Federal Register / Vol. 62, No. 233 / Thursday, December 4, 1997 / Proposed Rules 64177

§ 610.23 State Technical Committee

meetings.

(a) The State Conservationist of each

State chairs the State Technical

Committee. State Technical Committees

shall provide public notice of meetings

that consider issues related to

conservation programs. The State

Conservationist shall publish a meeting

notice no later than 7 calendar days

prior to the meeting. Notification may

exceed this 7-day minimum where State

open meeting laws exist and require a

longer notification period. The State

Conservationist shall publish this notice

in at least one or more newspaper(s),

including Tribally-recommended

publications, to attain statewide

circulation.

(b) The State Conservationist, as

Chairperson, schedules and conducts

the meetings, although a meeting may

be requested by any USDA agency as

needed.

§ 610.24 Responsibilities of State

Technical Committees.

(a) Each State Technical Committee

established under this subpart shall

meet on a regular basis, as determined

by the State Conservationist, to provide

information, analysis, and

recommendations.

(b) The State Technical Committee

shall provide, in writing to the

implementing USDA program agency,

recommendations, data, and technical

analyses, which reflect the professional

information and judgment of the State

Technical Committee. Such

information, analyses, and

recommendations shall be provided in a

manner that will assist in determining

matters of fact, technical merit, or

scientific question.

(c) The implementing agency reserves

the authority to accept or reject the

Committee’s recommendations;

however, the implementing agency shall

give strong consideration to the

Committee’s suggestions.

Signed in Washington, D.C. on November

28, 1997.

Thomas A. Weber,

Acting Chief, Natural Resources Conservation

Service.

[FR Doc. 97–31727 Filed 12–3–97; 8:45 am]

BILLING CODE 3410–16–P

EXPORT–IMPORT BANK OF THE

UNITED STATES

12 CFR Parts 404 and 405

Comprehensive Revision of ExportImport Bank of the United States

Freedom of Information Act and

Privacy Act Regulations and

Implementation of Electronic Freedom

of Information Act Amendments of

1996

AGENCY: Export-Import Bank of the

United States.

ACTION: Proposed rule.

SUMMARY: This document sets forth

proposed comprehensive revisions of

the Export-Import Bank’s Freedom of

Information Act (FOIA) and Privacy Act

regulations. The regulations are

intended to supersede the Export-Import

Bank’s current FOIA and Privacy Act

regulations, found at 12 CFR parts 404

and 405, respectively. The ExportImport Bank (Ex-Im Bank) is proposing

the following revisions in order to

provide more ‘‘user-friendly’’

regulations that are consistent with

current law, including the Electronic

Freedom of Information Act

Amendments of 1996. The proposed

regulations also include updated fee

schedules.

DATES: Submit comments on or before

February 2, 1998.

ADDRESSES: Address all comments

concerning this proposed rule to

Howard A. Schweitzer, Counsel, ExportImport Bank of the United States, 811

Vermont Avenue, NW, Room 963,

Washington, DC 20571.

FOR FURTHER INFORMATION CONTACT:

Howard A. Schweitzer, (202) 565–3229.

SUPPLEMENTARY INFORMATION: This is a

comprehensive revision of 12 CFR part

404 (Ex-Im Bank’s current FOIA

regulations) and 12 CFR part 405 (Ex-Im

Bank’s current Privacy Act regulations).

The proposed part 404 contains Ex-Im

Bank’s regulations for the FOIA, found

in subpart A, and the Privacy Act, found

in subpart B. The proposed part 404

does not contain any regulations

concerning ‘‘appearance and testimony

by Ex-Im Bank officers and employees,’’

currently found at 12 CFR 404.8. Ex-Im

Bank is removing and reserving part 405

for publication of new regulations

entitled ‘‘production and disclosure in

federal or state proceedings.’’

The proposed FOIA regulations, in

addition to setting forth Ex-Im Bank’s

basic FOIA policy and procedure,

include provisions, found in § 404.7, to

implement Executive Order 12600,

‘‘Predisclosure Notification Procedures

for Confidential Commercial

Information.’’ The regulations also set

forth a revised ‘‘schedule of fees,’’ found

in § 404.8. The proposed changes

include increases in the hourly fees for

clerical and professional time to $16.00

and $32.00, respectively, and a decrease

in duplication charges, from $.25 to $.10

per photocopy. New provisions

implementing the Electronic Freedom of

Information Act Amendments of 1996

(Pub. L. 104–231) can be found in

§ 404.3 (public reference facilities),

§ 404.5 (time for processing), and

§ 404.8(d) (material withheld). The

proposed regulations also establish, in

§ 404.11 (administrative appeal), the ExIm Bank Assistant General Counsel for

Administration as the appellate

authority for administrative appeals

under the FOIA.

