[Privacy Act Issuances (1999)]
[From the U.S. Government Publishing Office, www.gpo.gov]
FARM CREDIT SYSTEM ASSISTANCE BOARD
FARM CREDIT SYSTEM ASSISTANCE BOARD
12 CFR PART 1300--DISCLOSURE OF RECORDS: FREEDOM OF INFORMATION ACT AND
PRIVACY ACT
Subpart B--Protection of Privacy and Access to Individual Records Under
the Privacy Act of 1974
1300.9 General.
1300.10 Exclusions.
1300.11 Records in exempt systems of records.
1300.12 Requests for notification of whether records exist.
1300.13 Responses to requests for notification of the existence of
records.
1300.14 Administrative appeals from denials of requests for
notification of the existence of records.
1300.15 Request for access to records.
1300.16 Responses to requests for access to records.
1300.17 Access to records.
1300.18 Fees for access to records.
1300.19 Administrative appeals from denials of access to records.
1300.20 Request for correction of records.
1300.21 Responses to requests for correction of records.
1300.22 Reocrds not subject to correction.
1300.23 Administrative appeals from determination not to correct
records.
1300.24 Request for accounting of record disclosures.
1300.25 Notice of disclosure under compulsory legal process and
emergencies.
1300.26 Employee standards of conduct.
1300.27 Other rights and services.
Authority: 5 U.S.C. 552a, 12 U.S.C. 2278a-10.
Source: 54 FR 34487, Aug. 21, 1989.
Subpart B--Protection of Privacy and Access to Individual Records
Under the Privacy Act of 1974
Sec. 1300.9 General.
(a) This subpart contains regulations of the Farm Credit System
Assistance Board implementing the Privacy Act of 1974 (``Privacy Act'')
5 U.S.C. 552a. The regulations apply to all records maintained by the
Farm Credit System Assistance Board and which are retrieved by an
individual's name or personal identifier. These regulations do not
relate to those personnel records of Government employees which are
under the jurisdiction of the Office of Personnel Management (OPM) to
the extent such records are subject to regulations issued by OPM. These
regulations also do not relate to those personnel records of Government
employees which are under the jurisdiction of the Department of
Agriculture to the extent such records are subject to regulations issued
by the Department of Agriculture. These regulations set forth the
procedures by which an individual may request notification of whether
the Assistance Board maintains a record pertaining to that individual,
may seek access under the Privacy Act to records pertaining to the
individual, may request correction of such records or may seek an
accounting of disclosures of such records by the Assistance Board.
(b) Definitions. As used in this subpart, the following terms shall
have the following meanings:
(1) ``Agency'' as defined in 5 U.S.C. 551 and 552.
(2) ``Assistance Board'' means the Farm Credit System Assistance
Board.
(3) ``Individual'' means a citizen of the United States or an alien
lawfully admitted for permanent residence.
(4) ``Maintain'' includes maintain, collect, use, or disseminate.
(5) ``Record'' means any item, collection, or grouping of information
about an individual that is maintained by the Assistance Board within a
system of records and which contains the individual's name, identifying
number, symbol, or other identifying particular assigned to the
individual, such as a finger or voice print or a photograph.
(6) ``Request for access'' means a request made pursuant to 5 U.S.C.
552a.
(7) ``Request for correction'' means a request made pursuant to 5
U.S.C. 552a.
(8) ``Request for accounting'' means a request made pursuant to 5
U.S.C. 552a.
(9) ``Request for notification'' means a request made pursuant to 5
U.S.C. 552a.
(10) ``Requester'' means an individual who makes either a request for
notification, a request for access, a request for correction, or a
request for an accounting.
(11) ``System of records'' means a group of any records under the
control of the Assistance Board from which information is retrieved by
the name of the individual or by some identifying number, symbol, or
other identifying particular assigned to the individual.
(12) ``Privacy Act Appeals Officer'' means the Assistance Board
employee designated by the Assistance Board as the Privacy Act Appeals
Officer.
(13) ``Exemptions'' means those matters to which the provisions of 5
U.S.C. 552a do not apply.
(c) Request and appeals submitted under this subpart will be processed
and responded to in accordance with the time limits and exemptions set
forth in the Privacy Act and this subpart, unless there are exceptional
circumstances as provided in 5 U.S.C. 552a. The Assistance Board will
notify a requester whenever it is unable to process or respond to the
request or appeal within the time limits established by the Privacy Act
and this subpart. Requests and appeals will be processed and responded
to in their approximate order of receipt, to the extent consistent with
sound administrative practice.
