of files for the SCF:

The Board holds five types of files:

Record source categories. Survey participants provide the information. Survey interviewers provide other information about the steps taken to obtain an interview, the progress of the interview, and the general characteristics of the neighborhood of the sample address. NORC provides technical sample design information for a geographically based part of the survey sample. Statistical records for sample members in the other part of the sample are derived from individual tax returns, which are obtained from the Statistics of Income Division of the Internal Revenue Service.

Routine uses of records maintained in the system, including categories of users and purposes of such uses. Data collected as a part of the SCF are protected under the Confidential Information Protection and Statistical Efficiency Act of 2018 (CIPSEA). To the extent that disclosure is permitted under CIPSEA, records may be disclosed for general routine uses C, G, I, and J. These general routine uses are located at https://www.federalreserve.gov/files/SORN-page-general-routine-uses-of-board-systems-of-records.pdf and are published in the Federal Register at 83 Fed. Reg. 43,872, 43,873–74 (August 28, 2018). In addition, records may also be disclosed to permit outside entities or individuals to access information for the purposes of developing evidence subject to appropriate controls, supervision, and agreement to comply with all relevant legal provisions. These include requirements and standards issued by the Office of Management and Budget in accordance with the Standard Application Process laid out in M–23–04 or any successor document.

Policies and practices for storage of records. Records are stored in electronic form and some historical records are kept in paper.

Policies and practices for retrieval of records. Records of answers provided by survey participants or interviewers can be retrieved by an identification number (which is generated for administrative purposes). Control file records can be retrieved by all categories of identifying information and above noted identification number.

Policies and practices for retention and disposal of records. All input information is retained at least six months after the accuracy of the database has been verified and destroyed when no longer needed for administrative or reference purposes. The final version of the SCF data set is one statistically altered to protect the identity of the survey participants; this data set is placed in the public domain. A data set without these alterations is retained as a restricted version within the Microeconomics Surveys Section at the Federal Reserve Board.

Administrative, technical, and physical safeguards. Access to records is limited to those whose official duties, consistent with CIPSEA, require it, or to outside entities or individuals for the purposes of developing evidence, subject to appropriate controls, supervision, and agreement to comply with all relevant legal provisions. All records are secured by such controls as required to comply with CIPSEA. Electronic files are stored on secure servers. The system has the ability to track individual user actions within the system. The audit and accountability controls are based on NIST and Board standards which, in turn, are based on applicable laws and regulations. The controls assist in detecting security violations and performance or other issues in the system. Users are classified into different roles and common access and usage rights are established for each role. User roles are used to delineate between the different types of access requirements such that users are restricted to data that is required in the performance of their duties. Periodic assessments and reviews are conducted to evaluate the overall security of the system and data, determine whether users still require access, have the appropriate role, and whether there have been any unauthorized changes. The survey contractor uses information in the system to devise and execute a plan to request an interview with all members of the survey sample; access to such information is available only to those involved in the sample design and its implementation in the field. Upon completion of the data collection, access by the contractor is limited to the specific information necessary to complete the initial processing of the data and to respond to requests from survey participants.

Record access procedures. The Privacy Act allows individuals the right to access records maintained about them in a Board system of records. Your request for access must: (1) contain a statement that the request is made pursuant to the Privacy Act of 1974; (2) provide either the name of the Board system of records expected to contain the record requested or a concise description of the system of records; (3) provide the information necessary to verify your identity; and (4) provide any other information that may assist in the rapid identification of the record you seek.

Contesting record procedures. The Privacy Act allows individuals to seek amendment of information that is erroneous, irrelevant, untimely, or incomplete and is maintained in a system of records that pertains to them. To request an amendment to your record, you should clearly mark the request as a “Privacy Act Amendment Request.” You have the burden of proof for demonstrating the appropriateness of the requested amendment and you must provide relevant and convincing evidence in support of your request.

Notification procedures. Same as “Access procedures” above. You may also follow this procedure in order to request an accounting of previous disclosures of records pertaining to you as provided for by 5 U.S.C. 552a(c).

Exemptions promulgated for the system. None.

History. This SORN was previously published in the Federal Register at 73 Fed. Reg. 24,984, 24,987 (May 6, 2008). The SORN was also amended to incorporate two new routine uses required by OMB at 83 Fed. Reg. 43,872 (August 28, 2018).

System name. FRB—Supervisory Enforcement Actions and Special Examinations Tracking System

System location.

Some information is collected and maintained, on behalf of the Board, by the twelve Federal Reserve Banks.

Categories of individuals covered by the system. Directors, officers, employees, shareholders, agents, independent contractors, and persons participating in the conduct of the affairs of entities regulated by the Board (institution-affiliated parties) who may have been involved in suspected criminal activity, suspicious activities under the Bank Secrecy Act, potential or actual violations of law, or unsafe and unsound banking practices, and other individuals who may have been involved in suspected criminal activity, suspicious activities under the Bank Secrecy Act, violations of law, or unsafe or unsound banking practices referenced in documents received or prepared by the Board in the course of exercising its supervisory functions.

Categories of records in the system. Inter- and intra-agency correspondence, memoranda, reports, and notes. The records stored in Supervisory Enforcement Actions and Special Examinations Tracking System (SEASE) contain information identifying and/or describing particular financial institutions and individuals; suspected criminal activity, suspicious activity under the Bank Secrecy Act, violations of law, or unsafe and unsound banking practices; dollar amounts; dates of suspicious activity, violation, or unsafe and unsound banking practice; and witnesses. The records may include the following information about current or former institution-affiliated parties or other individuals: name; date of birth; employment relationship to institution; employment termination date; Social Security number or taxpayer identification number; current employer; name(s) of the financial institution that the individual is/was affiliated with in connection with alleged violations of law, suspicious activity, or unsafe and unsound banking practices; information regarding alleged violations of law, suspicious activity, or unsafe and unsound banking practices; and examination, supervisory, investigatory and/or enforcement comments in connection with alleged violations of law, suspicious activity, or unsafe and unsound banking practices. SEASE also tracks a number of other dates including case opening, approvals of case management and enforcement decisions, and effective dates and termination dates of enforcement actions.

Authority for maintenance of the system. The Federal Reserve Act (12 USC 221 et seq.); the Change in Bank Control Act (12 USC 1817(j)); the Bank Merger Act (12 USC 1828(c)); the Federal Deposit Insurance Act (12 USC 1811 et seq.); the Bank Holding Company Act (12 USC 1841 et seq.); the Bank Service Company Act (12 USC 1861 et seq.); the International Banking Act (12 USC 3101 et seq.); the consumer protection laws regarding practices by banks and other financial institutions supervised and regulated by the Board; the Board’s regulations (12 CFR 201 et seq.); and Executive Order 9397.

Purpose(s). These records are collected and maintained to serve as a central repository and tracking system for Federal Reserve System investigatory and enforcement actions.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses. General routine uses A, C, D, G, and I apply to this system. Records may also be used—

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system.

System manager and address.

Notification procedures. An individual desiring to learn of the existence of, or to gain access to, his or her record in this system of records shall submit a request in writing to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue NW, Washington, DC 20551. The request should contain (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, and (4) any other information that may assist in the rapid identification of the record for which access is being requested.

Record access procedures. Same as “Notification procedures” above.

Contesting record procedures. Same as “Notification procedures” above except that the envelope should be clearly marked “Privacy Act Amendment Request.” The request for amendment of a record should (1) identify the system of records containing the record for which amendment is requested, (2) specify the portion of that record requested to be amended, and (3) describe the nature of and reasons for each requested amendment.

Record source categories. Information is provided by 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 record pertains. 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.

Exemptions claimed for the system. Certain portions of this system of records may be exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2).

System name. FRB—Freedom of Information Act and Privacy Act Case Automation System

Security classification. Unclassified.

System location. The Board maintains the records at the Board’s central office, located at:

System manager(s).

Authority for maintenance of the system. Freedom of Information Act (5 U.S.C. 552), the Privacy Act of 1974 (5 U.S.C. 552a), and 12 CFR parts 261 and 261a.

Purpose(s) of the system. The records are collected and maintained in connection with the execution of Freedom of Information Act and Privacy Act responsibilities including the processing of FOIA and Privacy Act requests.

Categories of individuals covered by the system. Individual requesters who submit requests and administrative appeals pursuant to the provisions of the FOIA or Privacy Act; individual requesters whose FOIA or Privacy Act requests, appeals, or other records, have been referred to Board staff by other agencies; attorneys or other persons who are authorized to represent individuals submitting requests and appeals; and individuals who are the subject of FOIA requests or appeals.

Categories of records in the system. Records in this system contain contact information on requesters and the attorneys/representatives of the requestors, including names, organizations, affiliations, addresses, email addresses, facsimile numbers, and telephone numbers. Privacy Act requests may include citizenship status. Records may also include the date the request was made, a description of the information requested, the staff assigned to process the request or appeal, the user name and password (for online requesters), financial information, fee information, employment records, medical records, legal documents (e.g., enforcement records), investigatory documents, education records, documents that contain information about individuals that are required to fulfill the request, and communications (e.g., emails and letters) to and from the requester, and documents that are responsive to the FOIA or Privacy Act request. The system may also include voluntarily submitted information, which staff have not requested, including but not limited to an individual’s social security number and bank account or mortgage loan numbers. Board staff compile statistical and administrative data on the requests processed for reporting purposes, including annual FOIA reports to the Department of Justice, submitted in accordance with 5 U.S.C. 552(e).

Record source categories. Information is provided by the individual making the request or their representative, or by agencies referring requests for access to records that originated from the Board (including those maintained for the FOMC), and staff engaged in processing or making determinations on the requests.

Routine uses of records maintained in the system, including categories of users and purposes of such uses. General routine uses C, D, G, I, and J apply to this system. These general routine uses are located at https://www.federalreserve.gov/files/SORN-page-general-routine-uses-of-board-systems-of-records.pdf and are published in the Federal Register at 83 Fed. Reg. 43,872, 43,873–74 (August 28, 2018). In addition, records may also be disclosed to: (1) a federal or state government agency, foreign government, institution, firm, or organization having a substantial interest in the determination of the request or for the purpose of consulting with that entity as to the propriety of access to the record in order to complete the processing of the request; (2) the National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. 552(h), to review administrative agency policies, procedures and compliance with the FOIA and to facilitate OGIS’ offering of mediation services to resolve disputes between persons making FOIA requests and administrative agencies; and (3) 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.

