[Federal Register Volume 59, Number 25 (Monday, February 7, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-2666]
[[Page Unknown]]
[Federal Register: February 7, 1994]
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FEDERAL RESERVE SYSTEM
[Docket No. R-0827]
Notice of Proposed New Systems of Records
AGENCY: Board of Governors of the Federal Reserve System.
ACTION: Notice of new systems of records.
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SUMMARY: In accordance with the Privacy Act of 1974 (Privacy Act), the
Board of Governors of the Federal Reserve System (Board) is
establishing two new systems of records to be maintained and used by
the Board's Office of the Inspector General. The two systems are called
OIG Investigative Records (BGFRS/OIG-1) and OIG Personnel Records
(BGFRS/OIG-2). Previously, information contained in the first system
was maintained as part of the Board's personnel systems of records. The
second system identified above includes the OIG's database management
and work assignment and tracking system and contains personal and
employment information on OIG personnel. Changes to that system have
caused that system to be subject to the Privacy Act.
DATES: Comments on this notice must be submitted by March 24, 1994.
ADDRESSES: Comments should be addressed to Brent L Bowen, Inspector
General, Office of the Inspector General, Mail Stop 300, Board of
Governors of the Federal Reserve System, 20th Street and Constitution
Avenue, NW., Washington, DC 20551. Comments are available for public
inspection at the Board's premises at the above location in Room MP-500
between 9 a.m. and 5 p.m., Monday through Friday.
FOR FURTHER INFORMATION CONTACT: John Harry Jorgenson, Counsel to the
Inspector General (202/872-7519), Office of the Inspector General, Mail
Stop 300, Board of Governors of the Federal Reserve System, Washington,
DC 20551.
SUPPLEMENTARY INFORMATION: The Board's Office of the Inspector General
(OIG) performs its duties in accordance with the Inspector General Act
of 1978, as amended by the Inspector General Act Amendments of 1988
(Pub. L. 95-452, as amended, 5 U.S.C. App.) (IG Act). The OIG is an
independent unit within the Board which was established to promote
economy, efficiency, and effectiveness in the administration of Board
programs and operations and to detect and prevent fraud, waste and
abuse in such programs and operations.
The Board is establishing two new systems of records, pursuant to
the Privacy Act, entitled: (1) OIG Investigative Records, and (2) OIG
Personnel Records. These systems of records are essential for the
Board's OIG to perform the duties assigned to that Office by the IG
Act.
The system called OIG Investigative Records (designated BGFRS/OIG-1
below) will consist of files and records compiled by the OIG on Board
employees or other persons involved with the Board's programs or
operations who have been or are under investigation for criminal or
civil fraud and abuse related to the Board's programs or operations.
The Board's Inspector General has the authority to conduct such an
investigation under the IG Act. These files and records include
materials maintained in electronic and hard copy form including
databases for case tracking, ``Hotline'' telephone call logs,
investigator notes, case files, and memoranda or letters.
The system of records called OIG Personnel Records (designated
BGFRS/OIG-2 below) will consist of files and records compiled by the
OIG on past, current, and prospective employees of the OIG for use in
the management of the Board's OIG. These files and records include
materials maintained in electronic or hard copy form, several databases
including the OIG Time Entry System, and files on individual employees
maintained and used by the OIG. The information in the system of
records is used for making and tracking assignments and for assessing
individual employee progress on assignments as well as for evaluating
employees.
The Board proposes to exempt certain files within these two new
systems of records from disclosure to individuals who are the subject
of a record in the system. The exemptions would cover only files
compiled for the following purposes:
(1) Investigative material compiled for law enforcement purposes;
and
(2) Investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for employment
by the OIG, but only to the extent the disclosure of such material
would reveal the identity of a source who furnished information to the
Board or OIG under an express promise of confidentiality.
This information in these two new systems is proposed to be exempt
under the authority of 5 U.S.C. 552a(k)(2) and (k)(5).
Pursuant to 5 U.S.C. 552a(j)(2), the system of records designated
as OIG Investigative Records (BGFRS/OIG-1) also shall be exempt from
certain parts of the Privacy Act insofar as the records are maintained
by a Board component which performs as its principal function any
activity pertaining to the enforcement of criminal laws and which
consists of:
(i) Information compiled for the purpose of identifying individual
criminal offenders and alleged offenders;
(ii) Information compiled for the purpose of a criminal
investigation, including reports of informants and investigators, and
associated with an identifiable individual; or
(iii) Reports identifiable to an individual compiled at any stage
of the process of enforcement of the criminal laws from arrest or
indictment through release from supervision.