Sec. 1300.10 Exclusions.
(a) Pursuant to 12 U.S.C. 2278a-10, regulations, policies, procedures,
guidelines or statements issued by the Assistance Board and records (as
defined in subpart A of this part) related to their promulgation or
enforcement are not subject to the Privacy Act and, therefore, are not
included within or covered by these implementing regulations.
(b) Pursuant to 12 U.S.C. 2278a-10, the Assistance Board does not
publish its system of records.
Sec. 1300.11 Records in exempt systems of records.
The following records are exempt from the Assistance Board's system of
records pursuant to 5 U.S.C. 552a to the extent provided in this
section:
(a) Records subject to the provisions of 5 U.S.C. 552 (b)(1).
(b) Investigatory material compiled for law enforcement purposes.
However, before denying a request by an individual for a law enforcement
record which has been exempted pursuant to 5 U.S.C. 552a, the Assistance
Board will review the requested record to determine whether information
in the record has been used or is being used to deny the individual any
right, privilege, or benefit for which the requester is eligible or to
which the requester would otherwise be entitled under federal law. If
so, the Assistance Board will notify the requester of the existence of
the record and disclose such information to the requester, except to the
extent that the information would identify a confidential source. In
cases where disclosure of information in a law enforcement record could
reasonably be expected to identify a confidential source, the record
will not be disclosed to the requester unless the Assistance Board is
able to delete from such information all material which would identify
the confidential source.
(c) Records required by statute to be maintained and used solely as
statistical records;
(d) Investigatory material compiled solely for the purpose of
determining suitability, eligibility or qualifications for Federal
civilian employment, Federal contracts, or access to classified
information, but only to the extent that the disclosure of such material
would identify a confidential source; and
(e) Testing or examination material used solely to determine
individual qualifications for appointment or promotion in the Federal
service the disclosure of which would compromise the objectivity or
fairness of the testing or examination process.
Sec. 1300.12 Requests for notification of whether records exist.
(a) How made and addressed. A request for notification of whether
records in the possession of the Assistance Board exist about that
individual is to be made in writing, signed by the requester and
addressed to the Assistance Board, 1301 Pennsylvania Avenue NW, Suite
702, Washington, DC 20004. Both the envelope and the request must be
clearly marked: ``Privacy Act Notification Request.''
(b) Reasonable description of records. A request for notification of
whether records exist must describe the records for which notification
of existence is sought in sufficient detail to enable Assistance Board
personnel to locate the system of records which should contain any
existing record with a reasonable amount of effort. Whenever possible, a
request for notification should describe the nature of the record for
which notification of existence is sought and the time period during
which the requester believes any existing record would have been
compiled.
(c) Response address. A request must set forth the address where the
requester wants to be notified about whether the record exists or
whether the request will be granted or denied.
(d) Verification of identity. Any individual who submits a written
request for notification of the existence of records must verify the
requester's identity one of the following ways:
(1) A requester must state in the request the requester's full name,
current address, and date and place of birth. In addition, a requester
must provide with the request an example of the requester's signature,
which shall be notarized. In order to facilitate the identification and
location of the requested records, a requester may also, at the
requester's option, include in the request the requester's Social
Security number.
(2) A requester may visit the Assistance Board in person with a
written request and may provide to the Assistance Board a form of
official photographic identification, such as a passport or an
identification badge. If a requester is unable to produce a form of
photographic identification, the requester may provide to the Assistance
Board two or more acceptable forms of identification (such as driver's
license or credit card) bearing the requester's name and address.
(e) Verification of parentage or guardianship. The parent or guardian
of a minor (or the guardian of a person judicially determined to be
incompetent) who submits a request for notification of the existence of
the records of the minor or incompetent must establish:
(1) The requester's own identity and the identity of the subject of
the record, as required in paragraph (d) of this section;
(2) That the requester is the parent or guardian of the subject of the
record, which may be established by providing a copy of the subject's
birth certificate showing parentage or by providing a court order
establishing the guardianship; and
(3) That the requester seeks to act on behalf of the subject of the
record.
(f) Date of receipt of request. A request will be considered to have
been received for purposes of this subpart on the date on which the
requirements of this section have been satisfied.
Sec. 1300.13 Responses to requests for notification of the existence
of records.