Policies and practices for storage of records. Electronic records are stored on a secure server.

Policies and practices for retrieval of records. Records can be retrieved by the name of the requester, tracking number assigned to the request, subject matter of the request, or any other field of information that is collected.

Policies and practices for retention and disposal of records. The Board retains the records for the designated retention period, which ranges from six years after final agency action or three years after final adjudication by the courts, whichever is later, but longer retention is authorized if required for business use. Requests submitted in paper form are scanned as electronic records and the paper copies of the request are disposed in accordance with applicable procedures.

Administrative, technical, and physical safeguards. The system has the ability to track individual user actions within the system. The audit and accountability controls are based on NIST and Board standards, which are based on applicable laws and regulations. The controls assist in detecting security violations and performance or other issues in the system. Access to the system is restricted to authorized users within the Board who require access for official business purposes. Users are classified into different roles and common access and usage rights are established for each role. User roles are used to delineate between the different types of access requirements such that users are restricted to data that is required in the performance of their duties. Periodic assessments and reviews are conducted to determine whether users still require access, have the appropriate role, and whether there have been any unauthorized changes.

Record access procedures. The Privacy Act allows individuals the right to access records maintained about them in a Board system of records. Your request for access must: (1) contain a statement that it is made pursuant to the Privacy Act of 1974; (2) provide either the name of the Board system of records expected to contain the record requested or a concise description of the system of records; (3) provide the information necessary to verify your identity; and (4) provide any other information that may assist in the rapid identification of the record you seek.

Contesting record procedures. The Privacy Act allows individuals to seek amendment of information that is erroneous, irrelevant, untimely, or incomplete and is maintained in a system of records that pertains to them. To request an amendment to your record, you should clearly mark the request as a “Privacy Act Amendment Request.” You have the burden of proof for demonstrating the appropriateness of the requested amendment and you must provide relevant and convincing evidence in support of your request.

Notification procedures. Same as “Access procedures” above. You may also follow this procedure in order to request an accounting of previous disclosures of records pertaining to you as provided for by 5 U.S.C. 552a(c).

Exemptions promulgated for the system. No exemptions are claimed for this system.

History. This SORN was previously published in the Federal Register at 84 Fed. Reg. 71,421 (December 27, 2019) and 73 Fed. Reg. 24,984, 25,002 (May 6, 2008). The SORN was also amended to incorporate two new routine uses required by OMB at 83 Fed. Reg. 43,872 (August 28, 2018).

System name. FRB—EEO General Files

Security classification. Unclassified.

System location.

Records are also stored by the Federal Reserve Bank of Minneapolis, located at 90 Hennepin Ave., Minneapolis, MN 55401 and by the Board’s contractor, Workday, Inc., located at 6110 Stoneridge Mall Road, Pleasanton, CA 94588.

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.); Equal Pay Act of 1963 (29 U.S.C. 206); Age Discrimination in Employment Act of 1967 (29 U.S.C. 621); Genetic Information Nondiscrimination Act of 2008 (Pub. L. 110–233); sections 10 and 11 of the Federal Reserve Act (12 U.S.C. 244 and 248); and the Notification and Federal Employee Antidiscrimination and Retaliation Act of 2002 as amended (5 U.S.C. 2301, note).

Purpose(s) of the system. These records are collected and maintained to assist the Board in carrying out its responsibilities consistent with the Rehabilitation Act of 1973, title VII of the Civil Rights Act, and other nondiscrimination statutes.

Categories of individuals covered by the system. Applicants for Board employment and current and former Board employees.

Categories of records in the system. Self-identification reports of applicants and current and former employees regarding demographics including race, national origin, sex, personal pronouns, gender identity, and disability; per EEOC guidance identification by Board staff regarding the race, national origin, and sex for those current and former employees who decline to voluntarily provide such information.

Record source categories. The information is provided by the individual to whom the record pertains and employees responsible for administering the Board’s EEO program or human resource function.

Routine uses of records maintained in the system, including categories of users and purposes of such uses. General routine uses A, B, C, D, F, G, I, and J apply to this system. These general routine uses are located at https://www.federalreserve.gov/files/SORN-page-general-routine-uses-of-board-systems-of-records.pdf and are published in the Federal Register at 83 Fed. Reg. 43,872, 43,873–74 (August 28, 2018). Records may also be used to disclose information to management 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 workforce studies and may also be utilized to respond to investigative or legal requests for statistical information (without personal identification of individuals).

Policies and practices for storage of records. Paper records in this system are stored in locked file cabinets with access limited to staff with a need to know. Electronic records are stored on a secure server with access limited to staff with a need to know.

Policies and practices for retrieval of records. Records can be retrieved by the individual’s name.

Policies and practices for retention and disposal of records. All records are retained for three years.

Administrative, technical, and physical safeguards. Paper records are secured by lock and key and electronic files are stored on secure servers. The system has the ability to track individual user actions within the system. The audit and accountability controls are based on NIST and Board standards which, in turn, are based on applicable laws and regulations. The controls assist in detecting security violations and performance or other issues in the system. Access to the system is restricted to authorized users within the Board who require access for official business purposes. Users are classified into different roles and common access and usage rights are established for each role. User roles are used to delineate between the different types of access requirements such that users are restricted to data that is required in the performance of their duties. Periodic assessments and reviews are conducted to determine whether users still require access, have the appropriate role, and whether there have been any unauthorized changes.

Record access procedures. The Privacy Act allows individuals the right to access records maintained about them in a Board system of records. Your request for access must: (1) contain a statement that the request is made pursuant to the Privacy Act of 1974; (2) provide either the name of the Board system of records expected to contain the record requested or a concise description of the system of records; (3) provide the information necessary to verify your identity; and (4) provide any other information that may assist in the rapid identification of the record you seek.

Contesting record procedures. The Privacy Act allows individuals to seek amendment of information that is erroneous, irrelevant, untimely, or incomplete and is maintained in a system of records that pertains to them. To request an amendment to your record, you should clearly mark the request as a “Privacy Act Amendment Request.” You have the burden of proof for demonstrating the appropriateness of the requested amendment and you must provide relevant and convincing evidence in support of your request.

Notification procedures. Same as “Access procedures” above. You may also follow this procedure in order to request an accounting of previous disclosures of records pertaining to you as provided for by 5 U.S.C. 552a(c).

Exemptions promulgated for the system. None.

History. This SORN was previously published in the Federal Register at 73 Fed. Reg. 24,984, 25,003 (May 6, 2008). The SORN was also amended to incorporate two new routine uses required by OMB at 83 Fed. Reg. 43,872 (August 28, 2018).

System name. FRB—Multi-Rater Feedback Records

System location.

The completed multi-rater questionnaires and the resulting feedback reports are collected and maintained, on behalf of the Board, by the Hay Group at SunGard Data Systems Inc., 680 East Swedesford Road, Wayne, PA 19087. Based on the information provided by the completed questionnaires, the contractor provides an individual feedback report to the individual being evaluated. With the exception of the feedback report that is provided to the individual being evaluated, no individually identifiable information is maintained on the Board’s premises.

Categories of individuals covered by the system. Past and present employees of the Board who have participated in the multi-rater feedback program.

Categories of records in the system. Questionnaires completed by the individual being evaluated and his or her respondents, analyses of the questionnaires, and feedback reports compiled by the contractor based upon the analyses.

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

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

Routine uses of records maintained in the system, including categories of users and the purposes of such uses. General routines uses A, C, D, F, G, H, and I apply to this system. Records may also be used to disclose information to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials of labor organizations recognized under applicable law, regulation, or policy when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions.

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system.

System manager and address.

Notification procedures. An individual desiring to learn of the existence of, or to gain access to, his or her record in this system of records shall submit a request in writing to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue NW, Washington, DC 20551. The request should contain (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, and (4) any other information that may assist in the rapid identification of the record for which access is being requested.

Record access procedures. Same as “Notification procedures” above.

Contesting record procedures. Same as “Notification procedures” above except that the envelope should be clearly marked “Privacy Act Amendment Request.” The request for amendment of a record should (1) identify the system of records containing the record for which amendment is requested, (2) specify the portion of that record requested to be amended, and (3) describe the nature of and reasons for each requested amendment.

Record source categories. Information is provided by the individual and his or her respondents, which may include the individual’s peers and supervisors.

Exemptions claimed for the system. Certain portions of this system of records may be exempted from 5 USC 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) of the Privacy Act pursuant to 5 USC 552a(k)(5).

System name. FRB—Employee Relations Records

Security classification. Unclassified.

System location.

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

Purpose(s) of the system. These records are collected and maintained to assist the Board in administering its personnel functions, and to assist employees in resolving work-related issues.

Categories of individuals covered by the system. Past and present Board employees with work-related issues that involve the Employee Relations function. Employee means all full-time and part-time employees, student aides, office assistants, student interns, co-op employees, common-law employees, and those serving in term-limited positions.

Categories of records in the system. This system contains written communications and related documents involved in addressing issues and complaints brought to the Employee Relations function. Such documents include, but are not limited to, employee complaints about management practices, requests for conflict resolution services or trainings and related documentation, informal performance counseling, summaries of findings in EEO, OIG, and related matters, and related resolution/outcome documentation of general employee relations cases.

Record source categories. Information is provided by the individual to whom the record pertains; individuals pertinent to the investigation/resolution/outcome of the matter (including witnesses); the individual’s managers and officers; the Office of Diversity & Inclusion and the Office of Inspector General (report of findings); and employees and officers in the People, Strategy, and Operations function of the Board.

Routine uses of records maintained in the system, including categories of users and purposes of such uses. General routine uses A, B, C, D, E, F, G, H, I, and J apply to this system. These general routine uses are located at https://www.federalreserve.gov/files/SORN-page-general-routine-uses-of-board-systems-of-records.pdf and are published in the Federal Register at 83 Fed. Reg. 43,872, 43,873–74 (August 28, 2018). Records may also be used 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.

Policies and practices for storage of records. Paper records in this system are stored in a secure room accessible only with a Board ID badge and access is limited to staff with a need to know. Electronic records are stored on a secure server with access limited to staff with a need to know.

Policies and practices for retrieval of records. Records can be retrieved by the names of the individuals on whom they are maintained or by employee identification number.

Policies and practices for retention and disposal of records. Employee relations case files are retained for seven years after the case is closed or final settlement on appeal, as appropriate.

