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federal R e s e r v e Ba n k DALLAS, TEXAS of Dallas 75222 C irc u la r No. 75-178 November 28, 1975 A m e r ic a n R e v o l u tio n B ic e n te n n ia l RULES REGARDING A V A IL A B IL IT Y OF INFORMATION AND RULES REGARDING ACCESS TO AND REVIEW OF PERSONAL INFORMATION IN SYSTEMS OF RECORDS TO ALL MEMBER BANKS AND OTHERS CONCERNED IN THE ELEVENTH FEDERAL RESERVE DISTR IC T: T h e re is enclosed for insertion in y o u r b in d e r of Rules and Regulations of the Board of Governors of the Federal Reserve System and Operating Bulletins of this Bank a pamphlet containing the Rules Regarding A v a ila b ility of Information (12 CFR 261 ), as amended effective F e b ru a ry 19, 1975, and the Rules Regarding A c cess to and Review of Personal Information in Systems of Records (12 CFR 261a), effective September 28, 1975. These Rules have been printed in combined form to incorporate relevant provisions of the P rivacy Act of 1974. Please remove from you r b in d e r and destroy the pamphlet dated J u ly 4, 1967 containing the Rules Regarding A v a ila b ility of In formation and the slip sheet containing amendments to those Rules effective F e b ru a ry 19, 1975. Additional copies of these Rules w ill be furnished upon request to the Secretary's Office of this Bank. Sincerely yo u rs , Ernest T . Baughman President Enclosure This publication was digitized and made available by the Federal Reserve Bank of Dallas' Historical Library (FedHistory@dal.frb.org) BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM RULES REGARDING AVAILABILITY OF INFORMATION (12 CFR 261) As amended effective February 19, 1975 RULES REGARDING ACCESS TO AND REVIEW OF PERSONAL INFORMATION IN SYSTEMS OF RECORDS (12 CFR 261a) Effective September 28, 1975 RULES REGARDING AVAILABILITY OF INFORMATION CONTENTS Page Page S c o p e .................................. 3 ........................................... 3 (a) “Information of the Board” .................. (b) “Records of the B oard” ............................ 3 3 S e c . 2 6 1 . 1 — B asis S e c . 2 6 1 .2 — D Se c . 2 6 1 .3 — P (a ) (b ) (c) (d ) (e) (f) and e f in it io n s ............... In 3 3 4 4 4 4 C er t a in I n 3 Federal R e g is te r ........................................... Annual R e p o r t s ........................................... Federal Reserve B u l le t in ......................... Other published in f o r m a tio n ................. Obtaining published in f o rm a tio n ............ Index of Board A c t i o n ............................. (f) Extension of time requirements in un usual circumstances ............................. (g) Fee schedule ................................................ S e c . 261.5— D e f e r m e n t o f A v a i l a b i l i t y o f u b l is h e d f o r m a t io n S e c . 2 6 1 .4 — R ec o r d s A v a il a b l e l ic U Re pon to the q u est P ub ....................... 4 ( a ) General r u l e .................................................. (b) Opinions, orders, statements of policy, interpretations, and staff manuals and instructions ............................................. (c) O ther r e c o r d s ................................................ (d ) Obtaining access to r e c o r d s ..................... (e) Appeal of denial of access to records of the Board ................................................ 4 4 5 5 f o r m a t io n .............. (a) Deferment of a v a ila b ility .......................... (b ) Reasons for deferment of availability . . S e c . 261.6— E x e m p t i o n s f r o m D i s c l o s u r e . (a) G eneral r u l e .................................................. (b) Information available to supervised in stitutions and other Government a g e n c ie s .................................................... (c) Prohibition against d is c lo s u r e ................. (d ) Appeal from denial of access to infor mation ...................................................... S e c . 261.7— S u b p o e n a s ........................................ (a ) Advice by person s e r v e d .......................... (b ) Appearance by person s e r v e d ................. Statutory A p p e n d ix ................................................... 5 5 6 6 6 6 6 7 7 7 7 7 7 8 5 RULES REGARDING ACCESS TO AND REVIEW OF PERSONAL INFORMATION IN SYSTEMS OF RECORDS CONTENTS Page Page S e c . 2 6 1 a . 1— P u r p o s e Sec . 2 6 la .2— D Sc and e f in it io n s ....................... 12 ........................................ 12 o p e Sec. 2 6 la .3— P r o c e d u r e s f o r R e q u e s ts P e r ta in in g t o Se c . 2 6 l a . 8— A g ency for . Se c . 2 6 1 a .5— D is c l o s u r e ........................................ of R equested Se c . 2 6 l a . 6— S p e c ia l P r o c e d u r e s — M R ecords Se c . 2 6 1 a.7— R e q u e st A m endment C o r r e c t io n to R ecord 13 v id u a l on Sec . 2 6 1 a .ll— F ees 13 13 W ............ R ecord hom 14 to han I n d i It P er ................................................. ...................................................... S e c . 2 6 l a . 13— E x e m p t io n s 13 D e C orrec en d m en t of to S e c . 2 6 l a . 12— P e n a l t ie s or .. is c l o su r e ta in s e d ic a l ........................................... for 13 In -' FORMATION TO INDIVIDUALS . Am P erson O th e r T t i o n o f In d iv id u a ls M a k in g R ecord In it ia l A d v er se t io n o r S e c . 2 6 l a . 10— D R equest of m en d m en t of of t e r m in a t io n 12 S ec. 2 6 la .4 — R e q u i r e m e n t s f o r I d e n t i f i c a R equests A S e c . 2 6 1 a .9 — A p p e a l In d iv id u a l R e c o r d s in a R e c o r d s S y s te m R e v ie w 14 15 ........................................... 15 ..................................... 15 RULES REGARDING AVAILABILITY OF INFORMATION* (12 CFR 261) As amended effective February 19, 1975 SEC T IO N 261.1— BASIS A N D SCO PE This P art is issued by the Board of Governors of the Federal Reserve System (the “Board”) p u r suant to the requirem ent of section 552 o f Title 5 of the United States Code th at every Federal agency shall publish in the Federal Register, for the guidance o f the public, descriptions of the es tablished places at which, the officers from whom, and the m ethods whereby, the public may obtain information, make submittals or requests, o r ob tain decisions. SEC T IO N 261.2— D E F IN IT IO N S (a) “Information of the Board”. F o r purposes of this Part, the term “inform ation of the Board” means all inform ation coming into the possession of the Board or of any m em ber thereof, o r of any Federal Reserve Bank, or of any officer, employee, or agent of the Board or of any Federal Reserve Bank, in the perform ance of functions for o r on behalf of the Board, including functions delegated by the Board pursuant to P art 265 of this chapter. (b) “Records o f the Board”. F or purposes of this Part, the term “records of the Board” means rules, statements, opinions, orders, m em oranda, letters, reports, accounts, and other papers con taining inform ation of the Board that constitute p art of the Board’s official files. (2) statements of the general course and method by which its functions are channeled and determined, including the nature and requirements or all form al and informal procedures available; (3) rules of procedure, descriptions of forms available or the places at which forms m ay be obtained, and instructions as to the scope and con tents of all papers, reports, or examinations; (4) adopted general cability substantive rules of general applicability as authorized by law, and statements of policy or interpretations o f general appli form ulated and adopted by the Board; (5 ) every am endm