The proposed Privacy Act regulations,

set forth Ex-Im Bank’s basic Privacy Act

policy and procedures. The regulations

also include the following provisions

concerning matters not previously

addressed: § 404.19 (notice of subpoenas

and emergency disclosures); § 404.20

(request for accounting of record

disclosures); § 404.21 (submission of

social security and passport numbers);

§ 404.22 (contracting record systems);

and § 404.26 (employee standards of

conduct).

Regulatory Flexibility Act

The Ex-Im Bank President and

Chairman, in accordance with the

Regulatory Flexibility Act (5 U.S.C.

605(b)), has certified that this regulation

will not have a significant economic

impact on a substantial number of small

entities. Under the Freedom of

Information Act, agencies may recover

only the direct costs of searching for,

reviewing, and duplicating the records

processed for requesters. Under the

Privacy Act, agencies may recover only

duplication costs. Thus, fees assessed by

Ex-Im Bank under these regulations will

be nominal. Also, Ex-Im Bank receives,

on average, less than two hundred FOIA

and Privacy Act requests per year, and

only one in four of those requests is

made by a small entity.

Certification

In accordance with the Regulatory

Flexibility Act, I hereby certify that the

proposed Freedom of Information Act

and Privacy Act regulations of the

Export-Import Bank of the United States

will not have a significant economic

impact on a substantial number of small

entities.

James A. Harmon,

President and Chairman.

Dated: November 20, 1997.
64178 Federal Register / Vol. 62, No. 233 / Thursday, December 4, 1997 / Proposed Rules

Executive Order 12866

This regulation has been drafted and

reviewed in accordance with the

Executive Order. The Office of

Management and Budget has

determined that this rule is not a

‘‘significant regulatory action,’’ as

defined by the Executive Order.

Unfunded Mandates Reform Act of

1995

This rule will not result in the

expenditure by state, local, and tribal

governments, in the aggregate, or by the

private sector, of $100,000,000 or more

in any one year, and it will not

significantly or uniquely affect small

governments. Therefore, no actions were

deemed necessary under the provisions

of the Unfunded Mandates Reform Act

of 1995.

Small Business Regulatory Enforcement

Fairness Act of 1996

This rule is not a ‘‘major rule,’’ as

defined by the Small Business

Enforcement Fairness Act of 1996. This

rule will not result in an annual effect

on the economy of $100,000,000 or

more; a major increase in cost or prices;

or significant adverse effects on

competition, employment, investment,

productivity, innovation, or on the

ability of United States-based

companies to compete with foreignbased companies in domestic and

export markets.

List of Subjects

12 CFR Part 404

Administrative practice and

procedure, Freedom of Information,

Privacy.

12 CFR Part 405

Administrative practice and

procedure, Privacy.

For the reasons stated in the

preamble, Ex-Im Bank proposes to

amend 12 CFR Chapter IV as follows:

1. 12 CFR part 404 is revised to read

as follows:

PART 404—INFORMATION

DISCLOSURE

Subpart A—Procedures for Disclosure of

Records Under the Freedom of Information

Act

Sec.

404.1 General provisions.

404.2 Definitions.

404.3 Public reference facilities.

404.4 Request requirements.

404.5 Time for processing.

404.6 Release of records under the Freedom

of Information Act.

404.7 Confidential business information.

404.8 Initial determination.

404.9 Schedule of fees.

404.10 Fee waivers or reductions.

404.11 Administrative appeal.

Subpart B—Protection of Privacy and

Access to Records Under the Privacy Act of

1974

Sec.

404.12 General Provisions.

404.13 Definitions.

404.14 Requirements of request for access.

404.15 Initial determination.

404.16 Schedule of fees.

404.17 Appeal of denials of access.

404.18 Requests for correction of records.

404.19 Request for accounting of record

disclosures.

404.20 Notice of court-ordered and

emergency disclosures.

404.21 Submission of social security and

passport numbers.

404.22 Government contracts.

404.23 [Reserved.]

404.24 [Reserved.]

404.25 [Reserved.]

404.26 Employee standards of conduct.

404.27 Other rights and services.

Authority: 5 U.S.C. 552 and 552a. Section

404.7 also issued under E.O. 12600, 52 FR

23781, 3 CFR, 1987 Comp., p. 235. Section

404.21 issued under Pub. L. 93–579 sec. 7.

Subpart A—Procedures for Disclosure

of Records Under the Freedom of

Information Act

§ 404.1 General Provisions.