Administrative, technical, and physical safeguards. Paper records are stored in a secure room accessible only with a Board ID badge and access is limited to staff with a need to know. Electronic files are stored on secure servers that have the ability to track individual user actions within the systems. The audit and accountability controls are based on NIST and Board standards which, in turn, are based on applicable laws and regulations. The controls assist in detecting security violations and performance or other issues in the system. Access to the system is restricted to authorized users within the Board who require access for official business purposes. Users are classified into different roles and common access and usage rights are established for each role. User roles are used to delineate between the different types of access requirements such that users are restricted to data that is required in the performance of their duties. Periodic assessments and reviews are conducted to determine whether users still require access, have the appropriate role, and whether there have been any unauthorized changes.

Record access procedures. The Privacy Act allows individuals the right to access records maintained about them in a Board system of records. Your request for access must: (1) contain a statement that the request is made pursuant to the Privacy Act of 1974; (2) provide either the name of the Board system of records expected to contain the record requested or a concise description of the system of records; (3) provide the information necessary to verify your identity; and (4) provide any other information that may assist in the rapid identification of the record you seek.

Contesting record procedures. The Privacy Act allows individuals to seek amendment of information that is erroneous, irrelevant, untimely, or incomplete and is maintained in a system of records that pertains to them. To request an amendment to your record, you should clearly mark the request as a “Privacy Act Amendment Request.” You have the burden of proof for demonstrating the appropriateness of the requested amendment and you must provide relevant and convincing evidence in support of your request.

Notification procedures. Same as “Access procedures” above. You may also follow this procedure in order to request an accounting of previous disclosures of records pertaining to you as provided for by 5 U.S.C. 552a(c).

Exemptions promulgated for the system. None.

History. This SORN was previously published in the Federal Register at 73 Fed. Reg. 24,984 (May 6, 2008). The SORN was also amended to incorporate two new routine uses required by OMB at 83 Fed. Reg. 43,872 (August 28, 2018).

System name. FRB—Performance Records

Security classification. Unclassified.

System location.

The Human Resources Function of the Management Division maintains final performance appraisals. Divisions may retain copies and other performance-related documents.

System manager(s).

System name. FRB—Employee Assistance Program Records

System location. This information is collected and maintained, on behalf of the Board, by Cope, Inc. at 1129 G Street NW, Suite 550, Washington, DC 20005.

Categories of individuals covered by the system. Past and present employees, and their spouses and dependent children, who have consulted with, or been referred to, the Employee Assistance Program (EAP).

Categories of records in the system. Case files developed for each client seen by a counselor, including notes of each contact between the client and counselor, an intake form, the counselor’s assessment, the kind of services being provided (including referrals), any release forms signed, and follow-up information on the outcome of the consultation.

Authority for maintenance of the system. Sections 10 and 11 of the Federal Reserve Act (12 USC 244 and 248) and Executive Order 12564.

Purpose(s). These records are collected and maintained to assist the Board in providing a safe and healthy working environment, and to comply with Executive Order 12564.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses. Records may be used—

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system.

System manager and address.

Notification procedures. An individual desiring to learn of the existence of, or to gain access to, his or her record in this system of records shall submit a request in writing to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue NW, Washington, DC 20551. The request should contain (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, and (4) any other information that may assist in the rapid identification of the record for which access is being requested.

Record access procedures. Same as “Notification procedures” above.

Contesting record procedures. Same as “Notification procedures” above except that the envelope should be clearly marked “Privacy Act Amendment Request.” The request for amendment of a record should (1) identify the system of records containing the record for which amendment is requested, (2) specify the portion of that record requested to be amended, and (3) describe the nature of and reasons for each requested amendment.

Record source categories. Information is provided by the individual to whom the record pertains; the EAP counselor; the Board’s EAP administrator; an employee’s physical or mental health care provider or counselor; medical institutions; the contractor administering the Drug-Free Workplace Plan; and Federal Reserve System personnel records.

Exemptions claimed for the system. None.

System name. FRB—Benefits Records

Security classification. Unclassified.

System location.

Some information is collected and maintained, on behalf of the Board, by its benefits contractors.

Authority for maintenance of the system. Sections 10 and 11 of the Federal Reserve Act (12 U.S.C. 244 and 248) and 12 U.S.C. 5493(a)(3).

Purpose(s) of the system. These records are collected and maintained to administer the Board’s benefits programs for its employees and assist in personnel management.

Categories of individuals covered by the system. Past and present Board and Consumer Financial Protection Bureau (Bureau) employees, their beneficiaries and dependents.

Categories of records in the system. All forms relating to employee benefits including enrollment, records relating to claims filed for benefits, and memoranda relating to individuals’ benefits. These benefits include health insurance, dental plan, vision plan, life insurance, disability coverage, accident insurance, flexible spending accounts, premium conversion accounts, voluntary plans (e.g., Personal Accident Insurance), retirement and thrift plans, and any other benefits offered by the Board.

Record source categories. Information is provided by the individual to whom the record pertains, the benefit provider, and staff of People, Strategy & Operations in the Division of Management. In addition, an employee or former employee may provide information about their beneficiary or dependent.

Routine uses of records maintained in the system, including categories of users and purposes of such uses. General routine uses A, B, C, D, F, G, H, I, and J apply to this system. These general routine uses are located at https://www.federalreserve.gov/files/SORN-page-general-routine-uses-of-board-systems-of-records.pdf and are published in the Federal Register at 83 Fed. Reg. 43,872, 43,873–74 (August 28, 2018). Records may also be used:

Policies and practices for storage of records. Paper records in this system are stored in locked file cabinets with access limited to staff with a need to know. Electronic records are stored on a secure server with access limited to staff with a need to know.

Policies and practices for retrieval of records. Records can be retrieved by name or employee identification number.

Policies and practices for retention and disposal of records. The retention period for these records is currently under review. Until the review is completed, the records will not be destroyed.

Administrative, technical, and physical safeguards. Paper records are secured by lock and key and electronic files are stored within multiple secure systems. The systems have the ability to track individual user actions within them. The audit and accountability controls are based on NIST and Board standards which, in turn, are based on applicable laws and regulations. The controls assist in detecting security violations and performance or other issues in the system. Access to the systems is restricted to authorized users who require access for official business purposes. Users are classified into different roles and common access and usage rights are established for each role. User roles are used to delineate between the different types of access requirements such that users are restricted to data that is required in the performance of their duties. Periodic assessments and reviews are conducted to determine whether users still require access, have the appropriate role, and whether there have been any unauthorized changes. Additionally, periodic security assessments consistent with NIST guidance are performed to ensure ongoing security and integrity of the systems.

Record access procedures. The Privacy Act allows individuals the right to access records maintained about them in a Board system of records. Your request for access must: (1) contain a statement that the request is made pursuant to the Privacy Act of 1974; (2) provide either the name of the Board system of records expected to contain the record requested or a concise description of the system of records; (3) provide the information necessary to verify your identity; and (4) provide any other information that may assist in the rapid identification of the record you seek.

Contesting record procedures. The Privacy Act allows individuals to seek amendment of information that is erroneous, irrelevant, untimely, or incomplete and is maintained in a system of records that pertains to them. To request an amendment to your record, you should clearly mark the request as a “Privacy Act Amendment Request.” You have the burden of proof for demonstrating the appropriateness of the requested amendment and you must provide relevant and convincing evidence in support of your request.

Notification procedures. Same as “Access procedures” above. You may also follow this procedure in order to request an accounting of previous disclosures of records pertaining to you as provided for by 5 U.S.C. 552a(c).

Exemptions promulgated for the system. None.

History. This SORN was previously published in the Federal Register at 73 Fed. Reg. 24,984 (May 6, 2008). The SORN was also amended to incorporate two new routine uses required by OMB at 83 Fed. Reg. 43,872 (August 28, 2018).

System name. FRB—Academic Assistance Program Files

Security classification. Unclassified.

System location.

The files related to academic assistance will be electronically stored and maintained by the plan administrator, Bright Horizons EdAssist. Additional files related to the review and approval of exception requests to the Academic Assistance Policy are electronically stored and maintained by the People, Strategy & Operations Function of the Division of Management. Supporting documentation may also be maintained by the employing division. Historical academic assistance files will not be stored by the plan administrator but will be stored by the Board on a secured server for the appropriate retention period with access limited to Board staff with a need to know.

System manager(s).

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

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

Categories of individuals covered by the system. Past and present Board employees.

Categories of records in the system. This system contains requests for academic assistance, including documents relating to all courses applied for, completed, and reimbursed; descriptions of course work; documents relating to requests for exceptions to the Academic Assistance Policy; evidence of successful/non-successful completion; and payment documentation for tuition, textbooks, and related fees.

Record source categories. Information is provided by the individual to whom the record pertains.

Routine uses of records maintained in the system, including categories of users and purposes of such uses. General routine uses A, B, C, D, F, G, H, I, and J apply to this system. These general routine uses are located at https://www.federalreserve.gov/files/SORN-page-general-routine-uses-of-board-systems-of-records.pdf and are published in the Federal Register at 83 Fed. Reg. 43,872, 43,873–74 (August 28, 2018).

Policies and practices for storage of records. Electronic records are stored by the plan administrator on a secure server with access limited to Bright Horizons EdAssist and Board staff with a need to know. Electronic records related to exception requests to the Academic Assistance Policy are stored on a secure server with access limited to Board staff with a need to know. Historical academic assistance files will not be stored by the plan administrator but will be stored by the Board on a secured server for the appropriate retention period with access limited to Board staff with a need to know.

Policies and practices for retrieval of records. Records can be retrieved by the names of the individuals on whom they are maintained.

Policies and practices for retention and disposal of records. The retention for these records is currently under review. Until review is completed, these records will not be destroyed.

Administrative, technical, and physical safeguards. Historical paper records are located in a secured locked room and electronic files are stored on secure servers. The system has the ability to track individual user actions within the system. The audit and accountability controls are based on NIST and Board standards which, in turn, are based on applicable laws and regulations. The controls assist in detecting security violations and performance or other issues in the system. Access to the system is restricted to authorized users within Bright Horizons EdAssist or the Board who require access for official business purposes. Users are classified into different roles and common access and usage rights are established for each role. User roles are used to delineate between the different types of access requirements such that users are restricted to data that is required in the performance of their duties. Periodic assessments and reviews are conducted to determine whether users still require access, have the appropriate role, and whether there have been any unauthorized changes.

