[Federal Register Volume 75, Number 200 (Monday, October 18, 2010)]
[Rules and Regulations]
[Pages 63703-63706]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-25367]
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FEDERAL RESERVE SYSTEM
12 CFR Part 261a
[Docket No. R-1313]
Privacy Act of 1974; Privacy Act Regulation
AGENCY: Board of Governors of the Federal Reserve System.
ACTION: Final rule.
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SUMMARY: The Board of Governors of the Federal Reserve System (Board)
is issuing a final rule to amend its regulation implementing the
Privacy Act of 1974 (Privacy Act). The primary changes concern the
waiver of copying fees charged to current and former Board employees,
and applicants for Board employment, for access to their records under
the Privacy Act; the amendment of special procedures for the release of
medical records to permit the Board's Chief Privacy Officer to consult
with the Board's Employee Assistance Program counselor to determine
whether the disclosure of medical records directly to the requester
could have an adverse effect on the requester; changes to the time
limits for responding to requests for access to information and
amendment of records; and updates to the exemptions claimed for certain
systems of records. In addition, the Board is proposing to make minor
editorial and technical changes to ensure that the Board's regulation
is consistent with the Board's published systems of records and is
clearer.
DATES: This rule is effective October 18, 2010.
FOR FURTHER INFORMATION CONTACT: Brad Fleetwood, Senior Counsel, (202)
452-3721, Legal Division. For users of Telecommunications Device for
the Deaf (TDD) only, contact (202) 263-4869.
SUPPLEMENTARY INFORMATION: The Board published a notice of proposed
rulemaking to amend its regulation implementing the Privacy Act in the
Federal Register, 73 FR 25594, May 7, 2008. The proposed amendments:
(1) Waived all copying fees in connection with any Privacy Act request
by current or former Board employees and applicants for Board
employment; (2) permitted the Chief Privacy Officer to consult with the
Board's Employee Assistance Program counselor as well as the Board's
physician to determine whether the disclosure of medical records
directly to the requester could have an adverse effect on the
requester; (3) required all requests for access (including requests
made by current Board employees for access to their personnel records)
to be submitted in writing to the Secretary of the Board; (4)
lengthened the time limits for acknowledging (and where practicable,
substantially responding to) an individual's request for access to
information and making a determination on a request to amend an
individual's record; (5) replaced the statutory exemptions listed in
the Privacy Act with references to the relevant provisions in the
Privacy Act; (6) updated the exemptions listed under 12 CFR 261a.12 to
conform to the exemptions approved for each of the Board's Privacy Act
systems of records; and (7) made minor editorial and technical changes
for clarity and consistency with the Board's published systems of
records.
In response to these proposed amendments, the Board received three
public comments relating to the privacy of information held by banks
and other financial institutions. Because the Board's Privacy Act
regulation does not regulate the privacy of this information, the Board
did not consider these comments relevant.
The Board's final rule adopts all of the amendments as proposed
except that the Board has determined to revise the requirement that all
requests for access be submitted in writing to the Secretary of the
Board. This amendment was proposed to facilitate appropriate tracking
and processing of all Privacy Act requests. However, after an internal
review of this matter, the Board determined that because current and
former employees frequently request access to records about themselves
directly from Human Resources (HR) in person to require such employees
to instead seek this information from the Secretary's Office in writing
would be extremely burdensome. Any benefit from an increased ability to
track these requests would be more than outweighed by the increased
difficulty that employees would face in seeking information about
themselves.
[[Page 63704]]
Therefore, the Board has determined that it is unnecessary at this time
to require current or former employees to make Privacy Act requests
through the Secretary's Office. The final rule permits current and
former Board employees to make Privacy Act requests in person or in
writing to the Board office that maintains the record. The Board
believes that this will facilitate employees' access to their records
consistent with the requirements of the Privacy Act. If the Secretary
determines that this option impedes or frustrates in any way the
appropriate tracking of requests, the Secretary may notify requesters
that they must submit their requests through the Secretary's office. In
any case, a denial of an employee's request (in whole or in part) must
be reported to the Secretary of the Board so that the Secretary can
ensure that the request was appropriately processed.