ent, revision, or repeal of the foregoing; and (6) general notices of proposed rule making. The Board also publishes in the Federal Register notice of receipt o f applications pursuant to the B ank H olding C om pany A ct of 1956 (12 U.S.C. 1842), orders and supporting statements issued by the Board with respect to such applications and applications under the Bank M erger A ct (12 U.S.C. 1828(c)), and notices of form al hearings ordered by the Board. (b) Annual Reports. T h e B oard’s A nnual R e port to Congress pursuant to section 10 o f the Federal Reserve A ct (12 U.S.C. 247), which is m ade public immediately after its submission to Congress, contains a full account of the Board’s S E C T IO N 261.3— P U B L IS H E D operations during the year, an economic review o f IN F O R M A T IO N the year, and legislative recommendations to C o n (a) Federal Register. T o the extent required by gress. As required by law, the A nnual R eport in sections 552 and 553 of Title 5 of the U nited cludes (1) a complete record o f the policy actions taken by the Board and the Federal Open M arket States Code, and subject to the provisions of §§ Committee, showing the votes taken thereon and 261.5 and 261.6, the Board publishes in the F ed eral Register for the guidance of the public, in the reasons underlying such actions (12 U.S.C. addition to this Part, 247a); (2) material pertaining to the adm inistration (1) descriptions o f its central and field orgaof the B oard’s functions under the Bank Holding nization; Com pany Act of 1956 (12 U.S.C. 1844); and (3) material pertaining to bank mergers approved by * The text corresponds to the Code of Federal Regula the Board un der section 18(c) o f the Federal tions, Title 12, Chapter II, Part 261, cited as 12 C F R 261. Deposit Insurance A ct (12 U.S.C. 1828 (c)). The words “this P a rt”, as used herein, mean these rules. §§ 261.3—261.4 P ursuant to section 114 of the T ruth in Lending Act (15 U.S.C. 1613) the Board reports annually to the Congress concerning the administration of its functions under the Act, and includes such recom m endation as it deems necessary or appro priate, and its assessment of the extent to which compliance is being achieved. A n annual report is also submitted pursuant to the Freedom of Infor mation Act (5 U.S.C. 552) with regard to requests for inform ation under that Act. (c) Federal Reserve Bulletin. In the Federal R e serve Bulletin, which is" issued monthly, the Board publishes economic and statistical information; special articles on subjects of economic interest; regulations, statements of general policy, and in terpretations of laws and regulations o f general interest to the public; notices of actions by the Board on certain types of applications, such as applications for membership in the Federal R e serve System; and Q,rders and accom panying state ments of the Board with respect to certain types of adjudications. Some material that is published in the Bulletin is released in advance of such p u b lication, examples being certain regulations, inter pretations, orders and opinions, a m onthly sum m ary of business conditions, the B oard’s index of industrial production, and certain other statistical series. (d) Other published information. As required by section 11(a) of the Federal Reserve A ct (12 U.S.C. 248(a)), the Board issues weekly (1) a state m ent of the condition of the Federal Reserve Banks; (2) a statement listing certain applications received by o r on behalf of the Board and actions on such applications by the Board, or on behalf o f the Board pursuant to authority delegated under Part 265 of this chapter, as well as other matters issued, adopted, or prom ulgated by the Board; and (3) a statement showing changes in the bank ing structure resulting from mergers and the estab lishment of branches. F ro m time to time, the Board issues statements to the press regarding p ar ticular m onetary and credit actions, regulatory actions, actions with respect to certain types of applications, and other matters. In addition, it issues various publications, the more im portant of which are listed in the m onthly Federal Reserve Bulletin. A m ong such publications is a loose-leaf compilation of Interpretations o f the Board o f Governors o f the Federal Reserve System. RULES REGARDING INFORMATION (e) Obtaining published information. A nyone may subscribe to the Federal Reserve Bulletin at the rate therein indicated. A copy o f each issue of the Bulletin is sent without charge to each m em ber bank. Current or back issues of the Bulletin, Annual Reports, rules, regulations, and certain other published inform ation may be examined at the offices of the Board o r any Federal Reserve Bank, and copies, if in stock, are supplied by the Board at prescribed charges or at no cost. (f) Index of Board Action. There is available to the public upon request to the Secretary of the Board, at a charge not to exceed the direct cost of duplication, copies of an index providing identi fying inform ation as to any matter issued, adopted o r promulgated by the Board between July 4, 1967 and February 19, 1975. Furtherm ore, the Board publishes and distributes to the public, at a cost not to exceed the direct cost of duplication, a weekly index providing identifying inform ation as to any matter issued, adopted or promulgated by the Board after F ebruary 19, 1975. SEC T IO N 261.4— RE C O R D S A V A IL A B L E TO T H E P U B L IC U P O N R E Q U E ST (a) General rule. All records o f the Board, w hether or not published under § 261.3, are made available to any person, upon request, fo r inspec tion and copying in accordance with the provisions of this section and subject to the limitations stated in §§ 261.5 and 261.6. Records falling within the exemptions from disclosure set forth in section 552(b) of Title 5 of the United States Code and in § 261.6 m ay nevertheless be made available in ac cordance with this action to the fullest extent con sistent, in the B oard’s judgm ent, with the effective perform ance of the Board’s statutory responsibili ties and with the avoidance of injury to a public or private interest intended to be protected by such exemptions. (b) Opinions, orders, statements of policy, in terpretations, and staff manuals and instructions. Subject to the provisions o f §§ 261.5 and 261.6, the Board makes available for inspection and copy ing (1) all final opinions (including concurring and dissenting opinions) and orders m ade in the ad judication of cases, including such opinions and orders m ade pursuant to authority delegated by the Board under P art 265 of this chapter; (2) state ments of policy and interpretations adopted by the Board th at are not published in the Federal § 261.4 RULES REGARDING INFORMATION Register; and (3) administrative staff m anuals and instructions to staff that affect any m em ber of the public. However, to the extent required to prevent a clearly unw arranted invasion of personal pri vacy, the Board deletes identifying details in any material of the kinds above described; and in each such case the justification for such deletion is ex plained in writing. T he Board maintains and makes available for public inspection and copying a current index providing identifying inform ation for the public as to any material described in this paragraph which is issued, adopted, or prom ul gated after July 4, 1967. (c) Other records. Subject to the provisions of §§ 261.5 and 261.6, records of the Board not covered by paragraph (b) of this section, includ ing a record of the final votes of members of the Board in any Board proceeding, are m ade avail able for inspection and copying to any person upon request. (d) Obtaining access to