(a) Granting a request. If the Assistance Board makes a determination
to grant a request in whole or in part, the Assistance Board will notify
the requester in writing. The notice will include:
(1) The name of the person responsible for the decision;
(2) For each record for which notice of existence was sought, a
statement as to whether the record exists.
(b) Denial of a request. When an individual requests notification as
to whether a record exists concerning the requester which is for a
record that has been exempted from notification requirements pursuant to
5 U.S.C. 552a (see Sec. 1300.11) and the assertion of the exemption is
deemed necessary, the Assistance Board will neither confirm nor deny the
existence of the record but shall advise the requester only that no
record subject to the notification of existence requirements of the
Privacy Act has been identified. When the Assistance Board makes a
determination to deny a request for notification, in whole or in part,
the Assistance Board will so notify the requester in writing. The notice
will include:
(1) The name of the person responsible for the denial;
(2) A brief statement for the reason or reasons for the denial,
including the Privacy Act exemption or exemptions which the Assistance
Board has relied upon in denying the request; and
(3) A statement that the denial may be appealed under Sec. 1300.14 of
this subpart and a description of the requirements of that section.
(c) Record cannot be located or has been destroyed. If the request
seeking notice of the existence of records is for records that cannot be
located from the information supplied, or are known or believed to have
been destroyed or otherwise disposed of, the Assistance Board will so
notify the requester in writing.
(d) Medical records. When an individual requests notice of the
existence of medical records, including psychological records,
pertaining to the requester which are not otherwise exempt from the
notice requirements of the Privacy Act, the Assistance Board may advise
the requester that notice of whether the records exist will be provided
only to a physician, designated by the requester who requests notice of
the existence of the records and establishes his or her identity in
writing. The designated physician shall determine whether notice of the
existence of records should be provided to the individual and the
existence of which records should not be disclosed to the individual
because of possible harm to the individual or another person.
Sec. 1300.14 Administrative appeals from denials of requests for
notification of the existence of records.
(a) In general. When a request for notice of the existence of records
has been denied in whole or in part, the requester may appeal the denial
of the request to the Privacy Act Appeals Officer within 30 calendar
days of the requester's receipt of a notice denying the request.
(b) Form and content of notice of appeal. A notice of appeal shall:
(1) Be made in writing and signed by the requester;
(2) Be addressed to the Privacy Act Appeals Officer, Assistance Board,
1301 Pennsylvania Avenue, NW, Suite 702, Washington, DC 20004. Both the
envelope and the notice of appeal must be clearly marked: ``Privacy Act
Notice Appeal.''
(3) Reasonably describe, in accordance with section 1300.12, the
records subject to denial of the request for notification from which the
appeal is being taken;
(4) Set forth the address where the requester desires to be notified
of the determination on appeal;
(5) Specify the date of the initial request and the date of the letter
denying the initial request; and
(6) State any supporting arguments for overturning the initial
determination.
(c) Date of receipt of appeal. An appeal will be considered to have
been received for purposes of this subpart when the requirements of this
section have been satisfied.
(d) Form of action on appeal. (1) The disposition of an appeal will be
in writing. A decision affirming in whole or in part the denial of a
request will include:
(i) A brief statement of the reason or reasons for the affirmance,
including the Privacy Act exemption or exemptions relied upon;
(ii) The name of the person responsible for the decision on appeal;
and
(iii) A statement that judicial review of the denial is available in
the U.S. District Court for the District of Columbia pursuant to 12
U.S.C. 2278a-3.
(2) If the denial of a request is reversed on appeal, the requester
will be so notified in writing and the request will be processed
promptly in accordance with the decision on appeal.
Sec. 1300.15 Request for access to records.
(a) How made and addressed. A request under this subpart by an
individual for access to a record in the possession of the Assistance
Board about that individual is to be made in writing, signed by the
requester and addressed to the Assistance Board at 1301 Pennsylvania
Avenue, NW., Suite 702, Washington, DC 20004. Both the envelope and the
request must be clearly marked: ``Privacy Act Access Request.''
(b) Reasonable description of records. A request for access to records
must describe the records sought in sufficient detail to enable
Assistance Board personnel to locate the system of records containing
the record with a reasonable amount of effort. Whenever possible, a
request for access should describe the nature of the record sought, the
date of the record or the period in which the record was compiled, and
the name or identifying number of the system of records in which the
requester believes the record is kept.