The Board's final rule also updates section 261a.5(c) regarding
verification of identity to make it clear that a Board identification
card is considered valid proof of identity for current and former Board
employees. In addition, during the time between the date the proposed
rulemaking was published and this final rulemaking, the Board published
two new systems of records, BGFRS-37 (Electronic Applications) and
BGFRS-38 (Transportation Subsidy Records). As noted in the related
Federal Register Notice, 73 FR 54595, September 22, 2008, certain
portions of BGFRS-37 (Electronic Applications) 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). Thus, the Board has
amended section 261a.12 to reflect this exemption.
Regulatory Flexibility Analysis
The Privacy Act Regulation sets forth the procedures by which
individuals may request access and amendment to records maintained in
systems of records at the Board. The Board certifies that this rule
will not have a significant economic impact on a substantial number of
small entities, because it does not apply to business entities.
List of Subjects in 12 CFR Part 261a
Privacy.
Authority and Issuance
0
For the reasons set forth in the preamble, the Board revises 12 CFR
Part 261a as follows:
PART 261a--RULES REGARDING ACCESS TO PERSONAL INFORMATION UNDER THE
PRIVACY ACT 1974
Subpart A--General Provisions
Sec.
261a.1 Authority, purpose and scope.
261a.2 Definitions.
261a.3 Custodian of records; delegations of authority.
261a.4 Fees.
Subpart B--Procedures for Requests by Individual to Whom Record
Pertains
261a.5 Request for access to record.
261a.6 Board procedures for responding to request for access.
261a.7 Special procedures for medical records.
261a.8 Request for amendment of record.
261a.9 Board review of request for amendment of record.
261a.10 Appeal of adverse determination of request for access or
amendment.
Subpart C--Disclosure of Records
261a.11 Restrictions on disclosure.
261a.12 Exempt records.
Authority: 5 U.S.C. 552a.
Subpart A--General Provisions
Sec. 261a.1 Authority, purpose and scope.
(a) Authority. This part is issued by the Board of Governors of the
Federal Reserve System (the Board) pursuant to the Privacy Act of 1974
(5 U.S.C. 552a).
(b) Purpose and scope. This part implements the provisions of the
Privacy Act of 1974 with regard to the maintenance, protection,
disclosure, and amendment of records contained within systems of
records maintained by the Board. It sets forth the procedures for
requests for access to, or amendment of, records concerning individuals
that are contained in systems of records maintained by the Board.
Sec. 261a.2 Definitions.
For purposes of this part, the following definitions apply:
(a) Business day means any day except Saturday, Sunday or a legal
Federal holiday.
(b) Guardian means the parent of a minor, or the legal guardian of
any individual who has been declared to be incompetent due to physical
or mental incapacity or age by a court of competent jurisdiction.
(c) Individual means a natural person who is either a citizen of
the United States or an alien lawfully admitted for permanent
residence.
(d) Maintain includes maintain, collect, use, or disseminate.
(e) Record means any item, collection, or grouping of information
about an individual maintained by the Board that contains the
individual's name or the identifying number, symbol, or other
identifying particular assigned to the individual, such as a
fingerprint, voice print, or photograph.
(f) Routine use means, with respect to disclosure of a record, the
use of such record for a purpose that is compatible with the purpose
for which it was collected or created.
(g) System of records means a group of any records under the
control of the Board from which information is retrieved by the name of
the individual or by some identifying number, symbol, or other
identifying particular assigned to the individual.
(h) You means an individual making a request under the Privacy Act.
(i) We means the Board.
Sec. 261a.3 Custodian of records; delegations of authority.
(a) Custodian of records. The Secretary of the Board is the
official custodian of all Board records.
