RD Instruction 1901-P

## PART 1901 - PROGRAM-RELATED INSTRUCTIONS

## 

## SUBPART P - COMPUTER TERMINAL SECURITY

§1901.751 [Purpose]{.underline}.

This Instruction prescribes the Rural Development procedure for issuing,
safeguarding, and using security codes required for access of borrower
information via computer terminals. Within limits set by the Privacy Act
of 1974, controls must be instituted to provide certain safeguards for
an individual against an invasion of personal privacy. To safeguard the
confidentiality of borrower information, a security code is established
by the Finance Office for each State, District, and County Office. The
security code identifies an Rural Development office and the caseload
that the office is authorized to request information from the Finance
Office Inquiry Station or to request a subsequent loan check for
authorized loan types by telephone from the Finance Office, the security
code must be given in addition to the borrower identification for which
information/subsequent loan check issuance is requested. The security
code and borrower identification are verified by the computer system
prior to generating requested information.

§1901.752 [Security Code Issuance]{.underline}.

\(a\) The initial issuance of security codes was made in February 1977
on Form RD 389-435, \"Notification of Security Code.\" This form is
prepared in an original and one copy. The copy is signed by the
addressee and returned to the Finance Office for verification. A heavy
gauge pre-addressed envelope marked \"To Be Opened By Addressee Only\"
is provided for returning the signed copy of Form RD 389-435 to the
Finance Office. A listing of the security codes by office code is
prepared and maintained in the Finance Office for verification purposes.
The signed copy of Form RD 389-435 is retained in the Finance Office in
a secured location until a subsequent security code is issued.

\(b\) Periodically, on an irregular schedule, the security codes for all
offices will be changed. Form RD 389-435 will be used to notify all
field offices of the new security codes. To allow for mailing, there
will be approximately a 3-week lag between preparation of the new
security code and the effective date for using the new security code.
The effective date of the new security code will be indicated on Form RD
389-435.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

DISTRIBUTION: WSC General

Program-Related Instructions

## 1

(10-19-77) PN 592

RD Instruction 1901-P

§1901.752 (Con.)

\(c\) Prior to changing security codes, all field offices will be
notified of the pending change. If Form RD 389-435 is not received as
scheduled in any field office, the Finance Office should be notified
immediately. Upon proper notification, a temporary security code may be
issued under the procedure stated in §1901.753. If the signed
verification copy of Form RD 389-435 is not received in the Finance
Office prior to the effective date for using the new security code, all
requests for information on that office\'s caseload will be refused.

§1901.753 [Request for Changed Security Code]{.underline}.

\(a\) If for any reason a State Director, District Director, or County
Supervisor feels the security code has become known by unauthorized
personnel, the security code must be changed. A new security code will
be requested via the Inquiry Station/Subsequent Loan Check Request
Station of the Finance Office. The requesting official will provide the
following information: servicing office code, current security code,
type of office (State, District, County), reason for the change, and the
name and telephone number of the person requesting the change.

\(b\) The Finance Office will prepare a new temporary security code and
originate a telephone call to the requester. Upon satisfactory
identification, the temporary security code will be given to the
requester. The requester must be made aware that the security code is
temporary until a new security code can be issued under the procedure
stated in §1901.752.

§1901.754 [Change in Office location]{.underline}.

\(a\) It is the responsibility of the State Office to notify the
Business Services Branch of the Finance Office of a change in location
so appropriate address and state/county code changes can be made for
mailing purposes. With the advent of the security code system, added
emphasis is now give to the prompt notification of the Finance Office
when there is a change in location.

\(b\) When it becomes necessary to move, close, or establish field
offices, the following procedure will be used:

\(1\) Office Moved - As long as the security code is not known by
unauthorized personnel, the security code will not change and will be
used at the new location.

## 2

§1901.754 (b) (Con.) RD Instruction 1901-P

\(2\) Office Closed - The security code must no longer be used at the
new location.

\(3\) New Office Established - A new security code must be obtained for
the new location.

\(c\) If sufficient time is not available for issuing a security code
using the normal procedure, a temporary security code may be issued by
the Finance Office under the procedures stated in §1901.753.

§1901.755 [Unauthorized Use of Security Codes]{.underline}.

\(a\) In the event the Finance Office becomes aware that a person, after
gaining access to the computer system, was an unauthorized user, an
attempt will be made to determine the source of the call.

\(b\) If the source of the call cannot be determined and the situation
satisfactorily resolved, the information will be given to the State
Director of the appropriate state for further investigation.

\(c\) To maintain the security of the system, the security code will be
deleted from use and a new security code will be issued by the Finance
Office under the procedures stated in §1901.753.

§1901.756 [Invalid Security Codes]{.underline}.

\(a\) In the event an information/subsequent loan check request is
received outside the jurisdiction of the requester, the caller will be
requested to verify the information given. If a valid borrower
identification and security code is not received, the caller will be
requested to provide the following information: servicing office code,
security code, borrower identification, and the name and telephone
number of requester.

\(b\) The Finance Office will code the system so that any subsequent
requests from that office will reject until the problem has been
satisfactorily resolved.

\(c\) If necessary, to maintain the security of the system, the security
code will be deleted from use and a new security code will be issued by
the Finance Office under the procedures stated in §1901.753.

§1901.757 [Organizational Responsibilities]{.underline}.

## 3

(10-19-77) PN 592

RD Instruction 1901-P

§1901.757 (Con.)

\(a\) Field Offices. It is the responsibility of the County Supervisor,
District Director, and State Director to maintain the confidentiality of
the security code. A unique security code is issued for each field
office\'s use. The security code will only be known and used by
authorized personnel normally dealing with the Inquiry
Station/Subsequent Loan Check Request Station of the Finance Office. The
Form RD 389-435 will be stored in a secure place under the custody of
the County Supervisor, District Director, or State Director as
appropriate. The security code will not be written on any other
recording media.

\(b\) Finance Office. Security codes will be established and distributed
as required by §1901.752. No information will be provided by the Inquiry
Station/Subsequent Loan Check Request Station unless the appropriate
security code is given. The security code will not be written on any
recording media by Inquiry Station/Subsequent Loan Check Request Station
employees.

§1901.758 [Penalties]{.underline}.

The Privacy Act of 1974 establishes the following penalties for willful
misuse of information prohibited from disclosure:

\(a\) Any officer or employee of Rural Development who has access to
records which contain individually identifiable information and
willfully i discloses the material in any manner to any person or agency
not entitled to receive it, will be subject to a fine not to exceed
\$5,000.

\(b\) Any person who knowingly and willfully requests or obtains any
record concerning an individual from Rural Development under false
pretenses will be subject to a fine not to exceed \$5,000.

§§1901.759 - 1901.800 \[Reserved\]

## oOo

## 4