Record access procedures. The Privacy Act allows individuals the right to access records maintained about them in a Board system of records. Your request for access must: (1) contain a statement that the request is made pursuant to the Privacy Act of 1974; (2) provide either the name of the Board system of records expected to contain the record requested or a concise description of the system of records; (3) provide the information necessary to verify your identity; and (4) provide any other information that may assist in the rapid identification of the record you seek.

Contesting record procedures. The Privacy Act allows individuals to seek amendment of information that is erroneous, irrelevant, untimely, or incomplete and is maintained in a system of records that pertains to them. To request an amendment to your record, you should clearly mark the request as a “Privacy Act Amendment Request.” You have the burden of proof for demonstrating the appropriateness of the requested amendment and you must provide relevant and convincing evidence in support of your request.

Notification procedures. Same as “Access procedures” above. You may also follow this procedure in order to request an accounting of previous disclosures of records pertaining to you as provided for by 5 U.S.C. 552a(c).

Exemptions promulgated for the system. None.

History. This SORN was previously published in the Federal Register at 73 Fed. Reg. 24,984, 25,007 (May 6, 2008). The SORN was also amended to incorporate two new routine uses required by OMB at 83 Fed. Reg. 43,872 (August 28, 2018).

System name. FRB—Protective Information System

System location.

Categories of individuals covered by the system. Individuals who are the subject of protective and background investigations by the Board’s Protective Services Unit and/or law enforcement agencies where the evaluation of such individuals, in accordance with criteria established by the Protective Services Unit, indicates a need for such investigations; individuals who are the subject of investigative records and reports supplied to the Board’s Protective Services Unit by federal, state, and local law enforcement agencies, foreign or domestic, other non-law enforcement governmental agencies, or private institutions and individuals; and individuals who have attempted or solicited unauthorized entry into areas secured by the Board’s Protective Services Unit; individuals who have sought unauthorized contact with persons protected by the Protective Services Unit; or individuals who have been involved in incidents or events which relate to the protective functions of the Protective Services Unit.

Categories of records in the system. Records containing information supplied by federal, state, and local law enforcement agencies, foreign or domestic, other non-law enforcement governmental agencies, private institutions and persons concerning individuals who, because of their current activities, background, prior activities and/or behavior, may be of interest to the Board’s Protective Services Unit; records containing information compiled for the purpose of identifying and evaluating individuals who may constitute a threat to the safety of persons or security of areas protected by the Board’s Protective Services Unit; and records containing information compiled for the purpose of background investigations of individuals, including but not limited to, passholders, tradesmen, maintenance or service personnel who have access to areas secured by or who may be in close proximity to persons protected by the Board’s Protective Services Unit.

Authority for maintenance of the system. Sections 10 and 11 of the Federal Reserve Act (12 USC 244 and 248).

Purpose(s). These records are collected and maintained to assist the Board in providing a safe and secure environment for the chairman, Board members and other Federal Reserve System staff.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses. General routine uses A, B, C, D, G, and I apply to this system. Records may also be used to disclose information to personnel of federal, state, and local law enforcement agencies, and other governmental agencies foreign or domestic (a) for the purpose of developing information on subjects involved in protective investigations and evaluations and for the purpose of protective intelligence briefings of personnel of other law enforcement and governmental agencies assisting the Board’s Protective Services Unit in the performance of its protective functions; (b) where such disclosures are considered reasonably necessary for the purpose of furthering efforts to investigate the activities of those persons considered to be of protective interest; or (c) where there is a showing of a reasonable need to accomplish a valid law enforcement purpose.

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system.

System manager and address.

Notification procedures. An individual desiring to learn of the existence of, or to gain access to, his or her record in this system of records shall submit a request in writing to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue NW, Washington, DC 20551. The request should contain (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, and (4) any other information that may assist in the rapid identification of the record for which access is being requested.

Record access procedures. Same as “Notification procedures” above.

Contesting record procedures. Same as “Notification procedures” above except that the envelope should be clearly marked “Privacy Act Amendment Request.” The request for amendment of a record should (1) identify the system of records containing the record for which amendment is requested, (2) specify the portion of that record requested to be amended, and (3) describe the nature of and reasons for each requested amendment.

Record source categories. This information is exempt pursuant to 5 USC 552a(k)(2).

Exemptions claimed for the system. Certain portions of this system of records may be exempt from 5 USC 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) of the Privacy Act pursuant to 5 USC 552a(k)(2).

System name. FRB—Visitor Registration System

System location.

Categories of individuals covered by the system. All visitors to the buildings and other locations owned or leased by the Board.

Categories of records in the system. This system contains information concerning individuals who wish to enter a building occupied by the Board. The following categories of records are maintained in this system: the individual’s name; date of birth; Social Security number or passport number and country of issue; organization or agency; Board employee visited; purpose of visit; date and time of meeting or visit; e-mail address; and whether the individual has been denied access to the Board. In addition, information derived from law enforcement databases may be included in some paper records.

Authority for maintenance of the system. Sections 10 and 11 of the Federal Reserve Act (12 USC 243 and 248), and Executive Order 9397.

Purpose(s). The records are collected and maintained to permit the Board to provide for the security of its premises and the personnel in those premises by prescreening visitors.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses. General routine uses A, B, C, D, G, and I apply to this system. Records are also used to disclose information to appropriate federal, state, local, or foreign agencies where disclosure is reasonably necessary to determine whether an individual intending to visit the Board poses a security risk.

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system.

System manager and address.

Notification procedures. An individual desiring to learn of the existence of, or to gain access to, his or her record in this system of records shall submit a request in writing to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue NW, Washington, DC 20551. The request should contain (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, and (4) any other information that may assist in the rapid identification of the record for which access is being requested.

Record access procedures. Same as “Notification procedures” above.

Contesting record procedures. Same as “Notification procedures” above except that the envelope should be clearly marked “Privacy Act Amendment Request.” The request for amendment of a record should (1) identify the system of records containing the record for which amendment is requested, (2) specify the portion of that record requested to be amended, and (3) describe the nature of and reasons for each requested amendment.

Record source categories. Information is provided by the individual who wishes to enter the Board’s premises, and, where appropriate, from law enforcement databases.

Exemptions claimed for this system. Certain portions of this system of records may be exempt from 5 USC 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) of the Privacy Act pursuant to 5 USC 552a(k)(2).

System name. FRB—Wired and Wireless Telephone Records

Security classification. Unclassified.

System location.

The vendors are the original sources of the wireless and wired phone records, which the Board retains in its files or an offsite facility.

System manager(s). The managers for this system of records are located at the Board’s central offices: Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue NW, Washington DC, 20551.

Authority for maintenance of the system. Sections 10 and 11 of the Federal Reserve Act (12 U.S.C. 243 and 248(k)).

Purpose(s) of the system. These records are collected and maintained to detect and prevent unauthorized, excessive, or other inappropriate use of the Board’s wired and wireless telephones. Records are also utilized for metrics, cost control, investigative purposes, and to protect the integrity of the device and its associated data.

Categories of individuals covered by the system. Past and present Board employees, contractors, or other individuals working at the Board, including detailees or secondees, who have been provided a telephone by the Board.

Categories of records in the system. Records relating to use of Board telephones to place local and long distance telephone calls; records indicating assignment of telephone numbers to individuals covered by the system; and records relating to location of telephones.

Record source categories. Information is provided by the telephone assignment records, call detail listings, the device itself, and the results of administrative inquiries relating to telephone calls that are the subject of the inquiry.

Routine uses of records maintained in the system, including categories of users and purposes of such uses. General routine uses A, B, C, D, F, G, I, and J apply to this system. These general routine uses are located at https://www.federalreserve.gov/files/SORN-page-general-routine-uses-of-board-systems-of-records.pdf and are published in the Federal Register at 83 Fed. Reg. 43,872, 43,873-74 (August 28, 2018). Records may also be used to disclose information to current or former Board employees and other individuals currently or formerly provided telephone services by the Board regarding their usage of the phones.

Policies and practices for storage of records. Paper records (wired phones only) in this system are stored in folders with access limited to staff with a need-to-know. Electronic records (wired and wireless) are stored on a secure server with access limited to staff with a need-to-know.

Policies and practices for retrieval of records. Records can be retrieved by name, telephone number, extension, or number(s) dialed.

Policies and practices for retention and disposal of records. Wired and wireless telephone use records and wireless telephone location records are retained for three years and wired telephone bills and wireless telephone bills are retained for six years. The retention for wireless telephone use records is under review.

Administrative, technical, and physical safeguards. Board records stored in paper copy are physically secured by lock and key. Board records scanned into the Board’s electronic recordkeeping system are stored on secure servers. The recordkeeping system has the ability to track individual user actions within the system and access is restricted to authorized users within the Board who require access for official business purposes. In addition, users are classified into different roles and common access and usage rights are established for each role. User roles delineate between the different types of access requirements such that users are restricted to data that is required in the performance of their duties. Periodic assessments and reviews are conducted to determine whether users still require access, have the appropriate role, and whether there have been any unauthorized changes. These system controls assist in preventing and detecting security violations and performance or other issues in accordance with NIST and Board standards which, in turn, are based on applicable laws and regulations.

Record access procedures. The Privacy Act allows individuals the right to access records maintained about them in a Board system of records. Your request for access must: (1) contain a statement that it is made pursuant to the Privacy Act of 1974; (2) provide either the name of the Board system of records expected to contain the record requested or a concise description of the system of records; (3) provide the information necessary to verify your identity; and (4) provide any other information that may assist in the rapid identification of the record you seek.

Contesting record procedures. The Privacy Act allows individuals to seek amendment of information that is erroneous, irrelevant, untimely, or incomplete and is maintained in a system of records that pertains to them. To request an amendment to your record, you should clearly mark the request as a “Privacy Act Amendment Request.” You have the burden of proof for demonstrating the appropriateness of the requested amendment and you must provide relevant and convincing evidence in support of your request.

Notification procedures. Same as “Access procedures” above. You may also follow this procedure in order to request an accounting of previous disclosures of records pertaining to you as provided for by 5 U.S.C. 552a(c).

Exemptions promulgated for the system. None.

History. This SORN was previously published in the Federal Register at 73 Fed. Reg. 24,984, 24,987 (May 6, 2008). The SORN was also amended to incorporate two new routine uses required by OMB at 83 Fed. Reg. 43,872 (August 28, 2018).

System name. FRB—ESS Staff Identification Card File

System location.

Categories of individuals covered by the system. Past and present Board employees, temporary employees, retirees, tenants, other government agency employees who have a need for an FRB identification card, designated Federal Reserve Bank officers and employees, and contractors who have been issued a Board identification card.