The system is exempt from the provisions for the following reasons:
notifying an individual at the individual's request of the existence of
records in a criminal investigative file pertaining to such individual,
or granting access to such an investigative file could:
(A) Interfere with investigative and enforcement proceedings and
with co-defendants' right to a fair trial;
(B) Disclose the identity of confidential sources and reveal
confidential information supplied by these sources;
(C) Disclose investigative techniques and procedures; and
(D) Be inconsistent with Federal laws and rules governing
disclosure of such information in certain circumstances.
In accordance with 5 U.S.C. 552a(r), a report of these new systems
of records is being filed with the President of the Senate, the Speaker
of the House of Representatives, and the Director of the Office of
Management and Budget. These new systems of records will become
effective on April 8, 1994, without further notice, unless the Board
publishes a notice to the contrary in the Federal Register.
Accordingly, the Board proposes the establishment of the following
system of records.
BGFRS/OIG-1
OIG Investigative Records.
Office of Inspector General, Board of Governors of the Federal
Reserve System, Suite 1070, 1850 K Street, NW., Washington, DC 20006.
Individuals covered consist of:
(1) Officers or employees of the Board or other persons involved in
the Board's programs or operations who are or have been under
investigation by the Board's Office of Inspector General in order to
determine whether such officers, employees or other persons have been
or are engaging in fraud and abuse with respect to the Board's programs
or operations; and
(2) Complainants and witnesses where necessary for future
retrieval.
The system contains files on individual investigations including
investigative reports and related documents generated during the course
of or subsequent to an investigation. It includes electronic and hard
copy case tracking systems, databases containing investigatory
information, ``Hotline'' telephone logs, and investigator workpapers
and memoranda and letter referrals to management or others.
5 U.S.C. App. 4(a)(1) and 6(a)(2).
These records are collected, maintained and used by the OIG in its
inquiries and investigations and reports relating to the administration
of the Board's programs and operations and to manage the investigatory
program.
Under normal circumstances, no individually identifiable records
will be provided. However, under those unusual circumstances when
release of information contained in an individually identifiable record
is required, proper safeguards will be maintained to protect the
information collected from unwarranted invasion of personal privacy.
Subject to this general limitation, the routine uses are as follows:
1. In the event the information in the system of records indicates
a violation or potential violation of a criminal or civil law, rule, or
regulation, the relevant records may be disclosed to the appropriate
federal, state, or local agency or authority responsible for
investigating or prosecuting such a violation or for enforcing or
implementing a statute, rule, or regulation.
2. The information in the system of records may be disclosed to a
court, magistrate, or administrative tribunal in the course of
presenting evidence, including disclosures to counsel or witnesses in
the course of civil discovery, litigation, or settlement negotiations
or in connection with criminal proceedings.
3. The information may be disclosed to a congressional office in
response to an inquiry made by that office at the request of the
individual who is the subject of the records.
4. The information may be disclosed to any source, including a
federal, state, or local agency maintaining civil, criminal, or other
relevant enforcement information or other pertinent information, but
only to the extent necessary for the OIG to obtain information relevant
to an OIG investigation.
5. The information maybe disclosed in order to respond to a federal
agency's request made in connection with the hiring or retention of an
individual, the issuance of a security clearance, the reporting of an
investigation of an individual, the letting of a contract or issuance
of a grant, license, or other benefit by the requesting agency, but
only to the extent that the information disclosed is necessary and
relevant to the requesting agency's decision on the matter.
6. The information may be disclosed to other federal entities, such
as other federal Offices of Inspector General or the General Accounting
Office, or to a private party with which the OIG or the Board has
contracted for the purpose of auditing or reviewing the performance or
internal management of the OIG's investigatory program, provided the
record will not be transferred in a form that is individually
identifiable, and provided further that the entity acknowledges in
writing that it is required to maintain Privacy Act safeguards for the
information.
In addition to the foregoing routine uses, a record which is
contained in this system and derived from another Board system of
records may be disclosed as a routine use as specified in the Federal
Register notice of the system of records from which the records
derived.
These records are maintained in file folders, computer disks,
electronic media, and reports on each investigation.
Records are generally indexed by name of person under
investigation, investigation number, referral number, or investigative
subject matter.
File folders are maintained in lockable metal file cabinets stored
in offices that are locked when not in use. Computer disks and
electronic media are locked in the lockable metal file cabinets with
their related file folders, and information not so lockable is kept in
individual offices in locked or passworded computer hardware. Access to
the information in the cabinets and individual offices is permitted
only by and to specifically authorized personnel.
Records in file folders are retained as long as needed and then
destroyed by shredding. Computer disks are cleared, retired, or
destroyed when no longer useful. Entries on electronic media are
deleted or erased when no longer needed.
