[Federal Register Volume 59, Number 92 (Friday, May 13, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-11464]


[[Page Unknown]]

[Federal Register: May 13, 1994]


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FARM CREDIT SYSTEM INSURANCE CORPORATION

12 CFR Part 1403

 

Privacy Act Regulations

AGENCY: Farm Credit System Insurance Corporation.

ACTION: Proposed rule.

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SUMMARY: The Farm Credit System Insurance Corporation (Corporation), by 
order of the Corporation Board, issues for public comment proposed 
regulations to implement the requirements of the Privacy Act, 5 U.S.C. 
552a, relating to the receipt and processing of requests for 
Corporation Privacy Act records, requests for amendment of records, 
fees to be charged, procedures to be followed in processing requests 
for records, and criminal penalties.

DATES: Comments must be submitted on or before June 13, 1994.

ADDRESSES: Written comments may be mailed (in triplicate) to Mary A. 
Creedon, Chief Operating Officer, in care of Cindy Nicholson, Farm 
Credit System Insurance Corporation, McLean, Virginia 22102-0826. 
Copies of all communications received will be available for examination 
by interested parties in the offices of the Farm Credit System 
Insurance Corporation.

FOR FURTHER INFORMATION CONTACT:

Ronald H. Erickson, Privacy Act Officer, Farm Credit System Insurance 
Corporation, McLean, Virginia 22102-0826, (703) 883-4113, TDD (703) 
883-4444.

or

Jane M. Virga, Senior Attorney, Office of General Counsel, Farm Credit 
System Insurance Corporation, McLean, Virginia 22102-0826, (703) 883-
4071, TDD (703) 883-4444.

SUPPLEMENTARY INFORMATION: Pursuant to the Agricultural Credit Act of 
1987, which amended the Farm Credit Act of 1971, the Corporation was 
created, among other things, to manage the Farm Credit Insurance Fund 
(Insurance Fund) which was established to ensure the timely payment of 
principal and interest on insured notes, bonds, debentures, and other 
obligations issued on behalf of the Farm Credit System (FCS) Banks. The 
Corporation must be appointed as the conservator or receiver for any 
FCS institution placed into conservatorship or receivership by the Farm 
Credit Administration (FCA) after January 5, 1993. The Corporation has 
the authority to examine, as it deems necessary, FCS banks, direct 
lender associations, and FCS institutions in receivership.
    These proposed regulations set forth procedures to be used in 
requesting access to and responding to requests for Corporation Privacy 
Act records. As required by 5 U.S.C. 552a(f), the Corporation is 
notifying the public of the proposed regulations. They provide that all 
requests for access to Corporation Privacy Act records must be in 
writing and signed by the subject of the record, adequately describe 
the material sought, and be sent to the Corporation in McLean, 
Virginia. The proposed regulations delegate to the Privacy Act Officer 
authority to make initial determinations concerning requests for access 
to records. The proposed regulations provide procedures for requests 
for amendment of records and the appeal of an initial adverse 
determination on a request to amend a record. The proposed regulations 
also recite the statutory bases for exemption from disclosure. Finally, 
the proposed regulations provide a fee structure.
    Comments are sought on all the provisions contained in the 
regulations.

List of Subjects in 12 CFR Part 1403

    Archives and records, Bonds, Information, Insurance, Privacy.

    For the reasons set out in the preamble, part 1403 of Chapter XIV, 
title 12 of the Code of Federal Regulations is proposed to be added to 
read as follows:

PART 1403--PRIVACY ACT REGULATIONS

Sec.
1403.1  Purpose and scope.
1403.2  Definitions.
1403.3  Procedures for requests pertaining to individual records in 
a record system.
1403.4  Times, places, and requirements for identification of 
individuals making requests.
1403.5  Disclosure of requested information to individuals.
1403.6  Special procedures for medical records.
1403.7  Request for amendment to record.
1403.8  Agency review of request for amendment of record.
1403.9  Appeal of an initial adverse determination of a request to 
amend a record.
1403.10  Fees for providing copies of records.
1403.11  Criminal penalties.

    Authority: Secs. 5.58, 5.59 of the Farm Credit Act (12 U.S.C. 
2277a-7, 2277a-8); 5 U.S.C. app. 3, 5 U.S.C. 552a.


Sec. 1403.1  Purpose and scope.