(b) Delegated authority of the Secretary. The Secretary of the
Board is authorized to--
(1) Respond to requests for access to, accounting of, or amendment
of records contained in a system of records, except for requests
regarding systems of records maintained by the Board's Office of
Inspector General (OIG);
(2) Approve the publication of new systems of records and amend
existing systems of records, except those systems of records exempted
pursuant to Sec. 261a.12(b), (c) and (d); and
(3) File any necessary reports related to the Privacy Act.
(c) Delegated authority of designee. Any action or determination
required or permitted by this part to be done by the Secretary of the
Board may be done by a Deputy or Associate Secretary or other
responsible employee of the Board who has been duly designated for this
purpose by the Secretary.
(d) Delegated authority of Inspector General. The Inspector General
is authorized to respond to requests for access to, accounting of, or
amendment of records contained in a system of records maintained by the
OIG.
Sec. 261a.4 Fees.
(a) Copies of records. We will provide you with copies of the
records you request under Sec. 261a.5 of this part at the same cost we
charge for duplication of records and/or production of computer output
under the Board's Rules Regarding Availability of Information, 12 CFR
Part 261.
(b) No fee. We will not charge you a fee if:
(1) Your total charges are less than $5, or
[[Page 63705]]
(2) You are a Board employee or former employee, or an applicant
for employment with the Board, and you request records pertaining to
you.
Subpart B--Procedures for Requests by Individuals to Whom Record
Pertains
Sec. 261a.5 Request for access to records.
(a) Procedures for making request. (1) Except as provided in
paragraph (a)(2) or (f) of this section, if you (or your guardian) want
to learn of the existence of, or to gain access to, your record in a
system of records, you may 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.
(2) If you request information contained in a system of records
maintained by the Board's OIG, you may submit the request in writing to
the Inspector General, Board of Governors of the Federal Reserve
System, 20th Street and Constitution Avenue, NW., Washington, DC 20551.
(b) Contents of request. Except for requests made under paragraph
(f) of this section, your written request must include -
(1) A statement that the request is made pursuant to the Privacy
Act of 1974;
(2) Tthe name of the system of records you believe contains the
record you request, or a concise description of that system of records;
(3) Information necessary to verify your identity pursuant to
paragraph (c) of this section; and
(4) Any other information that might assist us in identifying the
record you seek (e.g., maiden name, dates of employment, etc.).
(c) Verification of identity. We will require proof of your
identity, and we reserve the right to determine whether the proof you
submit is adequate. In general, we will consider the following to be
adequate proof of identity:
(1) If you are a current or former Board employee, your Board
identification card; or
(2) If you are not a current or former Board employee, either
(i) Two forms of identification, including one photo
identification, or
(ii) A notarized statement attesting to your identity.
(d) Verification of identity not required. We will not require
verification of identity when the records you seek are available to any
person under the Freedom of Information Act (5 U.S.C. 552).
(e) Request for accounting of previous disclosures. You may request
an accounting of previous disclosures of records pertaining to you in a
system of records as provided in 5 U.S.C. 552a(c).
(f) Requests Made by Board Employees. Unless the Secretary provides
and you are notified otherwise, if you are a current or former Board
employee, you also may request access to your record in a system of
records by appearing in person before or writing directly to the Board
office that maintains the record.
Sec. 261a.6 Board procedures for responding to request for access.
(a) Compliance with Freedom of Information Act. We will handle
every request made pursuant to Sec. 261a.5 of this part (other than
requests submitted under Sec. 261a.5(f) that were granted) as a
request for information pursuant to the Freedom of Information Act. The
time limits set forth in paragraph (b) of this section and the fees
specified in Sec. 261a.4 of this part will apply to such requests.
(b) Time for response. We will acknowledge every request made
pursuant to Sec. 261a.5 of this part within 20 business days from
receipt of the request and will, where practicable, respond to each
request within that 20-day period. When a full response is not
practicable within the 20-day period, we will respond as promptly as
possible.
(c) Disclosure. (1) When we disclose information in response to
your request, except for information maintained by the Board's OIG, we
will make the information available for inspection and copying during
regular business hours at the Board's Freedom of Information Office, or
we will we mail it to you on your request. For requests made under
paragraph Sec. 261a.5(f), you may request that the information be
provided orally or in person.