records. Records of the Board subject to this section are available for in spection and copying during regular business hours at the offices of the Board of Governors of the Federal Reserve System, Federal Reserve Building, 20th Street and Constitution Avenue, N.W ., W ash ington, D.C. 20551, or, in the case of records containing inform ation required to be disclosed under section 12 of the Securities Exchange Act of 1934, as am ended (15 U.S.C. 78), at the offices of the Federal Deposit Insurance Corporation or at any Federal Reserve Bank. Every request for access to records of the Board, other than those containing inform ation required under section 12 of the Securities Exchange Act, shall be submitted in writing to the Secretary of the Board, shall state the nam e and address of the person request ing access to such records, shall clearly indicate w hether such request is an initial request or an appeal from a denial of inform ation requested pursuant to the Freedom of Inform ation Act, and shall describe such records in a m anner reason ably sufficient to perm it their identification w ithout undue difficulty. The Secretary of the Board (or, in his absence, an Assistant Secretary designated by the Secretary) shall determine within ten w ork ing days after receipt of a request for access to records of the Board w hether to comply with such request; and he shall immediately notify the re questing party of his decision, of the reasons there for, and of the right o f the requesting party to appeal to the Board any refusal to m ake available the requested records of the Board. (e) Appeal o f denial of access to records of the Board. A ny person who is denied access to records of the Board, properly requested in accord ance with paragraph (d) of this section, may file, with the Secretary of the Board, within ten days of notification of such denial, a written request for review of such denial. The Board or such m em ber or members as the Board may designate, shall m ake a determination with respect to any such appeal within 20 working days of its receipt, shall immediately notify the appealing party of the de cision on the appeal and o f the right to seek court review of any decision which upholds, in whole or in part, the refusal of the Secretary of the Board to m ake available the requested records; and such determ ination shall not be subject to the procedure prescribed in § 265.3 of this chapter with respect to review of actions taken pursuant to authority delegated by the Board. (f) Extension of time requirements in unusual circumstances. In unusual circumstances as pro vided in 5 U.S.C. § 552(a)(6)(b), the time limi tations imposed upon the Secretary of the Board or the Board in paragraphs (d) and (e) of this section may be extended by written notice to the requesting party for a period of time not to exceed a total of ten working days. (g) Fee schedule. A person requesting access to or copies of particular records shall pay the costs of searching for and copying such records at the rate of $10 per hour for searching and 10 cents per standard page for copying. With respect to in form ation obtainable only by processing through a com puter or other inform ation systems program, a person requesting such inform ation shall pay a fee not to exceed the direct and reasonable cost of retrieval and production of the inform ation re quested. Detailed schedules of such charges are available upon request from the Secretary of the Board. D ocum ents may be furnished without charge or at a reduced charge w here the Secretary of the Board or such person as he may designate determines that waiver or reduction of the fee is in the public interest because furnishing the infor m ation can be considered as primarily benefiting the general public or where total charges are less than $2. §§ 261.5—261.6 SEC T IO N 261.5— D E F E R M E N T O F A V A IL A B IL IT Y O F C E R T A IN IN F O R M A T IO N RULES REGARDING INFORMATION (2) is contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for the use of, the Board or a F ed eral Reserve Bank, relating to the affairs of any (a) Deferment of availability. In some instan bank or affiliate thereof, bank holding com pany ces, certain types of inform ation of the Board are or subsidiary thereof, broker, finance company, not published in the Federal Register or made or any other person engaged, or proposing to en available for inspection and copying until after gage, in the business of banking, extending credit, such period of time as the Board may determine or managing or controlling banks; to be reasonably necessary to avoid the effects (3) is privileged or relates to the business, p er described in paragraph (b) of this section. F o r sonal, or financial affairs of any person and is example, such deferm ent of publication or availa furnished in confidence; Providing, however, That, bility of inform ation to the public may occasion following notice to the person furnishing such in ally be necessary with respect to information relat formation, the Board may make any inform ation ing to the determination of m onetary or credit furnished in confidence in connection with an ap policies, including but not limited to discount plication for Board approval o f any transaction rates, reserve requirem ents of m em ber banks, available to the public in accordance with § 261.4 m axim um interest rates payable by mem ber banks (c), and, to the extent it deems necessary and on deposits, and margin requirements. without prior notice to such person, the Board (b) Reasons for deferment of availability. P u b may com m ent on such information in any opinion lication of, or public access to, certain inform ation or statement issued to the public in connection of the Board may be deferred because earlier dis with a decision of the Board with respect to which closure o f such inform ation would such inform ation is relevant; (1) interfere with the accomplishment of the (4) is contained in investigatory files compiled objectives of the Board’s actions in the discharge for law enforcem ent purposes (but only to the of its statutory functions; extent provided in the Freedom o f Inform ation (2) permit speculators and others to gain un A ct (5 U.S.C. § 552(b)(7)), including inform a fair profits or other unfair advantages by specula tion relating to proceedings for (i) the issuance of tive trading in securities or otherwise; a cease-and-desist order, or order of suspension or removal, under the Financial Institutions Super (3) interfere with the orderly execution of visory Act of 1966; (ii) the term ination of m em the objectives o r policies of other G overnm ent bership of a State bank in the Federal Reserve agencies; System pursuant to section 9 of the Federal R e (4) result in unnecessary or unw arranted dis serve A ct (12 U.S.C. 327); (iii) the suspension turbances in the securities markets; or of a bank from use of the credit facilities of the (5) interfere with the orderly conduct of the Federal Reserve System pursuant to section 4 of foreign affairs of the U nited States. the Federal Reserve A ct (12 U.S.C. 301); and (iv) the granting or revocation of any approval, S E C T IO N 261.6— E X E M P T IO N S FR O M permission, or authority, except to the extent pro D IS C L O SU R E vided in this P art and except as provided in P art (a) General rule. Except as otherwise provided 262 of this chapter concerning bank holding com in this P art or as may be specifically authorized pany and bank merger applications; by the Board, inform ation in the records of the (5) relates solely to the internal personnel Board that is not available to the public through rules and practices or other internal practices of other