(c) Response address. A request must set forth the address where the
requester wants to be notified about whether or not the request will be
granted.
(d) Inspection or copy. A request must state whether the requester
wishes to inspect the records or desires to have a copy made and
furnished without first inspecting them.
(e) Exemptions. The processes prescribed under this section do not
apply to:
(1) systems of records exempted pursuant to Sec. 1300.11 of this
subpart;
(2) information complied in reasonable anticipation of a civil action
or proceeding; or
(3) information pertaining to an individual which is contained in, and
inseparable from, another individual's record.
(f) Agreement to pay fees. The filing of a request for access to a
record under this subpart shall be deemed to constitute an agreement to
pay all applicable fees charged under Sec. 1300.18 of this subpart up to
$25.00. When filing a request, a requester may specify a willingness to
pay a greater amount, if applicable. If it is estimated that the
applicable fees will be greater than $25.00, the requester will be so
advised and asked to agree to pay this amount, unless the requester has
so indicated in the request for access.
(g) Verification of identity. Any individual who submits a written
request for access to records must verify the requester's identity in
the manner set forth in Sec. 1300.12 of this subpart for verifying the
identity of requesters seeking notification.
(h) Verification of guardianship. The parent or guardian of a minor
(or the guardian of a person judicially determined to be incompetent)
who submits a request for access to the records of the minor or
incompetent must establish the requirements set forth in Sec. 1300.12 of
this subpart for verifying the parentage or guardianship of requesters
seeking notification.
(i) Date of receipt of request. A request for access to records will
be considered to have been received for purposes of this subpart on the
later of the dates on which:
(1) The requirements of this section have been satisfied and, where
applicable,
(2) The requester has agreed in writing to pay the fees due in
accordance with Sec. 1300.18 of this subpart if greater than $25.00, or
(3) Payment in advance has been received from the requester, when
required in accordance with Sec. 1300.18 of this subpart.
Sec. 1300.16 Responses to requests for access to records.
(a) In general. Upon receipt of a request for access to records, the
Assistance Board will determine whether another Government agency is
better able to determine whether the record is exempt, to any extent,
from access. If the Assistance Board determines that it is the agency
best able to determine whether the record is exempt, to any extent, from
access, then the Assistance Board will respond to the request. If the
Assistance Board determines that it is not the agency best able to
determine whether or not the record is exempt from access, the
Assistance Board will respond to the requester, after consulting with
the agency best able to determine whether or not the record is exempt
from access. Under ordinary circumstances, the agency that generated or
originated a requested record shall be presumed to be the agency best
able to determine whether or not the record is exempt from access.
(b) Law enforcement information. Whenever a request for access is made
for a record containing information which relates to an investigation of
a possible violation of criminal law or to a criminal law enforcement
proceeding and which is generated or originated by another agency, the
Assistance Board will consult with the other agency, as appropriate.
(c) Classified information. Whenever a request for access is made for
a record containing information which has been classified, or which may
be eligible for classification, by another agency under the provisions
of Executive Order 12356 or any other Executive order concerning the
classification of records, the Assistance Board will refer the
responsibility for responding to the request to the agency that
classified the information or should consider the information for
classification. Whenever a record contains information that has been
derivatively classified by the Assistance Board because it contains
information classified by another agency, the Assistance Board will
refer the responsibility for responding to the request to the agency
that classified the underlying information; however, such referral will
extend only to the information classified by the other agency.
(d) Granting a request. If the Assistance Board makes a determination
to grant a request for access, in whole or in part, the Assistance Board
will so notify the requester in writing. The notice will include:
(1) The name of the person responsible for the decision;
(2) A description of the manner in which access to the record will be
granted; and
(3) A statement of any fees to be charged in accordance with
Sec. 1300.18 of this subpart.
(e) Denial of a request for access. If the Assistance Board makes a
determination to deny a request for access, in whole or in part, the
requester will be so notified in writing. The notice will include:
(1) The name of the person responsible for the denial;
(2) A brief statement for the reason or reasons for the denial,
including the Privacy Act exemption or exemptions relied upon; and
(3) A statement that the denial may be appealed under Sec. 1300.19 of
this subpart and a description of the requirements of that section.