(a) Purpose. This subpart establishes

policy, procedures, requirements, and

responsibilities for administration of the

Freedom of Information Act (FOIA), 5

U.S.C. 552, at the Export-Import Bank of

the United States (Ex-Im Bank).

(b) Policy. It is Ex-Im Bank’s policy to

honor all requests for the disclosure of

its records, provided that disclosure

would not adversely affect a legitimate

public or private interest and would not

impose an unreasonable burden on ExIm Bank. However, this subpart also

recognizes that the soundness of many

Ex-Im Bank programs depends upon the

receipt of reliable commercial,

technical, financial, and business

information relating to applicants for

Ex-Im Bank assistance and that receipt

of such information depends on Ex-Im

Bank’s ability to hold such information

in confidence. Consequently, except as

provided by applicable law, information

provided to Ex-Im Bank in confidence

will not be disclosed without the

submitter’s consent.

(c) Scope. All record requests made to

Ex-Im Bank shall be processed under

this subpart, except that information

customarily furnished to the public in

the regular course of the performance of

official duties may continue to be

furnished to the public without

complying with this subpart. Requests

made by individuals under the Privacy

Act of 1974 which are processed under

subpart B of this part also shall be

processed under subpart A.

(d) Ex-Im Bank Internet site. Ex-Im

Bank maintains an Internet site at

‘‘http://www.exim.gov.’’ The site

contains information on Ex-Im Bank

functions, activities, and programs, and

transactions. Web site visitors have

access to Board of Directors and Loan

Committee meeting minutes, country

information, and Ex-Im Bank press

releases, among other information. ExIm Bank encourages all prospective

FOIA requesters to visit the site prior to

submission of a FOIA request.

(e) Delegation. Any action or

determination in this subpart which is

the responsibility of a specific Ex-Im

Bank employee, may be delegated to a

duly designated alternate.

(f) Ex-Im Bank address. The ExportImport Bank of the United States is

located at 811 Vermont Avenue, NW,

Washington, DC 20571.

§ 404.2 Definitions.

For purposes of this subpart, the

following definitions shall apply:

All other requesters—requesters other

than commercial use requesters,

educational and non-commercial

scientific requesters, or representatives

of the news media.

Appeal—a written request to the ExIm Bank Assistant General Counsel for

Administration for reversal of an

adverse initial determination.

Business information—trade secrets

or other potentially confidential

commercial or financial information,

provided to Ex-Im Bank by a business

submitter.

Business submitter—any person who

provides business information to Ex-Im

Bank.

Commercial use request—a request for

a use or purpose that furthers the

commercial, trade or profit interest of

the requester.

Direct costs—expenditures incurred

in the search, review, and duplication of

records in response to a FOIA request.

These are based upon the salary of the

employee performing the work and the

cost of operating any necessary

equipment.

Educational institution—a preschool,

a public or private elementary or

secondary school, an institution of

undergraduate or graduate higher

education, or an institution of

professional or vocational education.

Final determination—the written

decision by the Assistant General

Counsel for Administration on an

appeal.

Initial determination—the initial

written determination by Ex-Im Bank
Federal Register / Vol. 62, No. 233 / Thursday, December 4, 1997 / Proposed Rules 64179

regarding disclosure of requested

records.

Non-commercial scientific

institution—an institution that is

operated for the purpose of conducting

scientific research the results of which

are not intended to promote any

particular product or industry and that

is not operated solely for purposes of

furthering a business, trade or profit

interest.

Person—an individual, partnership,

corporation, association or organization

other than a Federal government agency.

Record—all papers, memoranda or

other documentary material, or copies

thereof, regardless of physical form or

characteristics, created or received by

Ex-Im Bank and preserved as evidence

of the activities of Ex-Im Bank.

‘‘Record’’ does not include publications

which are available to the public

through the Federal Register, sale or

free distribution.

Redaction—the process of removing

non-disclosable material from a record

so that the remainder may be released.

Representative of the news media—a

person actively gathering information

on behalf of an entity organized and

operated to publish or broadcast news to

the public. Freelance journalists shall

qualify as representatives of the news

media when they can demonstrate that

a request is reasonably likely to lead to

publication.

Request—any record request made to

Ex-Im Bank under the FOIA.

Requester—any person making a

request.

Review—the process of examining a

record to determine whether any

portion is required to be withheld. It

includes redaction, duplication, and any

other preparation for release. Review

does not include time spent resolving

general legal and policy issues regarding

the application of exemptions.

Search—the process of identifying

and collecting records pursuant to a

request.

Trade secrets—all forms and types of

financial, business, scientific, technical,

economic or engineering information,

including, but not limited to, patterns,

plans, compilations, program devices,

formulas, designs, prototypes, methods,

techniques, processes, procedures,

programs or codes.