Categories of records in the system. Image of a picture of the individual; the individual’s name; card number; finger minutiae; card status; badge expiration date; employer’s name (if not the Board); relationship to the Board; card holder type; employee identification number; and division; and, if applicable, authorization to use the exercise facilities, data center, central stock room (CSR), or any other controlled area requiring permissions beyond general access. The database records the times of attempted and authorized card-initiated access to and egress from the Board’s buildings using the automated access control system. Additionally, access is logged for entry into controlled spaces.

Authority for maintenance of the system. Sections 10 and 11 of the Federal Reserve Act (12 USC 243 and 248).

Purpose(s). These records are collected and maintained to provide 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 Board’s premises; to control access to certain areas within Board premises; and to determine who is present on Board property.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses. General routine uses A, B, C, D, F, G, and I apply to this system.

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system.

System manager and address.

Notification procedures. An individual desiring to learn of the existence of, or to gain access to, his or her record in this system of records shall submit a request in writing to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue NW, Washington, DC 20551. The request should contain (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, and (4) any other information that may assist in the rapid identification of the record for which access is being requested.

Record access procedures. Same as “Notification procedures” above.

Contesting record procedures. Same as “Notification procedures” above except that the envelope should be clearly marked “Privacy Act Amendment Request.” The request for amendment of a record should (1) identify the system of records containing the record for which amendment is requested, (2) specify the portion of that record requested to be amended, and (3) describe the nature of and reasons for each requested amendment.

Record source categories. Information is provided by the individual to whom the record pertains and the Board’s personnel records. 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.

System name. FRB—Staff Parking Permit File

System location.

Categories of individuals covered by the system. Past and present Board employees, consultants, visitors, and contractors who have applied for or been issued a parking permit for the Board’s garages.

Categories of records in the system. Completed parking application forms (FR 1103), disability parking applications, and contingency parking requests submitted by employees; unusual-work-demand permits 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 USC 243 and 248).

Purpose(s). These records are collected and maintained to allocate usage of the limited number of parking spaces in the Board’s garages among Board staff, visitors and contractors, and to enforce the Board’s parking regulations for safe use of the garages.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses. General routine uses A, C, D, F, G, and I apply to this system. Records may also be used—

System manager and address.

Notification procedures. An individual desiring to learn of the existence of, or to gain access to, his or her record in this system of records shall submit a request in writing to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue NW, Washington, DC 20551. The request should contain (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, and (4) any other information that may assist in the rapid identification of the record for which access is being requested.

Record access procedures. Same as “Notification procedures” above.

Contesting record procedures. Same as “Notification procedures” above except that the envelope should be clearly marked “Privacy Act Amendment Request.” The request for amendment of a record should (1) identify the system of records containing the record for which amendment is requested, (2) specify the portion of that record requested to be amended, and (3) describe the nature of and reasons for each requested amendment.

Record source categories. Information is provided by the individual to whom the record pertains; 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.

System name. FRB—Federal Reserve Application Name Check System

System location.

Categories of individuals covered by the system. Designated persons who are parties to regulatory applications, notices and/or proposals submitted to the Federal Reserve Board.

Categories of records in the system. Name; Social Security, passport, or other identifying number, address; occupation, birth city, state, and country; country(ies) of citizenship; date of birth; names of related companies and the person’s role at those companies; an indication whether each agency conducting a check had any information on the person and the results of the name check; and name and address of the financial institution that submitted the application with which the person was associated.

Authority for maintenance of the system. Sections 9, 19, 25 and 25A of the Federal Reserve Act (12 USC 321-328, 466, 601-604(a) and 611-631); the Change in Bank Control Act (12 USC 1817(j)); section 18(c) of the Bank Merger Act (12 USC 1828(c)); section 32 of the Federal Deposit Insurance Act (12 USC 1831i); sections 3, 4, and 5 of the Bank Holding Company Act of 1956 (12 USC 1842, 1843 and 1844); section 5 of the Bank Service Company Act (12 USC 1865); sections 7, 8 and 10 of the International Banking Act (12 USC 3105, 3106 and 3107); the Board’s Regulation H (12 CFR 208); the Board’s Regulation K (12 CFR 211); the Board’s Regulation L (12 CFR 212); the Board’s Regulation Y (12 CFR 225); and Executive Order 9397.

Purpose(s). These records are collected and maintained to assist the Board in evaluating the proposed officers, directors, principal shareholders, or other persons associated with a depository institution, holding company, or other foreign or domestic entity in connection with the Board’s consideration of various regulatory applications, notices, or proposals. The Board uses these records, along with other information, to determine whether the related filing meets the statutory factors for approval.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses. There are no routine uses that apply to the results of the name check. General routine uses A, B, C, D, G, and I apply to all other categories of information in the system. These records may also be used—

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system.

System manager and address.

Notification procedures. An individual desiring to learn of the existence of, or to gain access to, his or her record in this system of records shall submit a request in writing to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue NW, Washington, DC 20551. The request should contain (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, and (4) any other information that may assist in the rapid identification of the record for which access is being requested.

Record access procedures. Same as “Notification procedures” above.

Contesting record procedures. Same as “Notification procedures” above except that the envelope should be clearly marked “Privacy Act Amendment Request.” The request for amendment of a record should (1) identify the system of records containing the record for which amendment is requested, (2) specify the portion of that record requested to be amended, and (3) describe the nature of and reasons for each requested amendment.

Record source categories. Information is provided by the individuals to whom the record pertains or their agents (such as law firms or consultants) during the regulatory application, notice, or proposal process. In addition, FRS staff, as part of the due-diligence process associated with the review of a particular filing, performs name checks on the individuals to be involved in the business transaction related to such filings by contacting other federal agencies for comments related to the identified individuals.

Exemptions claimed for the system. Certain portions of this system of records may be exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) of the Privacy Act pursuant to 5 U.S.C 552a(k)(2).

System name. FRB—Electronic Applications

Security classification. Unclassified.

System location.

Some data will be hosted by third-party vendors, in government clouds managed by BOX in Nevada and California, Appian in Ohio, and OneSpan in Virginia and Ohio.

System manager(s).

Authority for maintenance of the system. Sections 9, 19, 23A, 23B, 24A, 25, and 25A of the Federal Reserve Act (12 U.S.C. 321-338a, 461-506, 371c, 371c-1, 371(d), 601-605, and 611-631); the Change in Bank Control Act (12 U.S.C. 1817(j)); sections 8, 18(c), 19, 32, and 44 of the Federal Deposit Insurance Act (12 U.S.C. 1818, 1828(c), 1829, 1831i, and 1831(u)); the Bank Holding Company Act of 1956 (12 U.S.C. 1841 et seq.); section 5 of the Bank Service Company Act (12 U.S.C. 1865); the International Banking Act of 1978, as amended (12 U.S.C. 3101 et seq.) and the Foreign Bank Supervision Enhancement Act (12 U.S.C. 3101 note); the Depository Institution Management Interlocks Act (12 U.S.C. 3201 et seq.); the Home Owners’ Loan Act (12 U.S.C. 1465-1468); sections 163(b) and 167 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (12 U.S.C. 5363(b) and 5367); the Board’s Regulation H (12 CFR part 208); Regulation K (12 CFR part 211); Regulation L (12 CFR part 212); Regulation W (12 CFR part 223); Regulation Y (12 CFR part 225); Regulation LL (12 CFR part 238); Regulation MM (12 CFR part 239); Regulation YY (12 CFR part 252); and Executive Order 9397.

Purpose(s) of the system. These records are collected and maintained to assist the Board and the Federal Reserve Banks (collectively, FRS) in evaluating whether individuals, financial institutions, and other business organizations meet the applicable statutory and regulatory factors that are required to be considered in a particular filing.

Categories of individuals covered by the system. Persons who are parties to regulatory filings submitted to the FRS, and public commenters to such submissions.

Categories of records in the system. In connection with their role in filings, individuals provide information, which may include, but is not limited to the following: name (including former names and/or nicknames); contact information such as telephone number, email address, etc.; address (home, business, and/or mailing); citizenship information, including place and date of birth; and/or citizenship status; government-issued identification, such as driver’s license number, Social Security number, passport number and/or alien registration number, and/or taxpayer identification number; occupation and employment history; financial and credit information (including credit history); education and professional credentials; information about compliance with applicable laws and regulations, criminal history, and involvement with court proceedings; and related organizations. In addition, submissions from members of the public may contain unsolicited personally identifiable information (PII) (such as bank account information or Social Security numbers) even though such PII is not required for the individual to provide comments or feedback.

Record source categories. The information is submitted by individual filers, certain employees, officers, directors, or shareholders of financial institutions or other business organizations, representatives of individual or institutional filers, federal and state banking regulators, state insurance regulators, and members of the public. FRS staff may also provide information to obtain access to the system. FRS staff may also independently obtain information regarding filers from publicly available sources.

Routine uses of records maintained in the system, including categories of users and purposes of such uses. General routine uses A, B, C, D, G, I, and J apply to this system. These general routine uses are located at https://www.federalreserve.gov/files/SORN-page-general-routine-uses-of-board-systems-of-records.pdf and are published in the Federal Register at 83 Fed. Reg. 43,872, 43,873–74 (August 28, 2018). These records may also be used to disclose certain information to other financial institution regulatory agencies pursuant to explicit information-sharing agreements.

Policies and practices for storage of records. Paper records are stored in locked file cabinets with access limited to staff with a need to know until the paper records have been scanned and stored electronically. Electronic records will be stored at the Board and by third-party vendors in FedRAMP approved government cloud storage solutions.

Policies and practices for retrieval of records. Records can be searched for and retrieved by authorized staff only, by every data field on a record, and by the contents of each record. Access to records is limited to those persons whose official duties require it.

Policies and practices for retention and disposal of records. Records are retained for 60 days within the system and then transferred to the Board’s electronic recordkeeping system. Records are retained in the Board’s electronic recordkeeping system for 15 years, then destroyed when no longer needed for reference.

Administrative, technical, and physical safeguards. The system has the ability to track individual user actions within the system. The audit and accountability controls are based on NIST and Board standards, which are based on applicable laws and regulations. The controls assist in detecting security violations and performance or other issues in the system. Access to the system is restricted to authorized users within the FRS who require access for official business purposes. Users are classified into different roles and common access and usage rights are established for each role. User roles are used to delineate between the different types of access requirements such that users are restricted to information that is required in the performance of their duties. Periodic assessments and reviews are conducted to determine whether users still require access, have the appropriate role, and whether there have been any unauthorized changes. Records are encrypted at rest and in transmission.