(f) Segregable portions of records. Access to portions of a record may
be denied, leaving the remaining reasonably segregable portions subject
to access. However, these portions will be made available to the
requester only if the meaning is not distorted by deletion of the denied
portions and when it reasonably can be assumed that a skillful and
knowledgeable person could not reconstruct the deleted information (in
addition to satisfaction of all other applicable requirements of this
subpart). When access to a record is denied in whole, the response
advising the requester of that determination will specifically state
that it is not reasonable to segregate portions of the record for
access.
(g) Record cannot be located or has been destroyed. If a requested
record cannot be located or is known or believed to have been destroyed
or otherwise disposed of, the Assistance Board will so notify the
requester in writing.
(h) Medical records. When an individual requests medical records,
including psychological records, pertaining to the requester which are
not otherwise exempt from individual access, the Assistance Board may
advise the requester that the records will be provided only to a
physician, designated by the individual who requests the records and
establishes his or her identity in writing. The designated physician
shall determine which records should be provided to the requester and
which records should not be disclosed to the requester because of
possible harm to the individual or another person.
(i) Records exempt, in whole or in part. When an individual requests
access to records concerning the individual which have been exempted
from individual access pursuant to 5 U.S.C. 552a(j) or which have been
compiled in reasonable anticipation of a civil action or proceedings in
either a court or before an administrative tribunal and the assertion of
the exemption is deemed necessary, the Assistance Board may neither
confirm nor deny the existence of the record but may advise the
individual only that no record available to the individual pursuant to
the Privacy Act has been identified.
Sec. 1300.17 Access to records.
(a) Manner of access. Where the determination to grant a request for
access has been made, the Assistance Board will grant the requester
access to the requested record either by:
(1) Providing the requester with a copy of the record; or
(2) Making the record available for inspection by the requester at a
reasonable time and place. The Assistance Board will in either case
charge the requester applicable fees in accordance with the provisions
of Sec. 1300.18 of this subpart. If the Assistance Board provides access
to a record by making the record available for inspection by the
requester, the manner of such inspection shall not unreasonably disrupt
the operations of the Assistance Board.
(b) Accompanying persons. A requester appearing in person to review
the requester's records may be accompanied by another individual of the
requester's choosing. Both the requester and the accompanying person
will be required to sign a form stating that the Assistance Board is
authorized to disclose the record in the presence of both individuals.
Sec. 1300.18 Fees for access to records.
(a) In general. The Assistance Board will charge fees for the copying
of records to afford access to individuals unless the Assistance Board,
in its discretion, waives or reduces the fees for good cause shown. The
Assistance Board will charge $.15 per page. For materials other than
paper copies, the Assistance Board may charge the direct costs, as
defined in Sec. 1300.7 of this part, for reproduction, but only if the
requester has been notified of such costs before they are incurred. Fees
will not be charged where they would amount, in aggregate, for one
request or for a series of related requests, to less than $4.50.
(b) Inspection of documents. Fees will be charged whenever the
Assistance Board must make copies available to the requester for
inspection.
(c) Form of payment. Requesters shall pay fees by check or money order
made payable to the Assistance Board and indicate the request for which
payment is made.
(d) Advance payments. (1) If the Assistance Board estimates that a
total fee to be assessed under this section is likely to exceed $25.00,
the Assistance Board may require the requester to make an advance
payment of an amount up to the entire estimated fee before beginning to
process the request.
(2) When a requester has previously failed to pay a records access fee
within 30 calendar days of the date of billing, the Assistance Board may
require the requester to pay the full amount owed, plus any applicable
interest (as provided for in paragraph (e) of this section), and to make
an advance payment of the full amount of any estimated fee before the
Assistance Board begins to process a pending request from that
requester.
(3) For requests other than those described in paragraphs (d)(1) and
(2) of this section, the Assistance Board will not require the requester
to make an advance payment, i.e., a payment made before work is
commenced or continued on a request. Payment owed for work already
completed is not an advance payment.
(e) Charging interest. The Assistance Board may assess interest
charges on an unpaid bill starting on the 31st calendar day following
the day on which the bill was sent to the requester. Once a fee payment
has been received by the Assistance Board, even if not processed, the
accrual of interest will be stayed. Interest charges will be assessed at
the rate prescribed in 31 U.S.C. 3717 and will accrue from the date of
the billing.
Sec. 1300.19 Administrative appeals from denials of access to
records.
(a) In general. When a request for access to records has been denied
in whole or in part, the requester may appeal the denial of the request
to the Privacy Act Appeals Officer within 30 calendar days of the
requester's receipt of a notice denying the request.
