[Federal Register Volume 59, Number 203 (Friday, October 21, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-26178]


[[Page Unknown]]

[Federal Register: October 21, 1994]


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FARM CREDIT SYSTEM INSURANCE CORPORATION

12 CFR Part 1403

RIN 3055-AAOO

 

Privacy Act Regulations

AGENCY: Farm Credit System Insurance Corporation.

ACTION: Interim rule with request for comments.

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SUMMARY: The Farm Credit System Insurance Corporation (Corporation) 
issues an interim rule 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. Also, the interim rule includes a 
provision relating to the use of a specific exemption, 5 U.S.C. 
552(k)(5), for a system of records. The regulations will assist the 
public in requesting Privacy Act records.

DATES: Effective November 21, 1994. Written comments are due November 
21, 1994. Notice of the effective date will be published in the Federal 
Register.

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:

Mark McBeth, Privacy Act Officer, Farm Credit System Insurance 
Corporation, McLean, Virginia 22102-0826, (703) 883-4345, 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: On May 13, 1994, the Corporation proposed 
regulations setting forth procedures to be used in requesting access to 
and responding to requests for Corporation Privacy Act records. See 59 
FR 24988. Essentially, the Corporation proposed regulations that 
provided 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 delegated to the Privacy 
Act Officer authority to make initial determinations concerning 
requests for access to records. The proposed regulations provided 
procedures for requests for amendment of records and the appeal of an 
initial adverse determination on a request to amend a record. Finally, 
the proposed regulations provided a fee structure. The Corporation did 
not receive any written comments in response to the proposed 
regulations.
    After publication of the proposed rule, the Corporation determined 
that a specific exemption was appropriate for a system of records. The 
Corporation now wishes to adopt a regulation providing for the specific 
exemption under 5 U.S.C. 552(k)(5) of a system of records pertaining to 
the personnel security files of the agency. The head of an agency may 
promulgate rules to exempt any system of records within the agency from 
subsections (c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f) of 
section 552a of title 5, United States Code, if the system of records 
is investigatory material compiled solely for the purpose of 
determining suitability, eligibility, or qualifications for Federal 
civilian employment, but only to the extent that the disclosure of such 
material would reveal the identity of a source who furnished 
information to the government under an express promise that the 
identity of the source would be held in confidence.
    In order to ensure appropriate maintenance and use of Corporation 
records, as well as orderly and timely access to Corporation records, 
it was determined that the regulation should be adopted as an interim 
rule. However, comments are sought on this regulation.
    The Corporation now adopts 12 CFR part 1403 as an interim rule.

List of Subjects in 12 CFR Part 1403

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

    For the reasons set out in the preamble, part 1403 of Chapter XIV, 
title 12 of the Code of Federal Regulations is 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.
1403.12  Exemptions.

    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(i)(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.


Sec. 1403.12  Exemptions.

    Specific. Pursuant to 5 U.S.C. 552a(k)(5), the investigatory 
material compiled for law enforcement purposes in the following system 
of records is exempt from subsections (c)(3), (d), (e)(1), (e)(4) (G), 
(H), and (I), and (f) of 5 U.S.C. 552a and from the provisions of this 
part:

Personnel Security Files--FCSIC.

    Dated: October 18, 1994.
 Curtis M. Anderson,
 Secretary to the Board, Farm Credit System Insurance Corporation.
[FR Doc. 94-26178 Filed 10-20-94; 8:45am]
BILLING CODE 6710-01-P