(2) When the information to be disclosed is maintained by the
Board's OIG, the OIG will make the information available for inspection
and copying or will mail it to you on request.
(3) You may bring with you anyone you choose to see the requested
material. All visitors to the Board's buildings must comply with the
Board's security procedures.
(d) Denial of request. If we deny a request made pursuant to Sec.
261a.5 of this part, we will tell you the reason(s) for denial and the
procedures for appealing the denial. If a request made under paragraph
Sec. 261a.5(f) is denied, in whole or in part, the Board office that
denied your request will simultaneously notify the Secretary of the
Board of its action.
Sec. 261a.7 Special procedures for medical records.
If you request medical or psychological records pursuant to Sec.
261a.5, we will disclose them directly to you unless the Chief Privacy
Officer, in consultation with the Board's physician or Employee
Assistance Program counselor, determines that such disclosure could
have an adverse effect on you. If the Chief Privacy Officer makes that
determination, we will provide the information to a licensed physician
or other appropriate representative that you designate, who may
disclose those records to you in a manner he or she deems appropriate.
Sec. 261a.8 Request for amendment of record.
(a) Procedures for making request.
(1) If you wish to amend a record that pertains to you in a system
of records, you may submit the request in writing to the Secretary of
the Board (or to the Inspector General for records in a system of
records maintained by the OIG) in an envelope clearly marked ``Privacy
Act Amendment Request.''
(2) Your request for amendment of a record must--
(i) Identify the system of records containing the record for which
amendment is requested;
(ii) Specify the portion of that record requested to be amended;
and
(iii) Describe the nature of and reasons for each requested
amendment.
(3) We will require you to verify your identity under the
procedures set forth in Sec. 261a.5(c) of this part, unless you have
already done so in a related request for access or amendment.
(b) Burden of proof. Your request for amendment of a record must
tell us why you believe the record is not accurate, relevant, timely,
or complete. 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.
Sec. 261a.9 Board review of request for amendment of record.
(a) Time limits. We will acknowledge your request for amendment of
your record within 10 business days after we receive your request. In
the acknowledgment, we may request additional information necessary for
a determination on the request for amendment. We will make a
determination on a request to amend a record promptly.
(b) Contents of response to request for amendment. When we respond
to a request for amendment, we will tell you whether your request is
granted or
[[Page 63706]]
denied. If we grant your request, we will take the necessary steps to
amend your record and, when appropriate and possible, notify prior
recipients of the record of our action. If we deny the request, in
whole or in part, we will tell you--
(1) Why we denied the request (or portion of the request);
(2) That you have a right to appeal; and
(3) How to file an appeal.
Sec. 261a.10 Appeal of adverse determination of request for access or
amendment.
(a) Appeal. You may appeal a denial of a request made pursuant to
Sec. 261a.5 or Sec. 261a.8 of this part within 10 business days after
we notify you that we denied your request. Your appeal must--
(1) Be made in writing with the words ``PRIVACY ACT APPEAL''
written prominently on the first page and addressed to the Secretary of
the Board, Board of Governors of the Federal Reserve System, 20th
Street and Constitution Avenue, NW., Washington, DC 20551;
(2) Specify the background of the request; and
(3) Provide reasons why you believe the initial denial is in error.
(b) Determination. We will make a determination on your appeal
within 30 business days from the date we receive it, unless we extend
the time for good cause.
(1) If we grant your appeal regarding a request for amendment, we
will take the necessary steps to amend your record and, when
appropriate and possible, notify prior recipients of the record of our
action.
(2) If we deny your appeal, we will inform you of such
determination, tell you our reasons for the denial, and tell you about
your rights to file a statement of disagreement and to have a court
review our decision.
(c) Statement of disagreement. (1) If we deny your appeal regarding
a request for amendment, you may file a concise statement of
disagreement with the denial. We will maintain your statement with the
record you sought to amend and any disclosure of the record will
include a copy of your statement of disagreement.