(b) Form and content of notice of appeal. A notice of appeal shall:
(1) Be made in writing and signed by the requester;
(2) Be addressed to the Privacy Act Appeals Officer, Assistance Board,
1301 Pennsylvania Avenue, Suite 702, Washington, DC 20004. Both the
envelope and the notice of appeal must be clearly marked: ``Privacy Act
Appeal.''
(3) Reasonably describe, in accordance with Sec. 1300.15 of this
subpart, the record subject to the denial of access to which an appeal
is being taken;
(4) Set forth the address where the requester desires to be notified
of the determination on appeal;
(5) Specify the date of the initial request and the date of the letter
denying the initial request; and
(6) State any supporting arguments for overturning the initial
determination.
(c) Date of receipt of appeal. An appeal will be considered to have
been received for purposes of this subpart when the requirements of this
section have been satisfied.
(d) Form of action of appeals. (1) The disposition of an appeal will
be in writing. A decision affirming in whole or in part the denial of a
request for access will include:
(i) A brief statement of the reason or reasons for the affirmance,
including the Privacy Act exemption or exemptions relied upon;
(ii) The name of the person responsible for the decision on appeal;
and
(iii) A statement that judicial review of the denial is available in
the U.S. District Court for the District of Columbia pursuant to 12
U.S.C. 2278a-3.
(2) If the denial of a request for access is reversed on appeal, the
requester will be so notified in writing and the request will be
processed promptly in accordance with the decision on appeal.
Sec. 1300.20 Request for correction of records.
(a) How made and addressed. Unless a record is exempted from
correction and amendment, (see Secs. 1300.11 and 1300.22 of this
subpart), an individual may submit a request for correction of a record
pertaining to that individual. A request for correction must:
(1) Be made in writing and signed by the requester, who must be the
individual about whom the record is maintained, or the duly authorized
representative of such individual;
(2) Be addressed to the ``Privacy Act Officer'', Assistance Board,
1301 Pennsylvania Avenue, NW, Suite 702, Washington, DC 20004. Both the
envelope and the request must be clearly marked ``Privacy Act Correction
Request''; and
(3) Identify the particular record in question, state the correction
sought, and set forth the justification for the correction.
(b) Reasonable description of records. A request for correction of
records must describe the records in sufficient detail to enable
Assistance Board personnel to locate the system of records containing
the record with a reasonable amount of effort. Whenever possible, a
request for correction of records should describe the nature of the
record involved, the date of the record or the period in which the
record was compiled, and the name or identifying number of the system of
records in which the requester believes the record is kept.
(c) Response address. A request must set forth the address where the
requester wants to be notified about whether or not the request will be
granted.
(d) Date of receipt of request. A request for correction of records
pertaining to an individual shall be deemed to have been received for
purposes of this subpart when the requirements of this section have been
satisfied.
(e) Review of requests to correct records. The Assistance Board will
acknowledge receipt of the request in writing within 10 days (excluding
Saturdays, Sundays, and legal holidays) and promptly thereafter notify
the requester whether the request will be granted or denied in whole or
in part.
Sec. 1300.21 Responses to requests for correction of records.
(a) Granting request. If the Assistance Board makes a determination to
grant a request for correction in whole or in part, the Assitance Board
will so notify the requester in writing and advise the requester of the
right to obtain a copy of the corrected record, in releasable form, upon
request.
(b) Denial of request. If the Assistance Board makes a determination
to deny a request for correction in whole or in part, the Assistance
Board will notify the requester in writing. The notice will state the
reason or reasons for the denial and advise the requester of the right
to appeal in accordance with Sec. 1300.23 of this subpart.
Sec. 1300.22 Records not subject to correction.
In addition to the exempt records noted in Sec. 1300.11 of this
subpart, the following records are not subject to correction or
amendment as provided in Sec. 1300.20 of this subpart:
(a ) Transcripts or written statements made under oath;
(b) Transcripts of grand jury proceedings, judicial or quasi-judicial
proceedings which constitute the official record of such proceedings;
(c) Pre-sentence reports which are the property of the courts but are
maintained in a system of records;
(d) Records pertaining to the determination, the collection and the
payment of the Federal taxes;
(e) Records duly exempted from correction by notice published in the
Federal Register; and
(f) Records compiled in reasonable anticipation of a civil action or
proceeding.