sources will not be published in the Federal the Board; Register or made available for inspection and (6) is contained in personnel, medical, and copying if such information similar files, the disclosure of which would con (1) is exempted from disclosure by statute orstitute a clearly unw arranted invasion of personal is specifically authorized under criteria established privacy; or (7) is contained in inter-agency o r intra by an executive order to be kept secret in the in agency m em oranda or letters that would not be terest of national defense or foreign policy and is routinely available by law to a private party in in fact classified pursuant to such executive order; RULES REGARDING INFORMATION litigation with the Board, including but not limited to m em oranda, reports, and other docum ents pre pared by the staffs of the Board or of the Federal Reserve Banks, and records of deliberations and discussions at meetings of the Board o r of any com mittee of the Board or of the Board’s staff. (b) Information available to supervised institu tions and other Government agencies. A copy of each report of examination of each State mem ber bank and of each bank holding com pany is made available by the appropriate Federal Reserve Bank to the bank or com pany examined. Such reports and other appropriate inform ation relating to such a bank or com pany are m ade available, upon re quest, by the D irector of the B oard’s Division of Banking Supervision and Regulation to the C o m p troller of the C urrency and the Federal Deposit Insurance C orporation, and by the appropriate Federal Reserve Bank to the Regional Comptroller of the Currency, the regional representative of the Federal Deposit Insurance Corporation, and the State governmental authority having general super vision of such bank or company. Such reports and other information may be m ade available by the Board to other agencies of the U nited States for use where necessary in the perform ance of their of ficial duties. All reports or other inform ation made available pursuant to this paragraph shall remain the property of the Board and, except as otherwise provided in this Part, no person, agency, o r au thority to w hom the inform ation is made available, or any officer, director, or employee thereof, shall disclose any such inform ation except in published statistical material that does not disclose the af fairs of any individual or corporation. (c) Prohibition against disclosure. Except as provided in this Part, no officer, employee, or agent of the Board or of any Federal Reserve Bank shall disclose or perm it the disclosure o f any unpublished inform ation of the Board to anyone (other th an an officer, employee, or agent o f the Board or of a Federal Reserve Bank properly en titled to such inform ation for the perform ance of his official duties), w hether by giving out or fu r nishing such inform ation or a copy thereof or by allowing any person to inspect or copy such in form ation or copy thereof, o r otherwise. N otw ith standing the foregoing, unpublished economic, statistical, or similar inform ation or unpublished inform ation regarding interpretations by the Board o f statutory or regulatory provisions may be dis closed, orally o r in writing, by any officer, em §§ 261.6—261.7 ployee, or agent of the Board or of any Federal Reserve Bank who has knowledge o f the subject matter to any person who, in the judgm ent of such officer, employee, or agent, has a proper interest therein, subject, however, to the restrictions stated in § 261.5 and this § 261.6. (d) Appeal from denial of access to informa tion. Any person who is denied access to records of the Board may, within 5 days thereafter, file with the Board a written request for review of such action; and such review shall not be subject to the procedure prescribed in § 265.3 of this chapter with respect to review of actions taken pursuant to authority delegated by the Board. SEC T IO N 261.7— SU B PO EN A S (a) Advice by person served. If any person, w hether or not an officer, employee, o r agent of the Board or o f a Federal Reserve Bank, has in formation of the Board that may not be disclosed under this P art and in connection therew ith is served with a subpoena, order, or other process requiring his personal attendance as a witness or the production of docum ents or inform ation in any proceeding, he should promptly inform the Secretary of the Board of such service and o f all relevant facts, including the documents and infor mation requested and any facts which may be of assistance to the Board in determining w hether such documents or inform ation should be made available; and he should take action at the ap propriate time to inform the court or tribunal th at issued the process and the attorney for the party at whose instance the process was issued, if known, of the substance of these rules. (b) Appearance by person served. Unless the Board has authorized disclosure of the relevant information, or except as provided in 18 U.S.C. 1906, any person having inform ation of the Board th at may not be disclosed un der this P art w ho is required to respond to a subpoena or other legal process shall attend at the time and place therein m entioned and decline to disclose such inform a tion or give any testimony with respect thereto, basing his refusal upon this Part. If the court or other body orders the disclosure of such inform a tion o r the giving of such testimony, the person having such inform ation of the Board shall con tinue to decline to disclose such inform ation and shall prom ptly report the facts to the Board for such action as the Board may deem appropriate. STATUTORY APPENDIX RULES REGARDING INFORMATION STATUTORY APPENDIX Section 552, Title 5, United States Code, pro vides as follows: § 552. Public information; agency rules, opinions, orders, records, and proceedings (a) E ach agency shall m ake available to the public inform ation as follows: (1) Each agency shall separately state and cur rently publish in the Federal Register for the guid ance of the public— (A) descriptions of its central and field o r ganization and the established places at which, the employees (and in the case of a uniform ed service, the members) from whom, and the methods whereby, the public m ay obtain in form ation, m ake submittals o r requests, or ob tain decisions; (B) statements of the general course and m ethod by which its functions are channeled and determined, including the nature and re quirem ents of all form al and inform al proce dures available; (C) rules of procedure, descriptions of forms available or the places at which forms m ay be obtained, and instructions as to the scope and contents of all papers, reports, or examinations; (D) substantive rules of general applicability adopted as authorized by law, and statements of general policy o r interpretations of general applicability form ulated and adopted by the agency; and (E) each am endm ent, revision, or repeal of the foregoing. Except to the extent th at a person has actual and timely notice of the terms thereof, a person may n ot in any m anner be required to resort to, or be adversely affected by, a m atter required to be pub lished in the Federal Register and not so pub lished. F o r the purpose of this paragraph, m atter reasonably available to the class of persons af fected thereby is deemed published in the Federal Register when incorporated by reference therein with the approval of the D irector of the Federal Register. (2 ) Each agency, in accordance with published rules, shall m ake available for public inspection and copying— (A) final opinions, including concurring and dissenting opinions, as well as orders, m ade in the