12 C.F.R. PART 1403—PRIVACY ACT REGULATIONS
Title 12 - Banks and Banking
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.
Source: 59 FR 53084, Oct. 21, 1994, unless otherwise noted.
(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 §§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. 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. (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. 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. (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 §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. 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. (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. 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 §1403.9. (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. Fees for providing copies of records shall be charged in accordance with §§1402.22 and 1402.24 of this chapter. 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. 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.
Title 12: Banks and Banking
PART 1403—PRIVACY ACT REGULATIONS
Section Contents
§ 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.
§ 1403.1 Purpose and scope.
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§ 1403.2 Definitions.
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§ 1403.3 Procedures for requests pertaining to individual records in a record system.
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§ 1403.4 Times, places, and requirements for identification of individuals making requests.
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§ 1403.5 Disclosure of requested information to individuals.
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§ 1403.6 Special procedures for medical records.
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§ 1403.7 Request for amendment to record.
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§ 1403.8 Agency review of request for amendment of record.
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§ 1403.9 Appeal of an initial adverse determination of a request to amend a record.
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§ 1403.10 Fees for providing copies of records.
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§ 1403.11 Criminal penalties.
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§ 1403.12 Exemptions.
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