Sec. 1300.23 Administrative appeals from determinations not to
correct records.
(a) In general. When a request for correction has been denied in whole
or in part, the requester may appeal the denial to the Assistance Board
within 30 calendar days of the requester's receipt of the notice denying
the request.
(b) Form and content of notice of appeal. The notice of appeal shall:
(1) Be made in writing and signed by the person to whom the record
pertains, or the duly authorized representative of such individual;
(2) Be addressed to the Privacy Act Appeals Officer, Assistance Board,
1301 Pennsylvania Avenue, NW, Suite 702, Washington, DC 20004. Both the
envelope and the notice of appeal must be clearly marked ``Privacy Act
Correction Appeal'';
(3) Reasonably describe, in accordance with section 1300.20, the
records sought to the corrected;
(4) Set forth the address where the requester desires to be notified
of the determination on appeal;
(5) Specify the date of the initial request and the date of the letter
giving notification that the request was denied; and
(6) State any supporting arguments for overturning the initial
determination.
(c) Date of receipt of appeal. An appeal will be considered to have
been received for purposes of this subpart when the requirements of this
section have been satisfied. An appeal will be promptly stamped with the
date of its receipt by the Assistance Board. The receipt of the appeal
will be acknowledged within 10 days (excluding Saturdays, Sundays, and
legal public holidays) from the date of receipt (unless the
determination on appeal is dispatched in 10 days, in which case, no
acknowledgement is required) by the Assistance Board and the requester
will be advised of the date of receipt and when a response is due in
accordance with this section.
(d) Form of action on appeal--(1) In general. The Assistance Board
will complete the review and notify the requester of the Assistance
Board's final decision within 30 days (excluding Saturdays, Sundays and
legal public holidays) after the date of receipt of such appeal, unless
the time is extended for good cause shown.
(2) Affirming the denial of a request. If the denial of a request is
affirmed on appeal, the requester will be so notified in writing and
advised of:
(i) The reason or reasons the denial has been affirmed;
(ii) The requester's right to file a Statement of Disagreement, as
provided in paragraph (e) of this section; and
(iii) The requester's right to obtain judicial review of the denial in
the U.S. District Court for the District of Columbia in accordance with
12 U.S.C. 2278a-3.
(3) Reversing the denial of a request. If the denial is reversed on
appeal, the requester will be so notified in writing and the requested
correction made.
(e) Statements of disagreement. (1) A requester whose appeal under
this section is denied shall have the right to file a Statement of
Disagreement with the Assistance Board, 1301 Pennsylvania Avenue, NW,
Suite 702, Washington, DC 20004, within 30 calendar days of receiving
the notice of denial of the requester's appeal.
(2) Statements of Disagreement are to be concise and set forth the
reasons for the requester's disagreement with the decision.
(3) Upon receipt of a Statement of Disagreement, the Statement will be
included in the system of records in which the disputed record is
maintained and the disputed record shall be marked so as to indicate (i)
that a Statement of Disagreement has been filed, and (ii) where in the
system of records the Statement may be found. The Assistance Board may
include a concise statement of the Assistance Board's reasons for not
making the requested corrections.
Sec. 1300.24 Request for accounting of record disclosures.
(a) How made and addressed. An individual may request that the
Assistance Board provide the individual with an accounting of
disclosures of records pertaining to that individual and the date,
nature, and purpose of each disclosure. A request for an accounting is
to be made in writing and signed by the requester, who must be the
individual about whom the requested record is maintained, or such
individual's duly authorized representative and must identify the
particular record for which the accounting is requested. The request
must be addressed to the Assistance Board at 1301 Pennsylvania Avenue,
NW, Suite 702, Washington, DC 20004. Both the envelope and the request
must clearly be marked: ``Privacy Act Accounting Request.''
(b) The Assistance Board is not required to provide an accounting to
an individual to the extent that the accounting relates to:
(1) Records for which no accounting must be kept pursuant to 5 U.S.C.
552a;
(2) Those records exempt from the Assistance Board's system of records
in accordance with Sec. 1300.11 of this subpart; or
(3) Records for which an accounting need not be disclosed pursuant to
5 U.S.C. 552a.
(c) Notice of Appeal. A denial of a request for an accounting may be
appealed to the Privacy Act Appeals Officer in the same manner as a
denial of a request for access, with both the envelope and the notice of
appeal clearly marked: ``Privacy Act Accounting Appeal.''