adjudication of cases; (B) those statements o f policy and interpre tations which have been adopted by the agency and are not published in the Federal Register; and (C) administrative staff m anuals and instruc tions to staff that affect a m ember of the public; unless the materials are prom ptly published and copies offered for sale. T o the extent required to prevent a clearly unw arranted invasion of per sonal privacy, an agency m ay delete identifying details when it m akes available or publishes an opinion, statement of policy, interpretation, or staff manual or instruction. However, in each case the justification for the deletion shall be ex plained fully in writing. Each agency shall also maintain and m ake available for public inspection and copying current indexes providing identifying inform ation for the public as to any m atter is sued, adopted, or promulgated after July 4, 1967, and required by this paragraph to be m ade avail able or published. E ach agency shall promptly publish, quarterly or more frequently, and distrib ute (by sale or otherwise) copies of each index or supplements thereto unless it determines by order published in the Federal Register that the publication would be unnecessary and impractica ble, in which case the agency shall nonetheless provide copies of such index on request at a cost not to exceed the direct cost of duplication. A final order, opinion, statement of policy, interpre tation, or staff m anual or instruction that affects a m ember of the public m ay be relied on, used, or cited as precedent by an agency against a party other than an agency only if— (i) it has been indexed and either made available or published as provided by this paragraph; or (ii) the party has actual and timely no tice of the terms thereof. (3 ) Except with respect to the records m ade available under paragraphs (1 ) and (2) of this subsection, each agency upon any request for rec ords which (A ) reasonably describes such rec ords and (B ) is m ade in accordance with pub RULES REGARDING INFORMATION lished rules stating the time, place, fees (if any), and procedures to be followed, shall make the records prom ptly available to any person. (4 ) (A ) In order to carry out the provisions of this section, each agency shall promulgate reg ulations, pursuant to notice and receipt of public comment, specifying a uniform schedule of fees applicable to all constituent units of such agency. Such fees shall be limited to reasonable standard charges for docum ent search and duplication and provide for recovery of only the direct costs of such search and duplication. Docum ents shall be furnished without charge or at a reduced charge where the agency determines that waiver or re duction of the fee is in the public interest be cause furnishing the inform ation can be consid ered as primarily benefiting the general public. (B ) On complaint, the district court of the United States in the district in which the com plainant resides, or has his principal place of business, or in which the agency records are situ ated, or in the District of Columbia, has jurisdic tion to enjoin the agency from withholding agency records and to order the production of any agency records improperly withheld from the complainant. In such a case the court shall deter mine the m atter de novo, and may examine the contents of such agency records in camera to de term ine whether such records or any part thereof shall be withheld under any of the exemptions set forth in subsection (b ) of this section, and the burden is on the agency to sustain its action. (C ) Notwithstanding any other provision of law, the defendant shall serve an answer or oth erwise plead to any complaint made under this subsection within thirty days after service upon the defendant of the pleading in which such com plaint is made, unless the court otherwise directs for good cause shown. (D ) Except as to cases the court considers of greater importance, proceedings before the dis trict court, as authorized by this subsection, and appeals therefrom , take precedence on the docket over all cases and shall be assigned for hearing and trial or for argument at the earliest practi cable date and expedited in every way. (E ) T he court may assess against the United States reasonable attorney fees and other litiga tion costs reasonably incurred in any case under this section in which the com plainant has sub stantially prevailed. ( F ) W henever the court orders the production STATUTORY APPENDIX of any agency records improperly withheld from the complainant and assesses against the United States reasonable attorney fees and other litiga tion costs, and the court additionally issues a written finding that the circumstances surround ing the withholding raise questions whether agency personnel acted arbitrarily or capricously with respect to the withholding, the Civil Service Commission shall promptly initiate a proceeding to determ ine whether disciplinary action is w ar ranted against the officer or employee who was primarily responsible for the withholding. The Commission, after investigation and consideration of the evidence submitted, shall submit its find ings and recom m endations to the administrative authority of the agency concerned and shall send copies of the findings and recommendations to the officer or employee or his representative. The administrative authority shall take the corrective action that the Commission recommends. (G ) In the event of noncompliance with the order of the court, the district court may punish for contem pt the responsible employee, and in the case of a uniform ed service, the responsible member. (5 ) Each agency having m ore than one m em ber shall maintain and m ake available for public inspection a record of the final votes of each m em ber in every agency proceeding. (6 ) (A ) E ach agency, upon any request for records made under paragraph ( 1 ) , ( 2 ), or (3 ) of this subsection, shall— (i) determine within ten days (excepting Saturdays, Sundays, and legal public holi days) after the receipt of any such request w hether to comply with such request and shall immediately notify the person making such request of such determination and the reasons therefor, and of the right of such person to appeal to the head of the agency any adverse determ ination; and (ii) make a determ ination with respect to any appeal within twenty days (excepting Saturdays, Sundays, and legal public holi days) after the receipt of such appeal. If on appeal the denial of the request for records is in whole or in part upheld, the agency shall notify the person making such request of the provisions or judicial review of that determ ination under paragraph (4 ) of this subsection. STATUTORY APPENDIX (B ) In unusual circumstances as specified in this subparagraph, the tim e limits prescribed in either clause (i) or clause (ii) o f subparagraph (A ) m ay be extended by written notice to the person making such request setting forth the rea sons for such extension and the date on which a determination is expected to be dispatched. No such notice shall specify a date that would result in an extension for m ore than ten w orking days. As used in this subparagraph, “unusual circum stances” means, but only to the extent reasonably necessary to the proper processing of the particu lar request— (i) the need to search for and collect the requested records from field facilities or other establishments that are separate from the office processing the request; (ii) the need to search for, collect, and appropriately examine a voluminous am ount of separate and distinct records which are dem anded in a single request; or (iii) the need for consultation, which shall be conducted with