Privacy Act Regulations

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