Privacy Act Regulations

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