all practicable speed, with another agency having a substan tial interest in the determination of the re quest or am ong two or m ore components of the agency having substantial subject-matter interest therein. (C ) A ny person making a request to any agency for records under paragraph ( 1 ), ( 2 ) , or (3 ) of this subsection shall be deemed to have exhausted his administrative remedies with re spect to such request if the agency fails to com ply with the applicable time limit provisions of this paragraph. If the G overnm ent can show ex ceptional circumstances exist and that the agency is exercising due diligence in responding to the request, the court m ay retain jurisdiction and allow the agency additional tim e to complete its review of the records. U pon any determ ination by an agency to com ply with a request for records, the records shall be made prom ptly available to such person making such request. A ny notifica tion of denial of any request for records under this subsection shall set forth the nam es and titles or positions of each person responsible for the denial of such request. RULES REGARDING INFORMATION be kept secret in the interest of national de fense o r foreign policy and (B ) are in fact properly classified pursuant to such Execu tive order; (2 ) related solely to the internal person nel rules and practices of an agency; (3 ) specifically exempted from disclosure by statute; (4 ) trade secrets and com mercial or finan cial information obtained from a person and privileged or confidential; (5 ) inter-agency or intra-agency m em o randum s or letters which would not be avail able by law to a party other than an agency in litigation with the agency; (6 ) personnel and medical files and simi lar files the disclosure o f which would con stitute a clearly unwarranted invasion of per sonal privacy; (7 ) investigatory records compiled for law enforcement purposes, but only to the extent that the production of such records would (A ) interfere with enforcement proceedings, (B ) deprive a person of a right to a fair trial or an impartial adjudication, (C ) con stitute an unw arranted invasion of personal privacy, (D ) disclose the identity of a confi dential source and, in the case of a record compiled by a criminal law enforcem ent au thority in the course of a criminal investiga tion, or by an agency conducting a lawful national security intelligence investigation, confidential information furnished only by the confidential source, (E ) disclose investi gative techniques and procedures, or ( F ) en danger the life or physical safety of law en forcement personnel; (8 ) contained in or related to examina tion, operating, or condition reports p re pared by, on behalf of, or for the use of an agency responsible for the regulation or supervision of financial institutions; or (9 ) geological and geophysical inform a tion and data, including maps, concerning wells. A ny reasonably segregable portion of a record shall be provided to any person requesting such (b ) This section does not apply to matters record after deletion of the portions which are that are— exempt un der this subsection. (1 ) (A ) specifically authorized under (c) This section does not authorize withhold criteria established by an Executive order to ing of inform ation or limit the availability of rec RULES REGARDING INFORMATION STATUTORY APPENDIX withholding records or an explanation of ords to the public, except as specifically stated in why disciplinary action was not taken; this section. This section is not authority to with (5 ) a copy of every rule m ade by such hold inform ation from Congress. agency regarding this section; (d ) On o r before M arch 1 of each calendar (6 ) a copy of the fee schedule and the year, each agency shall submit a report covering total am ount of fees collected by the agency the preceding calendar year to the Speaker of the for making records available under this sec House of Representatives and President of the tion; and Senate for referral to the appropriate committees (7 ) such other information as indicates of the Congress. The report shall include— efforts to administer fully this section. (1 ) the n um ber of determinations made by The A ttorney General shall submit an annual re such agency not to comply with requests for port on or before M arch 1 of each calendar year records made to such agency under subsec which shall include for the prior calendar year a tion (a ) and the reasons for each such d e listing of the num ber of cases arising under this term ination; section, the exemption involved in each case, the (2 ) the num ber of appeals made by per disposition of such case, and the cost, fees, and sons under subsection (a) ( 6 ) , the result penalties assessed under subsections (a) (4 ) ( E ) , of such appeals, and the reason for the ac ( F ) , and ( G ) . Such report shall also include a tion upon each appeal that results in a de description of the efforts undertaken by the D e nial of information; p artm ent of Justice to encourage agency com pli (3 ) the names and titles or positions of ance with this section. each person responsible for the denial of (e) F o r purposes of this section, the term records requested under this section, and the “agency” as defined in section 5 5 1 (1 ) of this title n um ber of instances of participation for includes any executive departm ent, military de each; partment. G overnm ent corporation, G overnm ent (4) the results of each proceeding con controlled corporation, or other establishment in ducted pursuant to subsection (a) (4 ) ( F ) , the executive branch of the G overnm ent (includ including a report of the disciplinary action ing the Executive Office of the P resident), or any taken against the officer or employee who independent regulatory agency. was primarily responsible for improperly RULES REGARDING ACCESS TO AND REVIEW OF PERSONAL INFORMATION IN SYSTEMS OF RECORDS (12 CFR 261a) Effective September 28, 1975 SEC T IO N 261 a. 1— P U R PO S E A N D SCO PE T he purpose of this P art is to establish regula tions implementing the provisions of the Privacy Act, 5 U.S.C. § 552a, with regard to access to and review of personal inform ation in systems of rec ords m aintained by the Board of Governors of the Federal Reserve System (“B oard”). SEC T IO N 261 a.2— D E F IN IT IO N S (g) T he term “business days” m eans all days except Saturdays, Sundays, and legal public holi days. SEC TIO N 261a.3— PR O C E D U R E S F O R R E Q U ESTS P E R T A IN IN G TO IN D IV ID U A L REC O R D S IN A R E C O R D S SY ST E M 1 (e) T he term “designated system of records” means a system of records that has been listed in the Federal Register pursuant to the requirements of 5 U.S.C. 552a(e). (a) Requests for notification of the existence of o r for access to personal inform ation in a desig nated system of records m ay be made by the person to whom such inform ation pertains. Every such request shall be made in writing and shall specify that it is made pursuant to the Privacy Act. Each request should identify the designated system of records in which the requested record is to be found, should reasonably describe the inform ation requested and, except as provided in section 261 a.4, should include a notarized state ment attesting to the identity of the requestor. (b) Requests m ade pursuant to paragraph (a) of this section shall be addressed to the D irector of the Division of Personnel, Board o f G overnors of the Federal Reserve System, Washington, D.C. 20551, in the case of records relating to em ploy ment with the Board. Requests for other records should be addressed to the Secretary of the Board, Board of Governors o f the Federal Reserve Sys tem, W ashington, D.C. 20551. Requests for in form ation pursuant to paragraph (a) of this section m ay also be made in person during regular busi ness hours at the offices of the Board of G over nors of the Federal Reserve System, Federal Reserve Building, 20th and Constitution Avenue, N.W ., Washington, D.C. 20551. (c) A n individual m aking a request pursuant to paragraph (a) of this section m ay also include in such request a request fo r the accounting required (f) T he term “routine use” means, with respect to disclosure of a record, the use of such record for a purpose which is compatible with the p u r pose for which it was collected. 