    (a) This part is published by the Farm Credit System Insurance 
Corporation pursuant to the Privacy Act of 1974 (Pub. L. 93-579, 5 
U.S.C. 552a) which requires each Federal agency to promulgate rules to 
establish procedures for notification and disclosure to an individual 
of agency records pertaining to that person, and for review of such 
records.
    (b) The records covered by this part include:
    (1) Personnel and employment records maintained by the Farm Credit 
System Insurance Corporation not covered by Secs. 293.101 through 
293.108 of the regulations of the Office of Personnel Management (5 CFR 
293.101 through 293.108); and
    (2) Other records contained in record systems maintained by the 
Farm Credit System Insurance Corporation.
    (c) This part does not apply to any records maintained by the Farm 
Credit System Insurance Corporation in its capacity as a receiver or 
conservator.


Sec. 1403.2  Definitions.

    For the purposes of this part:
    (a) Agency means the Farm Credit System Insurance Corporation. It 
does not include the Farm Credit System Insurance Corporation when it 
is acting as a receiver or a conservator;
    (b) Individual means a citizen of the United States or an alien 
lawfully admitted for permanent residence;
    (c) Maintain includes maintain, collect, use, or disseminate;
    (d) Record means any item, collection, or grouping of information 
about an individual that is maintained by an agency including, but not 
limited to, that person's education, financial transactions, medical 
history, and criminal or employment history, and that contains that 
person's name, or the identifying number, symbol, or other identifying 
particular assigned to the individual, such as a finger or voice print 
or photograph;
    (e) Routine use means, with respect to the disclosure of a record, 
the use of such record for a purpose that is compatible with the 
purpose for which it was collected;
    (f) Statistical record means a record in a system of records 
maintained for statistical research or reporting purposes only and not 
used in whole or in part in making any determination about an 
identifiable individual, except as provided by 13 U.S.C. 8;
    (g)  System of records means a group of any records under the 
control of any agency from which information is retrieved by the name 
of an individual or by some identifying number, symbol, or other 
identifying particular assigned to the individual.


Sec. 1403.3  Procedures for requests pertaining to individual records 
in a record system.

    (a) Any present or former employee of the Farm Credit System 
Insurance Corporation seeking access to that person's official civil 
service records maintained by the Farm Credit System Insurance 
Corporation shall submit a request in such manner as is prescribed by 
the Office of Personnel Management.
    (b) Individuals shall submit their requests in writing to the 
Privacy Act Officer, Farm Credit System Insurance Corporation, McLean, 
Virginia 22102-0826, when seeking to obtain the following information 
from the Farm Credit System Insurance Corporation:
    (1) Notification of whether the agency maintains a record 
pertaining to that person in a system of records;
    (2) Notification of whether the agency has disclosed a record for 
which an accounting of disclosure is required to be maintained and made 
available to that person;
    (3) A copy of a record pertaining to that person or the accounting 
of its disclosure; or
    (4) The review of a record pertaining to that person or the 
accounting of its disclosure. The request shall state the full name and 
address of the individual, and identify the system or systems of 
records believed to contain the information or record sought.


Sec. 1403.4  Times, places, and requirements for identification of 
individuals making requests.

    The individual making written requests for information or records 
ordinarily will not be required to verify that person's identity. The 
signature upon such requests shall be deemed to be a certification by 
the requester that he or she is the individual to whom the record 
pertains, or the parent of a minor, or the duly appointed legal 
guardian of the individual to whom the record pertains. The Privacy Act 
Officer, however, may require such additional verification of identity 
in any instance in which the Privacy Act Officer deems it advisable.


Sec. 1403.5  Disclosure of requested information to individuals.

    (a) The Privacy Act Officer shall, within a reasonable period of 
time after the date of receipt of a request for information of records:
    (1) Determine whether or not such request shall be granted;
    (2) Notify the requester of the determination, and, if the request 
is denied, of the reasons therefor; and
    (3) Notify the requester that fees for reproducing copies of 
records may be charged as provided in Sec. 1403.10.
    (b) If access to a record is denied because the information therein 
has been compiled by the Farm Credit System Insurance Corporation in 
reasonable anticipation of a civil or criminal action proceeding, the 
Privacy Act Officer shall notify the requester of that person's right 
to judicial appeal under 5 U.S.C. 552a(g).
    (c)(1) If access to a record is granted, the requester shall notify 
the Privacy Act Officer whether the requested record is to be copied 
and mailed to the requester or whether the record is to be made 
available for personal inspection.
    (2) A requester who is an individual may be accompanied by an 
individual selected by the requester when the record is disclosed, in 
which case the requester may be required to furnish a written statement 
authorizing the discussion of the record in the presence of the 
accompanying person.
    (d) If the record is to be made available for personal inspection, 
the requester shall arrange with the Privacy Act Officer a mutually 
agreeable time in the offices of the Farm Credit System Insurance 
Corporation for inspection of the record.