(2) When practicable and appropriate, we will provide a copy of the
statement of disagreement to any prior recipients of the record.
Subpart C--Disclosure of Records
Sec. 261a.11 Restrictions on disclosure.
We will not disclose any record about you contained in a system of
records to any person or agency without your prior written consent
unless the disclosure is authorized by 5 U.S.C. 552a(b).
Sec. 261a.12 Exempt records.
(a) Information compiled for civil action. This regulation does not
permit you to have access to any information compiled in reasonable
anticipation of a civil action or proceeding.
(b) Law enforcement information. Pursuant to 5 U.S.C. 552a(k)(2),
we have determined that it is necessary to exempt the systems of
records listed below from the requirements of the Privacy Act
concerning access to records, accounting of disclosures of records,
maintenance of only relevant and necessary information in files, and
certain publication provisions, respectively, 5 U.S.C. 552a(c)(3), (d),
(e)(1), (e)(4)(G), (H) and (I), and (f), and Sec. Sec. 261a.5, 261a.7,
and 261a.8 of this part. The exemption applies only to the extent that
a system of records contains investigatory materials compiled for law
enforcement purposes.
(1) BGFRS-1 Recruiting and Placement Records
(2) BGFRS-2 Personnel Security Systems
(3) BGFRS-4 General Personnel Records
(4) BGFRS-5 EEO Discrimination Complaint File
(5) BGFRS-18 Consumer Complaint Information
(6) BGFRS-21 Supervisory Enforcement Actions and Special Examinations
Tracking System
(7) BGFRS-31 Protective Information System
(8) BGFRS-32 Visitor Registration System
(9) BGFRS-36 Federal Reserve Application Name Check System
(10) BGFRS-37 Electronic Applications
(11) BGFRS/OIG-1 OIG Investigative Records
(c) Confidential references. Pursuant to 5 U.S.C. 552a(k)(5), we
have determined that it is necessary to exempt the systems of records
listed below from the requirements of the Privacy Act concerning access
to records, accounting of disclosures of records, maintenance of only
relevant and necessary information in files, and certain publication
provisions, respectively, 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G),
(H) and (I), and (f), and Sec. Sec. 261a.5, 261a.7, and 261a.8 of this
part. The exemption applies only to the extent that a system of records
contains investigatory material compiled to determine an individual's
suitability, eligibility, and qualifications for Board employment or
access to classified information, and the disclosure of such material
would reveal the identity of a source who furnished information to the
Board under a promise of confidentiality.
(1) BGFRS-1 Recruiting and Placement Records
(2) BGFRS-2 Personnel Security Systems
(3) BGFRS-4 General Personnel Records
(4) BGFRS-10 General Files on Board Members
(5) BGFRS-11 Official General Files
(6) BGFRS-13 Federal Reserve System Bank Supervision Staff
Qualifications
(7) BGFRS-14 General File on Federal Reserve Bank and Branch Directors
(8) BGFRS-25 Multi-Rater Feedback Records
(9) BGFRS/OIG-1 OIG Investigative Records
(10) BGFRS/OIG-2 OIG Personnel Records
(d) Criminal law enforcement information. Pursuant to 5 U.S.C.
552a(j)(2), we have determined that the OIG Investigative Records
(BGFRS/OIG-1) are exempt from the Privacy Act, except the provisions
regarding disclosure, the requirement to keep an accounting, certain
publication requirements, certain requirements regarding the proper
maintenance of systems of records, and the criminal penalties for
violation of the Privacy Act, respectively, 5 U.S.C. 552a(b), (c)(1),
and (2), (e)(4)(A) through (F), (e)(6), (e)(7), (e)(9), (e)(10),
(e)(11) and (i).
By order of the Board of Governors of the Federal Reserve
System, October 4, 2010.
Robert deV. Frierson,
Deputy Secretary of the Board.
[FR Doc. 2010-25367 Filed 10-15-10; 8:45 am]
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