1 The Board’s System o f Records has been published in the Federal Register (40 Federal Register 43862) and copies are available upon request to the Board o f Gover nors o f the Federal Reserve System, Washington, D . C. 20551. F o r the purposes of this Part, the following definitions shall apply: (a) T he term “individual” means a natural person w ho is either a citizen of the U nited States or an alien lawfully adm itted for perm anent resi dence. The term “individual” includes the parent of any m inor or the legal guardian of any indivi dual w ho has been declared to be incompetent due to physical or mental incapacity or age by a court of com petent jurisdiction. (b) T he term “m aintain” also includes maintain, collect, use, disseminate, or control. (c) T h e term “record” means any item, collec tion o r grouping of inform ation about an individ ual m aintained by the Board that contains the individual’s name, or the identifying number, symbol, or other identifying particular assigned to the individual. (d) The term “system o f records” means a group of any records under the control of the Board from which inform ation is retrieved by the nam e of the individual or some identifying n um ber, symbol or other identifying particular as signed to the individual. RULES REGARDING RECORDS by section (c) of the Privacy Act, 5 U.S.C. § 552a, of previous disclosures of records pertaining to such individual in a designated system o f records. (d) Every request made pursuant to this section will be acknowledged or, w here practicable, sub stantially responded to within 10 business days from receipt. SEC T IO N 2 6 la .4 — R E Q U IR E M E N T S F O R ID E N T IF IC A T IO N O F IN D IV ID U A L S M A K IN G R E Q U ESTS (a) Each request for inform ation m ade pursu ant to section 2 6 la .3 shall include a notarized statement attesting to the identity of the requestor except in the following instances: (1) W here the inform ation requested is other wise publicly available under the Freedom of Inform ation Act, 5 U.S.C. § 552, and the B oard’s Rules Regarding Availability of Inform ation (12 C F R 261). (2) W here the requestor makes written re quest for inform ation in person and presents a driver’s license, birth certificate, employment identification card or other means o f identifica tion, sufficient to establish his identity. (3) W here the request is only for notification of the existence of records in a designated system of records pertaining to the requestor. SEC T IO N 261 a.5— D ISC L O SU R E OF R E Q U E S T E D IN F O R M A T IO N T O IN D IV ID U A L S (a) Inform ation requested pursuant to section 261a.3, except for th at compiled in reasonable anticipation of a civil action or proceeding or otherwise exempted from disclosure as provided in section 261a. 13, will be made available for inspection and copying during regular business hours at the B oard’s offices. However, where the requested inform ation can be disclosed only by providing a copy of the record, because such record cannot reasonably be put into a form for individual inspection (e.g., com puter tapes), or where the requestor m ay request that copies of requested inform ation be forwarded, such infor m ation will be mailed to the requestor. Access to or copies of requested inform ation will be prom ptly provided after the acknowledgment as provided in subsection 261 a.3(c), unless good cause for delay is com m unicated to the requestor. (b) Fees for copying such records will be §§ 261a.3—261a.8 assessed in accordance with subsection 2 61 a.11. (c) The requestor of inform ation m ay be ac com panied in the inspection and discussion of that inform ation by a person of the requestor’s own choosing upon the submission by the re questor of a written and signed statement author izing the presence of such person. SEC T IO N 261 a.6— SPECIA L P R O C E D U R E S — M E D IC A L REC O R D S Medical records requested pursuant to subsection 261 a.3 will be disclosed to the requestor unless the disclosure of such records directly to the re questor could, in the judgm ent o f the official deemed responsible for such records, have an adverse effect upon the requestor. In such in stance, such inform ation will be transm itted to a licensed physician nam ed by the requestor. SEC T IO N 261a.7— R E Q U E S T F O R C O R R E C T IO N O R A M E N D M E N T TO RECORD (a) W here an individual believes that any por tion of a record in a designated system of records used in making a determ ination about such indi vidual is not accurate, relevant, timely or com plete, that individual m ay request that such record be am ended or corrected. Such request should be submitted in writing to the appropriate officer as designated in section 2 6 la . 3. Each request for am endm ent o r correction of a record should identify the system of records containing the record for w hich am endm ent o r correction is requested, specify the portion of th at record re quested to be am ended or corrected, and describe the nature o f and reasons for each requested am endm ent o r correction. Additionally, each re quest m ust include a notarized statem ent attesting to the identity of the requestor except where the request is presented in person and the requestor’s identity m ay thereupon be verified. (b) N othing in paragraph (a) of this section shall perm it collateral attack upon that which has been decided in a previous judicial, quasi-judicial, or other proceeding. S EC T IO N 261 a.8— A G E N C Y R E V IE W OF REQUEST FO R A M EN D M EN T OF RECORD (a) As appropriate, the Secretary of the Board or the D irector of the Division of Personnel shall §§ 261a.8—261a.10 acknowledge each request m ade pursuant to sec tion 261 a.7 within 10 business days of its receipt. Such acknowledgm ent may request additional in form ation necessary for a determ ination o f the request for am endm ent or correction. (b) As appropriate, the Secretary of the Board or the D irector of the Division of Personnel shall prom ptly review each request m ade pursuant to section 261 a.7 in light o f the criteria of accuracy, relevance, timeliness, completeness and necessity set forth in subsections (e)(1) and (e)(5) of the 'P riv acy Act, 5 U.S.C. § 552a. (c) U p o n completion of review of each request m ade pursuan t to section 261a.7, the Secretary of the Board or the D irector o f the Division of P er sonnel shall immediately inform the requestor of the determ ination to grant or deny the requested am endm ent or correction. (d) W here any request pursuant to section 261a.7 has been denied in whole or part, the requestor shall be advised of the reasons therefor, the procedure for appeal of the determ ination and the name, title and address of the official to whom such appeal should be directed. SEC T IO N 261 a.9— A P P E A L O F IN IT IA L A D V E R SE D E T E R M IN A T IO N ON C O R R E C T IO N OR A M E N D M E N T (a) A denial of a request made pursuant to section 261 a.7 m ay be appealed to the Board of G overnors o r any official designated by the Chair man of the Board o f G overnors within 