Sec. 1300.25 Notice of disclosure under compulsory legal process and
emergencies.
(a) Compulsory legal process. When records concerning an individual
are subpoenaed by a grand jury, court, or quasi-judicial authority from
the Assistance Board, or disclosed in accordance with an ex parte court
order pursuant to 26 U.S.C. 6103, the Assistance Board will make
reasonable efforts to assure that written notice of its service or any
disclosure is provided to the individual. Notice shall be provided
within 5 days (excluding Saturdays, Sundays, and legal public holidays)
of making the records available under compulsory legal process or, in
the case of a grand jury subpoena or an ex parte order, within 5 days
(excluding Saturdays, Sundays, and legal public holidays) of its
becoming a matter of public record. Notice will be mailed to the last
known address of the individual and will contain the following
information: The date and authority to which the subpoena is, or was
returnable, or the date of and court issuing the ex parte order, the
name and the nature of the information sought and provided. Notice
pursuant to this section will not be provided if the system of records
has been exempted from the notice requirement of 5 U.S.C. 552a by a
Notice of Exemption published in the Federal Register.
(b) Emergency disclosure. If information concerning an individual has
been disclosed to any person under compelling circumstances affecting
health or safety as described in 5 U.S.C. 552a, the individual shall be
notified of the disclosure at the individual's last known address within
5 days (excluding Saturdays, Sundays, and legal public holidays). Notice
will be in writing and will state the nature of the information
disclosed, the person or agency to whom it was disclosed, the date of
disclosure, and the compelling circumstances justifying the disclosure.
Sec. 1300.26 Employee standards of conduct.
(a) In general. Employees of the Assistance Board have a duty to:
(1) Protect the security of records;
(2) Ensure the accuracy, relevance, timeliness, and completeness of
records; and
(3) Avoid the unauthorized disclosure, either verbal or written, of
records.
(b) Maintenance of records. Except to the extent that the Privacy Act
permits such activities, an employee of the Assistance Board shall:
(1) Not collect information of a personal nature from individuals
unless the employee is authorized to collect such information to perform
a function or discharge a responsibility of the Assistance Board;
(2) Collect from individuals only that information which is necessary
to the performance of the functions or to the discharge of the
responsibilities of the Assistance Board;
(3) Collect information about an individual directly from that
individual whenever practicable;
(4) Inform each individual from whom information is collected of:
(i) The legal authority that authorizes the Assistance Board to
collect such information and whether disclosure of such information is
mandatory or voluntary;
(ii) The principal purposes for which the Assistance Board intends to
use the information;
(iii) The routine uses the Assistance Board may make of the
information; and
(iv) The practical and legal effects upon the individual of not
furnishing the information;
(5) Maintain all records which are used by the Assistance Board in
making any determination about any individual with such accuracy,
relevance, timeliness, and completeness as to ensure fairness to the
individual in the determination;
(6) Except as to disclosures to an agency or pursuant to 5 U.S.C. 552,
make reasonable efforts, prior to disseminating any record about an
individual, to ensure that such records are accurate, relevant, timely
and complete;
(7) Not maintain any record concerning an individual's religious or
political beliefs or activities, or membership in associations or
organizations, or describing how any individual exercises rights
guaranteed by the First Amendment, unless:
(i) The individual has volunteered such information for the
individual's own benefit; or
(ii) A statute expressly authorizes the Assistance Board to collect,
maintain, use, or disseminate the information;
(8) When required by the Privacy Act, maintain an accounting in the
prescribed form of all disclosures of records by the Assistance Board to
agencies or individuals whether verbally or in writing;
(9) Not disclose any record to anyone for any use unless authorized by
the Privacy Act;
(10) Maintain and use records with care to prevent the inadvertent
disclosure of a record to anyone; and
(11) Notify the head of the Assistance Board of any record that
contains information that the Privacy Act or the foregoing provisions of
this paragraph do not permit the Assistance Board to maintain.
(c) Civil liability and criminal penalty provisions. Assistance Board
employees are referred to the civil liability and criminal penalty
provisions of the Privacy Act, 5 U.S.C. 552a.
Sec. 1300.27 Other rights and services.
Nothing in this subpart shall be construed to entitle any individual,
as of right, to any service or to the disclosure of any record to which
such individual is not entitled under 5 U.S.C. 552a or 12 U.S.C. 2278a-
10.