Brent L Bowen, Inspector General, Mail Stop 300, Board of Governors
of the Federal Reserve System, Washington, DC 20551. Office location is
Suite 1070, 1850 K Street, NW., Washington, DC 20006.
A person requesting notice as to whether this system of records
contains information pertaining to him or her should write to the
Office of Inspector General, Mail Stop 300, Board of Governors of the
Federal Reserve System, Washington, DC 20551. Individuals requesting
their own records must provide their name and address and a notarized
statement attesting to the individual's identity. Requests submitted on
behalf of other persons must include their written, notarized
authorization. Such requests in the form prescribed may also be
presented in person at the Office of the Inspector General, Suite 1070,
1850 K Street, NW., Washington, DC 20006. Simultaneously with
requesting notification of inclusion in this system of records, the
individual may request record access as described in the following
section on ``Record access procedures.''
Specific materials in this system have been exempted from Privacy
Act provisions at 5U.S.C. 552a(d), regarding access to records. The
section of this notice titled ``Exemptions claimed for the system''
indicates the kinds of material exempted and the reasons for exempting
them from access. Individuals wishing to request access to non-exempt
records should follow the procedures described in the ``Notification
procedure'' section. Requests submitted on behalf of other persons must
include their written, notarized authorization. If access to such
information by a subject individual is deemed consistent with the
purposes for which this system of records has been established, then
the individual will be notified by the OIG as to the time and place for
access to the records. The OIG will also notify individuals when access
is denied.
Individuals requesting amendment or contesting records in this
system of records should contact the OIG at the address given above,
reasonably identify the records, specify the information being
contested, the rationale for the challenge, and supply the information
requested to be substituted. Such individuals must also comply with the
Board's Privacy Act regulations on ``Request for correction or
amendment of record'' (12 CFR 261a.7).
The OIG collects information from many sources including the
subject individuals, employees of the Board and the Federal Reserve
System, other government employees, witnesses and informants, and
nongovernmental sources.
Pursuant to 5 U.S.C. 552a(k)(2), this system of records is exempted
from 5 U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1), (e)(4)(G), (H), and
(I), and (f) to the extent the system of records consists of
investigatory material compiled for law enforcement purposes. Pursuant
to 5 U.S.C. (k)(5), this system of records is exempted from 5 U.S.C.
552a(d)(1) to the extent that it consists of investigatory material
compiled for the purpose of determining suitability, eligibility, or
qualifications for federal civilian employment or federal contracts,
the release of which would reveal the identity of a source who
furnished confidential information to the Government under an express
promise that the identity of the source would be held in confidence.
Pursuant to 5 U.S.C. 552a(j)(2), this system of records is exempted
from 5U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1), (e)(2), and (e)(3) to
the extent that it consists of information compiled for the purpose of
criminal investigations.
BGFRS/OIG-2
OIG Personnel Records.
Office of Inspector General, Board of Governors of the Federal
Reserve System, Suite 1070, 1850 K Street, NW., Washington, DC 20006.
The system contains personal and financial information, in varying
amounts, on former, current, and prospective employees of the Board's
OIG.
These records may contain information relating to the education,
training, employment history and earnings; appraisal of past
performance; convictions for offenses against the law; results of
tests, appraisals of potential, honors, awards of fellowships; military
service or veteran status; school transcripts; work samples; birth
date; social security number; travel vouchers; offer letters and
correspondence, reference checks; and home address of past, present and
prospective employees of the OIG. Includes allocations of time spent on
various OIG projects and tasks (OIG Time Entry System) and related
documents and reports generated by the Time Entry System.
5 U.S.C. App. 8E(g)(2); 12 U.S.C. 248(l).
The information in these records is used for making hiring,
retention, promotion, and performance evaluation decisions.
Under normal circumstances, no individually identifiable records
will be provided. However, under those unusual circumstances when
release of information contained in an individually identifiable record
is required, proper safeguards will be maintained to protect the
information collected from unwarranted invasion of personal privacy.
Subject to this general limitation, the routine uses are as follows:
1. The information may be disclosed to assist in determining the
suitability for access to classified information.
2. The information may be disclosed to designated officers and
employees of agencies and departments of the federal government, and
the District of Columbia government, having an interest in the
individual for employment purposes, in connection with performance of a
service to the federal government, under a contract or other agreement,
including a security clearance or access determination, and a need to
evaluate qualifications, suitability, and loyalty to the United States
government.
3. The information may be disclosed to the intelligence agencies of
the Department of Defense, National Security Agency, Central
Intelligence Agency, and the Federal Bureau of Investigation for use in
intelligence activities.
4. The information may be disclosed to any source from which
information is requested by the Board in the course of an
investigation, to the extent necessary to identify the individual,
inform the source of the nature and purpose of the investigation and to
identify the type of information requested.
