[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