Record access procedures. The Privacy Act allows individuals the right to access records maintained about them in a Board system of records. Your request for access must: (1) contain a statement that the request is made pursuant to the Privacy Act of 1974; (2) provide either the name of the Board system of records expected to contain the record requested or a concise description of the system of records; (3) provide the information necessary to verify your identity; and (4) provide any other information that may assist in the rapid identification of the record you seek.

Contesting record procedures. The Privacy Act allows individuals to seek amendment of information that is erroneous, irrelevant, untimely, or incomplete and is maintained in a system of records that pertains to them. To request an amendment to your record, you should clearly mark the request as a “Privacy Act Amendment Request.” You have the burden of proof for demonstrating the appropriateness of the requested amendment and you must provide relevant and convincing evidence in support of your request.

Notification procedures. Same as “Access procedures” above. You may also follow this procedure in order to request an accounting of previous disclosures of records pertaining to you as provided for by 5 U.S.C. 552a(c).

Exemptions promulgated for the system. Certain portions of this system of records may be exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2).

History. This SORN was previously published in the Federal Register at 73 Fed. Reg. 54,595 (September 22, 2008). The SORN was also amended to incorporate two new routine uses required by OMB at 83 Fed. Reg. 43,872 (August 28, 2018).

System name. FRB—Transportation Subsidy Records

Security classification. Unclassified.

System location.

System manager(s).

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

Purpose(s) of the system. These records are collected and maintained by the Board in order to administer the Board’s transportation subsidy program.

Categories of individuals covered by the system. Past and present employees who apply for a transportation subsidy.

Categories of records in the system. Applications submitted by employees for transportation subsidies, which may include name, employee ID number, home address, current commuting pattern and estimated commuting cost, and other information related to carrying out activities under the transportation subsidy program.

Record source categories. Information is provided by the employee to whom the record pertains.

Routine uses of records maintained in the system, including categories of users and purposes of such uses. General routine uses, A, B, C, D, E, F, G, H, I, and J apply to this system. These general routine uses are located at https://www.federalreserve.gov/files/SORN-page-general-routine-uses-of-board-systems-of-records.pdf and are published in the Federal Register at 83 Fed. Reg. 43,872, 43,873-74 (August 28, 2018).

Policies and practices for storage of records. Electronic records are stored on a secure server with access limited to staff with a need to know.

Policies and practices for retrieval of records. Records can be retrieved by employee name or ID number.

Policies and practices for retention and disposal of records. Transportation subsidy records are destroyed two years after the employee revalidates their participation or no longer participates in the program.

Administrative, technical, and physical safeguards. The system has the ability to track individual user actions within the system. The audit and accountability controls are based on NIST and Board standards, which, in turn, are based on applicable laws and regulations. The controls assist in detecting security violations and performance or other issues in the system. Access to the system is restricted to authorized users who require access for official business purposes. Users are classified into different roles and common access and usage rights are established for each role. User roles are used to delineate between the different types of access requirements such that users are restricted to data that is required in the performance of their duties. Periodic assessments and reviews are conducted to determine whether users still require access, have the appropriate role, and whether there have been any unauthorized changes.

Record access procedures. The Privacy Act allows individuals the right to access records maintained about them in a Board system of records. Your request for access must: (1) contain a statement that the request is made pursuant to the Privacy Act of 1974; (2) provide either the name of the Board system of records expected to contain the record requested or a concise description of the system of records; (3) provide the information necessary to verify your identity; and (4) provide any other information that may assist in the rapid identification of the record you seek.

Contesting record procedures. The Privacy Act allows individuals to seek amendment of information that is erroneous, irrelevant, untimely, or incomplete and is maintained in a system of records that pertains to them. To request an amendment to your record, you should clearly mark the request as a “Privacy Act Amendment Request.” You have the burden of proof for demonstrating the appropriateness of the requested amendment and you must provide relevant and convincing evidence in support of your request.

Notification procedures. Same as “Access procedures” above. You may also follow this procedure in order to request an accounting of previous disclosures of records pertaining to you as provided for by 5 U.S.C. 552a(c).

Exemptions promulgated for the system. None.

History. This SORN was previously published in the Federal Register at 73 Fed. Reg. 54,595, 54,977 (September 22, 2008). The SORN was amended to incorporate two new routine uses required by OMB at 83 Fed. Reg. 43,872 (August 28, 2018).

System name. FRB—General File of the Community Advisory Council

System location.

Categories of individuals covered by the system. This system maintains information on individuals considered for membership on the CAC and individuals selected to serve on the CAC.

Categories of records in the system. Records in the system include identifying information about candidates and members of the CAC relating to the selection and appointment to the CAC and records relating to service on the CAC. Individual information in the system includes, but is not limited to, name, work address, telephone number, email address, organization, and title. The system stores additional information including, but not limited to, the candidate’s or CAC member’s education, work experience, qualifications, and service on the CAC (such as travel and contact information).

Authority for maintenance of the system. 12 U.S.C. 225a and 244.

Purpose(s). The system of records aids the Board in its operation and management of the CAC, including the selection, appointment, and service of members of the CAC.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses. General routine uses A, B, C, D, E, F, G, I apply to this system. Records are routinely used in the Board’s operation and management of the CAC, including in the selection, appointment, and service of members of the CAC.

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system.

Notification procedure. An individual desiring to learn of the existence of, or to gain access to, his or her record in this system of records shall submit a request in writing to the Secretary of the Board, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue NW, Washington, DC 20551. The request should contain: (1) a statement that the request is made pursuant to the Privacy Act of 1974, (2) the name of the system of records (i.e., BGFRS-39, General File of the Community Advisory Council), (3) information necessary to verify the identity of the requester (e.g., two forms of identification, including one photo identification or a notarized statement attesting to the requester’s identity), and (4) any other information that may assist in the identification of the record for which access is being requested.

Record access procedures. See “Notification procedure” above.

Contesting record procedures. Same as “Notification procedures” above except that the envelope should be clearly marked “Privacy Act Amendment Request.” The request for amendment of a record should: (1) identify the system of records containing the record for which amendment is requested, (2) specify the portion of that record requested to be amended, and (3) describe the nature of and reasons for each requested amendment.

Record source categories. Information is provided by the individual to whom the record pertains.

Exemptions claimed for the system. None.

System name. FRB—Board Subscription Services

Security classification. Unclassified.

System location. The vendor maintains FRRS subscription materials in paper and electronic form. The vendor is located at 101 Fry Drive, Mechanicsburg, PA 17055. The Board maintains historical FRRS subscription records and new FRRS records created and transmitted by the vendor to the Board (such as the monthly call reports), along with the subscription information for other Board publications. Paper records are stored in file folders and electronic records are stored on the Board’s network. Records are maintained at the Board’s central offices located at: Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue NW, Washington, DC 20551.

System manager(s). Both managers are located at the Board’s central offices in Washington, DC. The manager for the FRRS is Mike Budzinski, Manager, Editing, Office of Board Members, (202) 452-3262, mike.w.budzinski@ frb.gov. For all other Board publications and for historical records stored at the Board, the manager is Gladys Parran, Manager, Printing & Fulfillment, Office of Board Members, (202) 736-5520, gladys.parran@frb.gov.

Authority for maintenance of the system. 12 U.S.C. 244.

Purpose(s) of the system. The Board maintains these records to allow individuals to subscribe to Board publications. The main publication the Board provides is the Federal Reserve Regulatory Service (FRRS), a publication that compiles the statutes administered by the Board along with regulations, interpretations, policy statements, rulings, and opinions issued by the Board and its staff as well as select regulations issued by other agencies that are relevant to the Board’s responsibilities. The Board also makes available other publications such as general publications, reports to Congress, and economic research and data.

Categories of individuals covered by the system. Persons who subscribe to the FRRS or create an account for the purpose of subscribing to the FRRS and persons who request to subscribe to other available Board publications.

Categories of records in the system. The Board Subscription Services system covers records related to the ordering and fulfillment of orders for the FRRS and other Board publications, such as economic research and data, general publications, and reports to Congress. The information collected for all publications (including the FRRS) includes the subscriber’s name, company name or affiliation (if applicable), shipping address, order type, email address, and phone number. For Board publications other than the FRRS, the Board also collects the payment type (check, money order, credit card) and relevant payment information.

Record source categories. The subscriber to the publication or the FRRS account holder provides the relevant information.

Routine uses of records maintained in the system, including categories of users and purposes of such uses. General routine uses, A, C, D, G, I, and J apply to this system. These general routine uses are located at https://www.federalreserve.gov/files/SORN-page-general-routine-uses-of-board-systems-of-records.pdf and are published in the Federal Register at 83 FR 43872 (August 28, 2018) at 43,873–74.

Policies and practices for storage of records. Paper records in this system are stored in file folders with access limited to staff with a need to know. Electronic records are stored on a secure server.

Policies and practices for retrieval of records. Paper and electronic records can be retrieved by name or other identifying aspects.

Policies and practices for retention and disposal of records. The retention period for the records in this system is six years. Records will be disposed of at the end of their retention periods, subject to an annual close-out.

Administrative, technical, and physical safeguards. Board and vendor staff are restricted to the data that is required in the performances of their duties. This is accomplished through user roles, which provide differential access levels to users based on their official duties and need-to-know. Only Board or vendor staff whose official duties require such access may view the subscription and fulfillment records. Electronic records are password protected and paper records are stored in locked file cabinets.

Record access procedures. The Privacy Act allows individuals the right to access records maintained about them in a Board system of records. Your request for access must: (1) contain a statement that the request is made pursuant to the Privacy Act of 1974; (2) provide either the name of the Board system of records expected to contain the record requested or a concise description of the system of records; (3) provide the information necessary to verify your identity; and (4) provide any other information that may assist in the rapid identification of the record you seek.

Contesting record procedures. The Privacy Act allows individuals to seek amendment of information that is erroneous, irrelevant, untimely, or incomplete and is maintained in a system of records that pertains to them. To request an amendment to your record, you should clearly mark the request as a “Privacy Act Amendment Request.” You have the burden of proof for demonstrating the appropriateness of the requested amendment and you must provide relevant and convincing evidence in support of your request.

Notification procedures. Same as “Access procedures” above. You may also follow this procedure in order to request an accounting of previous disclosures of records pertaining to you as provided for by 5 U.S.C. 552a(c).