5. In the event the information in the system of records indicates
a violation or potential violation of a criminal or civil law, rule, or
regulation, the relevant records may be disclosed to the appropriate
federal, state, or local agency or authority responsible for
investigating or prosecuting such a violation or for enforcing or
implementing a statute, rule, regulation.
6. The information may be disclosed as a data source for management
information for production of descriptive statistics and analytical
studies in support of the function for which the records are collected
and maintained, or for related personnel management functions or
manpower studies; and they may also be utilized to respond to general
requests for statistical information (without personal identification
of individuals) under the Freedom of Information Act or to locate
specific individuals for personnel research or other personnel
management functions.
7. The information may be disclosed to respond to a court order.
8. The information may be disclosed to a congressional office in
response to an inquiry made by the office at the request of the
individual who is the subject of the records.
9. The information may be disclosed to other federal entities, such
as other federal Offices of Inspector General or the General Accounting
Office, or to a private party with which the OIG or the Board has
contracted for the purpose of auditing or reviewing the performance or
internal management of the OIG, provided the record will not be
transferred in a form that is individually identifiable, and provided
further that the entity acknowledges in writing that it is required to
maintain Privacy Act safeguards for the information.
In addition to the foregoing, a record which is contained in this
system and derived from another Board system of records may be
disclosed as a routine use as specified in the Federal Register notice
of the system of records from which the records derived.
The information is stored as written and printed information
contained in file folders and on computer disks, electronic media in
the form of individual reports or in electronic databases.
The information is indexed by name but can be retrieved by a
variety of personal identification means including by social security
number, employee number, and room number. It can also be retrieved by
project or assignment codes.
File folders are maintained in lockable metal file cabinets stored
in offices that are locked when not in use. Computer disks and
electronic media are locked in the lockable metal file cabinets with
their related file folders, and information not so lockable is kept in
locked or passworded computer hardware. Access to the information in
the cabinets and individual offices is permitted only by and to
specifically authorized personnel.
Records in file folders are retained as long as needed and then
destroyed by shredding. Computer disks are cleared, retired, or
destroyed when no longer useful. Entries on electronic media are
deleted or erased when no longer needed.
Brent L Bowen, Inspector General, Mail Stop 300, Board of Governors
of the Federal Reserve System, Washington, DC 20551. Office location is
Suite 1070, 1850 K Street, NW., Washington, DC 20006.
A person requesting notice as to whether this system of records
contains information pertaining to him or her should write to the
Office of Inspector General, Mail Stop 300, Board of Governors of the
Federal Reserve System, Washington, DC 20551. Individuals requesting
their own records must provide their name and address and a notarized
statement attesting to the individual's identity. Requests submitted on
behalf of other persons must include their written, notarized
authorization. Such requests in the form prescribed may also be
presented in person at the Office of the Inspector General, Suite 1070,
1850 K Street, NW., Washington, DC 20006. Simultaneously with
requesting notification of inclusion in this system of records, the
individual may request record access as described in the following
section on ``Record access procedures''.
Specific materials in this system have been exempted from Privacy
Act provisions at 5U.S.C. 552a(d), regarding access to records. The
section of this notice titled ``Exemptions claimed for the system''
indicates the kinds of material exempted and the reasons for exempting
them from access. Individuals wishing to request access to non-exempt
records should follow the procedures described in the ``Notification
procedure'' section. Requests submitted on behalf of other persons must
include their written, notarized authorization. If access to such
information by a subject individual is deemed consistent with the
purposes for which this system of records has been established, then
the individual will be notified by the OIG as to the time and place for
access to the records. The OIG will also notify individuals when access
is denied.
Individuals requesting amendment of contesting records in this
system or records should contact the Office of Inspector General at the
address given above, reasonably identify the records, specify the
information being contested, the rationale for the challenge, and
supply the information requested to be substituted. Such individuals
must also comply with the Board's Privacy Act regulations on ``Request
for correction or amendment of record'' (12 CFR 261a.7).
Subject individuals, employees of the Board and the Federal Reserve
System, other government employees, and witnesses and informants.
Pursuant to 5 U.S.C. (k)(5), this system of records is exempted
from 5 U.S.C. 552a(d)(1) to the extent that it consists of
investigatory material compiled for the purpose of determining
suitability, eligibility, or qualifications for federal civilian
employment or federal contracts, the release of which would reveal the
identity of a source who furnished confidential information to the
Government under an express promise that the identity of the source
would be held in confidence.
By order of the Board of Governors of the Federal Reserve
System, dated February 1, 1994.
William W. Wiles,
Secretary of the Board.
[FR Doc. 94-2666 Filed 2-4-94; 8:45 am]
BILLING CODE 6210-01-F