30 business days of issuance o f notification o f denial. Every such appeal should be made in writing to the official designated in the letter o f initial denial, should specify the previous background of the request and should provide reasons why the initial determ ination should be reversed. (b) T he Board of G overnors or such official designated by the Chairm an of the Board shall m ake a determ ination with respect to the review of such appeal not later th an 30 business days from its receipt, unless the reviewing official ex tends such period for good cause shown. (c) If the Board or designated official affirms the initial denial of a request to am end or correct m ade pursuant to section 261 a.7, such determ ina tion shall be com m unicated to the requestor together with a statement of the reasons therefor and the requestor shall be inform ed of the right of judicial review of the determination. T he re RULES REGARDING RECORDS questor m ay then file a concise statement setting forth disagreement with the affirmation of denial within 30 days of notification o f such determ ina tion and such statement shall be provided to per sons or other agencies to whom the disputed record is disclosed. SEC T IO N 2 6 la. 10— D IS C L O SU R E O F R E C O R D TO P E R SO N O T H E R T H A N IN D IV ID U A L T O W H O M IT P E R T A IN S (a) N o record contained in a designated system of records shall be disclosed to any person or agency w ithout the prior written consent of the individual to whom the record pertains unless the disclosure is authorized by paragraph (b) of this section. (b) T he restrictions on disclosure in paragraph (a) do not apply to any disclosure— 1) to those officers and employees of the Board who have a need for the record in the perform ance of their duties; 2) that is required under the Freedom of Inform ation A ct (5 U.S.C. § 552); 3) for a routine use listed with respect to a designated system of records; 4) to the Bureau of the Census for p u r poses of planning or carrying out a census or survey or related activity pursuant to the provi sions of title 13 of the United States Code; 5) to a recipient who has provided the Board with ad vance adequate written assurance that the record will be used solely as a statistical research or re porting record, and the record is to be transferred in a form that is not individually identifiable; 6) to the N ational Archives of the U nited States as a record that has sufficient historical o r other value to w arrant its continued preservation by the United States G overnm ent, or for evaluation by the A dm inistrator of G eneral Services or his des ignee to determine w hether the record has such value; 7) to another agency o r to an instrum ental ity of any governmental jurisdiction within or under the control of the U nited States for a civil or criminal law enforcem ent activity if the activity is authorized by law, and if the head of the agency or instrumentality has made a written request to the Board specifying the particular portion desired and the law enforcem ent activity for w hich the record is sought; 8) to a person pursuant to a showing o f compelling circumstances affecting the health or safety of an individual if upon such dis closure notification is transm itted to the last RULES REGARDING RECORDS §§261a.l0—261a.l3 furnished inform ation to the G overnm ent under an express promise th at the identity of the source would be held in confidence, or, prior to the effec tive date of the Privacy Act, 5 U.S.C. § 552a, under an implied promise that the identity of the source would be held in confidence; (3) m aintained in connection with providing protective services to the President of the U nited States or other individuals pursuant to section 3056 of title 18 of the U nited States Code; (4) required by statute to be m aintained and SEC T IO N 261 a.1 1— FE E S used solely as statistical records; (5) investigatory material compiled solely for (a) Copies of records requested pursuant to sec the purpose of determining suitability, eligibility, tion 261a.3 will be provided at a cost of $.10 per or qualifications for Federal civilian employment, page for photocopying or at a cost not to exceed military service, Federal contracts, or access to the direct cost of printing, typing or otherwise pre classified inform ation, but only to the extent that paring such copies. the disclosure of such material would reveal the (b) Docum ents may be furnished without identity of a source who furnished inform ation charge where total charges are less than $2. to the G overnm ent under an express promise that the identity o f the source would be held in confi S EC TIO N 2 6 la. 12— P E N A L T IE S dence, or, prior to the effective date of the Privacy (a) T he Privacy Act, 5 U.S.C. § 552a(l)(3), Act, 5 U.S.C. §552a, under an implied promise provides: A ny person w ho knowingly and will that the identity of the source would be held in fully requests o r obtains any record concerning an confidence; individual from an agency under false pretense (6) testing or examination m aterial used shall be guilty o f a misdemeanor and fined not solely to determ ine individual qualifications for m ore than $5,000. appointm ent or prom otion in the Federal service the disclosure of which would com prom ise the SEC T IO N 2 6 1 a .l3 — E X E M PT IO N S objectivity or fairness of the testing or examina (a) P ursuant to subsection (k) o f the Privacy tion process; or Act, 5 U.S.C. § 552a, the Board m ay exempt (7) evaluation material used to determine certain portions o f records within designated sys potential for prom otion in the armed services, tems of records from the requirem ents of the but only to the extent that the disclosure of such Privacy Act, (including access to and review of material would reveal the identity of a source such records pursuant to this Part) if such portions who furnished inform ation to the G overnm ent are: under an express promise that the identity of the (1) subject to the provisions of section 552 source would be held in confidence, or, p rio r to ( b ) ( 1 ) of the Freedom of Inform ation Act, 5 the effective date of the Privacy Act, 5 U.S.C. U.S.C. § 552; § 552a, under an implied promise that the identity (2) investigatory m aterial compiled for law of the source would *be held in confidence. enforcem ent purposes, other than m aterial w ithin (b) Those designated systems of records which are exempt from the requirem ents of this P art or the scope of subsection (j)(2) of the Privacy Act, 5 U.S.C. § 552a: Provided, however, T h at if any any other requirem ents of the Privacy Act, 5 U.S.C. § 552a, will be indicated in the notice individual is denied any right, privilege, or benefit that he would otherwise be entitled by Federal of designated systems of records published by law, o r for which he would otherwise be eligible, the Board. (c) N othing in this P art shall allow an indi as a result of the maintenance of such material, vidual access to any inform ation compiled in such material shall be provided to such individual, except to the extent that the disclosure o f such reasonable anticipation of a civil action o r p ro material would reveal the identity o f a source who ceeding. know n address of such individual; 9) to either House of Congress, or, to the extent of m atter within its jurisdiction, any com mittee or sub com mittee thereof, any joint com mittee of C on gress or subcommittee of any such joint com m it tee; 10) to the Com ptroller General, or any of his authorized representatives, in the course of the perform ance o f the duties of the G eneral A c counting Office; o r 11) pursuant to the order o f a court of com petent jurisdiction.