Exemptions promulgated for the system. No exemptions are claimed for this system.

History. This SORN was previously published at 83 Fed. Reg. 15,569 (April 11, 2018).

System name. FRB—Ethics Program Records

Security classification. Unclassified.

System location. The Board maintains the records at the Board’s central office, located at: Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue NW, Washington, DC 20551. Paper records are stored in locked file cabinets and electronic records are stored on secure servers.

System manager(s). Cary Williams, Designated Agency Ethics Official, Legal Division, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue NW, Washington, DC 20551, (202) 452-3295, or cary.williams@frb.gov.

Authority for maintenance of the system. 12 U.S.C. 244; Ethics in Government Act of 1978, 5 U.S.C. app; Ethics Reform Act of 1989, Public Law 101-194; 5 CFR 2638.104(c)(2).

Purpose(s) of the system. This new system of records enables the Board to administer the Board’s Ethics Program consistent with applicable requirements.

Categories of individuals covered by the system. Individuals covered by this system consist of prospective, current, and former Board employees.

Categories of records in the system. This system covers records memorializing ethics inquiries regarding prospective, current, and former employees. For example, the records may contain, without limitation: The prospective, current, or former employee’s name, address, telephone number, and email address; ethics advice (including waivers); compensated outside employment approvals (i.e., employment outside of or unrelated to the employee’s official Board duties); and information in support of Public Financial Disclosure Reports and Confidential Financial Disclosure Reports that is not already covered by the government-wide system of record notices “Executive Branch Public Financial Disclosure Reports and Other Ethics Program Records (OGE/GOVT-1)” and “Confidential Statements of Employment and Financial Interests (OGE/GOVT-2).” In addition, the system may also contain records relating to the employment or financial interests of the family members of prospective, current, or former Board employees to the extent such information pertains to an ethics inquiry regarding such employees.

Record source categories. The primary source of the information is the prospective, current, or former employee. Other sources may include, but are not limited to, the employee’s supervisors, attorneys, representatives, or family members, Office of Inspector General staff, and other Board staff.

Routine uses of records maintained in the system, including categories of users and purposes of such uses. General routine uses, A, B, C, D, E, F, G, H, I, and J apply to this system. These general routine uses are located at https://www.federalreserve.gov/files/SORN-page-general-routine-uses-of-board-systems-of-records.pdf and are published in the Federal Register at 83 Fed. Reg. 43,872, 43,873-74 (August 28, 2018).

Policies and practices for storage of records. Paper records in this system are stored in locked file cabinets with access limited to staff with a need to know. Electronic records are stored on a secure server with access limited to staff with a need to know.

Policies and practices for retrieval of records. Paper and electronic records can be retrieved by name or other personal identifiers.

Policies and practices for retention and disposal of records. The retention period for the records in this system is six years or when no longer needed for an active investigation, whichever is later, but longer retention is authorized if required for business use.

Administrative, technical, and physical safeguards. Board staff are restricted to the data that is required in the performance of their official duties. Paper records are stored in locked file cabinets and electronic records are stored on a secure server, with access limited to Board staff with a need to know.

Record access procedures. The Privacy Act allows individuals the right to access records maintained about them in a Board system of records. Your request for access must: (1) contain a statement that the request is made pursuant to the Privacy Act of 1974; (2) provide either the name of the Board system of records expected to contain the record requested or a concise description of the system of records; (3) provide the information necessary to verify your identity; and (4) provide any other information that may assist in the rapid identification of the record you seek.

Contesting record procedures. The Privacy Act allows individuals to seek amendment of information that is erroneous, irrelevant, untimely, or incomplete and is maintained in a system of records that pertains to them. To request an amendment to your record, you should clearly mark the request as a “Privacy Act Amendment Request.” You have the burden of proof for demonstrating the appropriateness of the requested amendment and you must provide relevant and convincing evidence in support of your request.

Notification procedures. Same as “Access procedures” above. You may also follow this procedure in order to request an accounting of previous disclosures of records pertaining to you as provided for by 5 U.S.C. 552a(c).

Exemptions promulgated for the system. None.

History. None.

System name. FRB—General File of the Insurance Policy Advisory Committee

Security classification. Unclassified.

System location. Records will be maintained at the Board’s central offices located at: Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue NW, Washington, DC 20551.

System manager(s). Linda Duzick, Manager, Insurance Policy Section, Division of Supervision & Regulation, Board of Governors of the Federal Reserve System, Washington, DC 20551, or (202) 728-5881, or linda.l.duzick@ frb.gov.

Authority for maintenance of the system. Section 211(b) of the Economic Growth, Regulatory Relief, and Consumer Protection Act (31 U.S.C. 313 note) and section 10 of the Federal Reserve Act (12 U.S.C. 244).

Purpose(s) of the system. This system aids the Board in its operation and management of the IPAC, including the selection and appointment of members to the IPAC.

Categories of individuals covered by the system. This system maintains information on individuals considered for membership on the IPAC and individuals selected to serve on the IPAC.

Categories of records in the system. Records in the system include identifying information about individuals seeking to become IPAC members and members of the IPAC, information relating to the selection and appointment of individuals to the IPAC, and records relating to service on the IPAC. Individual information in the system includes, but is not limited to, name, work address, telephone number, email address, organization, and title. The system stores additional information including, but not limited to, the individual or IPAC member’s education, work experience, and qualifications. The system will also store records relating to the management of the IPAC, such as payment information for travel or honoraria.

Record source categories. Information is provided by the individual or IPAC member to whom the record pertains. Board staff may also independently obtain available information regarding individuals seeking to become IPAC members.

Routine uses of records maintained in the system, including categories of users and purposes of such uses. General routine uses A, B, C, D, E, F, G, I, and J apply to this system. These general routine uses are located at: https://www.federalreserve.gov/files/SORN-page-general-routine-uses-of-board-systems-of-records.pdf and are published in the Federal Register at 83 Fed. Reg. 43,872, 43,873–74 (August 28, 2018).

Policies and practices for storage of records. Paper records in this system are stored in file folders with access limited to staff with a need-to-know. Electronic records are stored on a secure server. Records are also stored in FIRMA, the Federal Reserve’s official recordkeeping system, on an annual basis.

Policies and practices for retrieval of records. Electronic records can be retrieved by name or other identifying aspects.

Policies and practices for retention and disposal of records. Pending establishing of an approved retention period, the records will be retained indefinitely.

Administrative, technical, and physical safeguards. Access to records in the system is limited to those Board staff whose official duties require it. This is accomplished through user roles, which provide differential access levels to users based on their official duties and need-to-know.

Record access procedures. The Privacy Act allows individuals the right to access records maintained about them in a Board system of records. Your request for access must: (1) contain a statement that it is made pursuant to the Privacy Act of 1974; (2) provide either the name of the Board system of records expected to contain the record requested or a concise description of the system of records; (3) provide the information necessary to verify your identity; and (4) provide any other information that may assist in the rapid identification of the record for which you are requesting access.

Contesting record procedures. The Privacy Act allows individuals to seek amendment of information that is erroneous, irrelevant, untimely, or incomplete and is maintained in a system of records about you. To request an amendment to your record, you should clearly mark the request as a “Privacy Act Amendment Request.” You have the burden of proof for demonstrating the appropriateness of the requested amendment and you must provide relevant and convincing evidence in support of your request.

Notification procedures. Same as “Access procedures” above. You may also follow this procedure in order to request an accounting of previous disclosures of records pertaining to you as provided for by 5 U.S.C. 552a(c).

Exemptions promulgated for the system. None.

History. None.

System name. Security Sharing Platform

Security classification. Unclassified.

System location.

Some information is collected and maintained on behalf of the Board by one or more of the Federal Reserve Banks.

System manager(s).

Authority for maintenance of the system. Section 11 of the Federal Reserve Act (12 U.S.C. 248(q)).

Purpose(s) of the system. These records are collected and maintained to aid in efforts to protect and safeguard the premises, grounds, property, personnel, and operations of the Federal Reserve System.

Categories of individuals covered by the system. Individuals who exhibit suspicious behavior, which Federal Reserve System law enforcement personnel have reasonable suspicion to believe may affect the safety and security of the premises, grounds, property, personnel, and operations of the Board or one or more of the Federal Reserve Banks.

Categories of records in the system. Records in the system include identifying information relating to incidents or events that may affect the safety and security of the premises, grounds, property, personnel, or operations of the Board or the Federal Reserve Banks, which may include individuals who are the subject of such incidents or events. Information about individuals in the system may include, but is not limited to, name, address, organization, title, telephone number, identification number(s), date of birth, occupation, photographs or videos, physical characteristics, and other information that may be provided by the individual or collected by Board or Federal Reserve Bank personnel.

Record source categories. Information is provided by various sources, including the individual to whom the record pertains; personal identification documents; notes from interviews with the individual and supporting documentation; reports created by the Board or the respective Federal Reserve Bank; law enforcement and other federal, state, local, or foreign government agency records and personnel; social media; or other documents received by the Board or a Federal Reserve Bank.

Routine uses of records maintained in the system, including categories of users and purposes of such uses. General routine uses C, D, G, I, and J apply to this system. These general routine uses are located at https://www.federalreserve.gov/files/SORN-page-general-routine-uses-of-board-systems-of-records.pdf and are published in the Federal Register at 83 Fed. Reg. 43,872, 43,873-74 (August 28, 2018). The system also has a specific routine use, developed in order to permit necessary sharing that is essential to the purpose of the system. Under this use, records may also be disclosed to personnel of federal, state, local, or foreign law enforcement agencies in the following circumstances:

Policies and practices for storage of records. Records in this system are stored on a secure server as electronic records.

Policies and practices for retrieval of records. Records may be retrieved by name or other identifying aspects.

Policies and practices for retention and disposal of records. The retention for these records is currently under review. Until review is completed, the records in the system will not be destroyed.

Administrative, technical, and physical safeguards. Electronic files are stored on secure servers. The system has the ability to track individual user actions within the system. The audit and accountability controls are based on NIST and Board standards which, in turn, are based on applicable laws and regulations. The controls assist in detecting security violations and performance or other issues in the system. Access to the system is restricted to authorized users within the Federal Reserve System who require access for official business purposes. Users are classified into different roles and common access and usage rights are established for each role. User roles are used to delineate between the different types of access requirements such that users are restricted to data that is required in the performance of their duties. Periodic assessments and reviews are conducted to determine whether users still require access, have the appropriate role, and whether there have been any unauthorized changes.

