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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.