Sec. 1403.6  Special procedures for medical records.

    Medical records in the custody of the Farm Credit System Insurance 
Corporation which are not subject to Office of Personnel Management 
regulations shall be disclosed either to the individual to whom they 
pertain or that person's authorized or legal representative or to a 
licensed physician named by the individual.


Sec. 1403.7  Request for amendment to record.

    (a) If, after disclosure of the requested information, an 
individual believes that the record is not accurate, relevant, timely, 
or complete, that person may request in writing that the record be 
amended. Such a request shall be submitted to the Privacy Act Officer 
and shall identify the system of records and the record or information 
therein, a brief description of the material requested to be changed, 
the requested change or changes, and the reason for such change or 
changes.
    (b) The Privacy Act Officer shall acknowledge receipt of the 
request within 10 days (excluding Saturdays, Sundays, and legal 
holidays) and, if a determination has not been made, advise the 
individual when that person may expect to be advised of action taken on 
the request. The acknowledgment may contain a request for additional 
information needed to make a determination.


Sec. 1403.8  Agency review of request for amendment of record.

    Upon receipt of a request for amendment of a record, the Privacy 
Act Officer shall:
    (a) Correct any portion of a record which the individual making the 
request believes is not accurate, relevant, timely, or complete and 
thereafter inform the individual in writing of such correction, or
    (b) Inform the individual in writing of the refusal to amend the 
record and of the reasons therefor, and advise that the individual may 
appeal such determination as provided in Sec. 1403.9.


Sec. 1403.9  Appeal of an initial adverse determination of a request to 
amend a record.

    (a) Not more than 10 days (excluding Saturdays, Sundays, and legal 
holidays) after receipt by an individual of an adverse determination on 
the individual's request to amend a record or otherwise, the individual 
may appeal to the Chief Operating Officer, Farm Credit System Insurance 
Corporation, McLean, Virginia 22102-0826.
    (b) The appeal shall be by letter, mailed or delivered to the Chief 
Operating Officer, Farm Credit System Insurance Corporation, McLean, 
Virginia 22102-0826. The letter shall identify the records involved in 
the same manner they were identified to the Privacy Act Officer, shall 
specify the dates of the request and adverse determination, and shall 
indicate the expressed basis for that determination. Also, the letter 
shall state briefly and succinctly the reasons why the adverse 
determination should be reversed.
    (c) The review shall be completed and a final determination made by 
the Chief Operating Officer not later than 30 days (excluding 
Saturdays, Sundays, and legal holidays) from receipt of the request for 
such review, unless the Chief Operating Officer extends such 30-day 
period for good cause. If the 30-day period is extended, the individual 
shall be notified of the reasons therefor.
    (d) If the Chief Operating Officer refuses to amend the record in 
accordance with the request, the individual shall be notified of the 
right to file a concise statement setting forth that person's 
disagreement with the final determination and that person's right under 
5 U.S.C. 552a(g)(1)(A) to a judicial review of the final determination.
    (e) If the refusal to amend a record as requested is confirmed, 
there shall be included in the disputed portion of the record a copy of 
the concise statement filed by the individual together with a concise 
statement of the reasons for not amending the record as requested. Such 
statements will be included when disclosure of the disputed record is 
made to persons and agencies as authorized under 5 U.S.C. 552a.


Sec. 1403.10  Fees for providing copies of records.

    Fees for providing copies of records shall be charged in accordance 
with Secs. 1402.22 and 1402.24 of this chapter.


Sec. 1403.11  Criminal penalties.

    Section 552a(1)(3) of the Privacy Act (5 U.S.C. 552a(i)(3)) makes 
it a misdemeanor, subject to a maximum fine of $5,000, to knowingly and 
willfully request or obtain any record concerning any individual from 
an agency under false pretenses. Sections 552a(i)(1) and (2) of the Act 
(5 U.S.C. 552a(i)(1), (2)) provide penalties for violation by agency 
employees of the Act or regulations established thereunder.

    Dated: May 5, 1994.
Nan P. Mitchem,
Acting Secretary to the Board, Farm Credit System Insurance 
Corporation.
[FR Doc. 94-11464 Filed 5-12-94; 8:45 am]
BILLING CODE 6710-01-P