Record access procedures. The Privacy Act allows individuals the right to access records maintained about them in a Board system of records. Your request for access must: (1) contain a statement that the request is made pursuant to the Privacy Act of 1974; (2) provide either the name of the Board system of records expected to contain the record requested or a concise description of the system of records; (3) provide the information necessary to verify your identity; and (4) provide any other information that may assist in the rapid identification of the record you seek.

Contesting record procedures. The Privacy Act allows individuals to seek amendment of information that is erroneous, irrelevant, untimely, or incomplete and is maintained in a system of records that pertains to them. To request an amendment to your record, you should clearly mark the request as a “Privacy Act Amendment Request.” You have the burden of proof for demonstrating the appropriateness of the requested amendment and you must provide relevant and convincing evidence in support of your request.

Notification procedures. Same as “Access procedures” above. You may also follow this procedure in order to request an accounting of previous disclosures of records pertaining to you as provided for by 5 U.S.C. 552a(c).

Exemptions promulgated for the system. Certain portions of this system of records may be exempt from 5 U.S.C. 552(a)(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2).

History. None.

System name. FRB—Public Health and Safety System

Security classification. Unclassified.

System location.

System manager(s).

Authority for maintenance of the system. Sections 10 and 11 of the Federal Reserve Act (12 U.S.C. 243, 244, and 248).

Purpose(s) of the system. These records are collected and maintained to aid in efforts to protect and safeguard the premises, grounds, property, personnel, and operations of the Board and to ensure and maintain the health and safety of Board employees, contractors, and other individuals who work for the Board in response to a public health emergency, such as a pandemic or disaster, or other health and safety concerns.

Categories of individuals covered by the system. Past and present Board employees, contractors, and other individuals who work for the Board.

Categories of records in the system. This system maintains information collected about Board employees, contractors, and other individuals who work for the Board in response to a public health emergency, such as a pandemic or disaster, or other health and safety concerns. The information collected about these individuals may include but is not limited to:

Record source categories. Information is generally provided by the individual to whom the record pertains, the individual’s medical provider, or other system or entity that may retain relevant medical information such as a state vaccination registry or commercial entity that maintains medical or vaccination information. Information is also collected from security systems monitoring access to Board facilities or events, such as video surveillance and turnstiles, human resources systems, emergency notification systems, and federal, state, and local agencies assisting with the response to a public health emergency or similar health and safety concerns. Information may also be collected from companies responsible for managing the Board’s leased office or event spaces or from third parties in the course of the Board’s contact tracing activities.

Routine uses of records maintained in the system, including categories of users and purposes of such uses. General routine uses A, B, C, D, F, G, H, I, and J apply to this system. These general routine uses are located at https://www.federalreserve.gov/files/SORN-page-general-routine-uses-of-board-systems-of-records.pdf and are published in the Federal Register at 83 Fed. Reg. 43,872, 43,873–74 (August 28, 2018). In addition, records may also be disclosed:

Policies and practices for storage of records. Paper records in this system are stored in locked file cabinets with access limited to staff with a need to know. Electronic records are stored on a secure server with access limited to staff with a need to know.

Policies and practices for retrieval of records. Records may be retrieved by name or other identifying aspects.

Policies and practices for retention and disposal of records. The retention for these records is currently under review. Until review is completed, the records in the system will not be destroyed.

Administrative, technical, and physical safeguards. Paper records are secured by lock and key and electronic files are stored on secure servers. The system has the ability to track individual user actions within the system. The audit and accountability controls are based on NIST and Board standards which, in turn, are based on applicable laws and regulations. The controls assist in detecting security violations and performance or other issues in the system. Access to the system is restricted to authorized users who require access for official business purposes. Users are classified into different roles and common access and usage rights are established for each role. User roles are used to delineate between the different types of access requirements such that users are restricted to data that is required in the performance of their duties. Periodic assessments and reviews are conducted to determine whether users still require access, have the appropriate role, and whether there have been any unauthorized changes.

Record access procedures. The Privacy Act allows individuals the right to access records maintained about them in a Board system of records. Your request for access must: (1) contain a statement that the request is made pursuant to the Privacy Act of 1974; (2) provide either the name of the Board system of records expected to contain the record requested or a concise description of the system of records; (3) provide the information necessary to verify your identity; and (4) provide any other information that may assist in the rapid identification of the record you seek.

Contesting record procedures. The Privacy Act allows individuals to seek amendment of information that is erroneous, irrelevant, untimely, or incomplete and is maintained in a system of records that pertains to them. To request an amendment to your record, you should clearly mark the request as a “Privacy Act Amendment Request.” You have the burden of proof for demonstrating the appropriateness of the requested amendment and you must provide relevant and convincing evidence in support of your request.

Notification procedures. Same as “Access procedures” above. You may also follow this procedure in order to request an accounting of previous disclosures of records pertaining to you as provided for by 5 U.S.C. 552a(c).

Exemptions promulgated for the system. None.

History. None.

System name. FRB—Debt Collection Records

Security classification. Unclassified.

System location.

Both managers are located at the Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue NW, Washington, DC 20551.

Authority for maintenance of the system. Sections 10 and 11 of the Federal Reserve Act (12 U.S.C. 244 and 248), 12 CFR part 267, Federal Debt Collection Improvement Act, 5 U.S.C. 5514, 31 U.S.C. 3711–3720D, and Executive Order 9397.

Purpose(s) of the system. The Board maintains these records for debt collection purposes to reduce the debts owed to the Board arising out of its operations and activities, to protect the programmatic and financial integrity of the Board’s operations and activities, and to facilitate compliance with regulatory and statutory requirements.

Categories of individuals covered by the system. Persons indebted to the Board or the United States (including but not limited to restitution or disgorgement debts collectible by the United States) in connection with the Board’s operations or activities.

Categories of records in the system. Records documenting the basis for the person’s debts; the amount of the debt, payments on the debt (potentially including associated banking information), and accruals on the person’s debts; and internal and external correspondence concerning the person’s debts. Sensitive personally identifying information in the system could include debtors’ Social Security or tax identification numbers, dates of birth, bank account information, tax records, financial information, educational records, insurance records, payroll records, and pension records.

Record source categories. Information is provided by other Board components whose activities are connected to the debt, the Board’s payroll department, debtors, third parties holding information about debtors, materials produced in litigation, public records and databases compiling information from such records, and the U.S. Treasury Department or other federal agencies.

Routine uses of records maintained in the system, including categories of users and purposes of such uses. General routine uses A, B, C, D, E, F, G, H, I, and J apply to this system. These general routine uses are located at https://www.federalreserve.gov/files/SORN-page-general-routine-uses-of-board-systems-of-records.pdf and are published in the Federal Register at 83 Fed. Reg. 43,872, 43,873–74 (August 28, 2018). Records may also be used:

Policies and practices for storage of records. Paper records in this system are stored in locked file cabinets with access limited to staff with a need to know. Electronic records are stored on a secure server with access limited to staff with a need to know.

Policies and practices for retrieval of records. Records maintained can be retrieved by name.

Policies and practices for retention and disposal of records. Records relating to a debt will be retained for at least six years after final payment of the debt.

Administrative, technical, and physical safeguards. Paper records are secured by lock and key and electronic files are stored on secure servers. The system has the ability to track individual user actions within the system. The audit and accountability controls are based on NIST and Board standards which, in turn, are based on applicable laws and regulations. The controls assist in detecting security violations and performance or other issues in the system. Access to the system is restricted to authorized users who require access for official business purposes. Users are classified into different roles and common access and usage rights are established for each role. User roles are used to delineate between the different types of access requirements such that users are restricted to data that is required in the performance of their duties. Periodic assessments and reviews are conducted to determine whether users still require access and have the appropriate role, and whether there have been any unauthorized changes.

Record access procedures. The Privacy Act allows individuals the right to access records maintained about them in a Board system of records. Your request for access must: (1) contain a statement that the request is made pursuant to the Privacy Act of 1974; (2) provide either the name of the Board system of records expected to contain the record requested or a concise description of the system of records; (3) provide the information necessary to verify your identity; and (4) provide any other information that may assist in the rapid identification of the record you seek.

Contesting record procedures. The Privacy Act allows individuals to seek amendment of information that is erroneous, irrelevant, untimely, or incomplete and is maintained in a system of records that pertains to them. To request an amendment to your record, you should clearly mark the request as a “Privacy Act Amendment Request.” You have the burden of proof for demonstrating the appropriateness of the requested amendment and you must provide relevant and convincing evidence in support of your request.

Notification procedures. Same as “Access procedures” above. You may also follow this procedure in order to request an accounting of previous disclosures of records pertaining to you as provided for by 5 U.S.C. 552a(c).

Exemptions promulgated for the system. None.

History. None.

System name. FRB—OIG Investigative Records

System location.

Categories of individuals covered by the system. 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 complainants and witnesses where necessary for future retrieval.

Categories of records in the system. Individual investigations, including investigative reports and related documents generated during the course of or subsequent to an investigation; 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. Sections 4 and 6 of the Inspector General Act of 1978 (5 U.S.C. App. 4(a)(1) and 6(a)(2)).

Purpose(s). These records are collected and maintained 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 the purposes of such uses. General routine uses A, B, C, D, E, F, G, and I apply to this system. Records may also be used—

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system.

System manager and address.

Notification procedures. An individual desiring to learn the existence of, or to gain access to, his or her record in this system of records shall submit a request in writing to the Inspector General, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue NW, Washington, DC 20551. The request should contain (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, and (4) any other information that may assist in the rapid identification of the record for which access is being requested.

Record access procedures. Same as “Notification procedures” above.

Contesting record procedures. Same as “Notification procedures” above except that the envelope should be clearly marked “Privacy Act Amendment Request.” The request for amendment of a record should (1) identify the system of records containing the record for which amendment is requested, (2) specify the portion of that record requested to be amended, and (3) describe the nature of and reasons for each requested amendment.

Record source categories. Information is provided by the individual to whom the record pertains, employees of the Board and the Federal Reserve System, other government employees, witnesses and informants, and nongovernmental sources.

Exemptions claimed for the system. This system is exempt from any part of the Privacy Act, 5 U.S.C. 552a, except 5 U.S.C. 552a(b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11), and (i) pursuant to 5 U.S.C. 552a(j)(2). Additionally, certain portions of this system of records may be exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2) and (k)(5).

System name. OIG Personnel Records

System location.