Unusual circumstances—the need to

search for and collect requested records

from facilities that are separate from ExIm Bank headquarters; the need to

search for, collect, and appropriately

examine a voluminous amount of

separate and distinct records which are

demanded in a single request; or the

need for consultation with another

agency having a substantial interest in

the determination of the request.

Working days—all calendar days

excluding Saturdays, Sundays, and

Federal Government holidays.

§ 404.3 Public reference facilities.

Ex-Im Bank maintains a public

reading room which contains the Ex-Im

Bank records that the FOIA requires to

be made available for public inspection

and copying. The records available

under this section include copies of

records released pursuant to the FOIA

that Ex-Im Bank determines have, or are

likely to, become the subject of

subsequent requests for substantially the

same records. Requesters shall be

responsible for the cost of duplicating

such material in accordance with the

provisions of § 404.9(e). Persons

desiring to use the reading room should

contact the Ex-Im Bank Freedom of

Information and Privacy Office, either in

writing at the address at § 404.1(f) or by

telephone at (202) 565–3946 or (800)

565–3946, to arrange a time to inspect

the available records. Ex-Im Bank also

provides electronic access to reading

room records created after November 1,

1996.

§ 404.4 Request requirements.

(a) Form. Requests must be made in

writing and must be signed by, or on

behalf of, the requester. Requests should

be addressed to the Freedom of

Information and Privacy Office at the

address in § 404.1(f) and should contain

both the return address and telephone

number of the requester.

(b) Description of records requested.

Each request must describe the records

sought in sufficient detail so as to

enable a professional employee of Ex-Im

Bank familiar with the subject matter of

the request to locate the record with a

reasonable amount of effort. A request

shall not be deemed to have been

received until such time as the request

adequately identifies the records sought.

To the extent practicable, a description

should include relevant dates, format,

subject matter, and the name of any

person to whom the record is known to

relate. A general request for records

with no accompanying date restriction,

either express or implied, shall be

deemed to be a request for records

created within the preceding twelve

months.

(c) Fee statement. The request must

contain a statement expressing

willingness to pay fees for the requested

records or a request for a fee waiver (see

§ 404.10) before the request shall be

deemed to have been received. A fee

statement may specify the maximum

amount a requester is willing to pay for

processing the request.

(1) Whenever a requester submits a

FOIA request that does not contain a fee

statement or a request for a fee waiver,

Ex-Im Bank shall advise the requester of

the requirements of paragraph (c) of this

section. If the requester fails to respond

within ten working days of such

notification, then the Freedom of

Information and Privacy Office shall

notify the requester, in writing, that ExIm Bank will not process the request.

(2) A general statement by the

requester expressing willingness to pay

all applicable fees under § 404.9 shall be

deemed an agreement to pay up to

$50.00. If Ex-Im Bank estimates that the

fees for a request will exceed $50.00,

then Ex-Im Bank shall offer the

requester the opportunity to agree, in

writing, either to pay a greater fee or to

modify the request as a means of

limiting the cost.

(d) Written notice of amendment. The

requester must provide any amendment

to the original request in writing to ExIm Bank.

(e) Requester assistance. Ex-Im Bank

shall make reasonable efforts to assist a

requester in complying with the

requirements of this section.

§ 404.5 Time for processing.

(a) General. Ex-Im Bank shall respond

to requests within twenty working days

of the date of receipt of the request

unless unusual circumstances exist. ExIm Bank shall provide written notice to

the requester whenever such unusual

circumstances necessitate an extension.

If the extension is expected to exceed

ten working days, then Ex-Im Bank shall

offer the requester the opportunity to:

(1) Alter the request so that it may be

processed within the time limit; or

(2) Propose an alternative, feasible

time frame for processing the request.

(b) Date of receipt. A request shall be

deemed to have been received on the

date that the request is received in the

Freedom of Information and Privacy

Office, provided that the requester has

met all the requirements of § 404.4. ExIm Bank shall notify the requester of the

date on which a request was officially

received.

(c) Order of processing. Ex-Im Bank

ordinarily shall process requests

according to their order of receipt.

(d) Expedited processing. A request

for expedited processing must be

included in the original request for

records and may be granted at the

discretion of Ex-Im Bank based upon the

requester’s demonstration of:

(1) An imminent threat to the life or

physical safety of an individual; or
64180 Federal Register / Vol. 62, No. 233 / Thursday, December 4, 1997 / Proposed Rules

(2) In the case of a requester who is

a representative of the news media, an

urgency to inform the public concerning

actual or alleged Federal Government

activity. Ex-Im Bank shall provide

notice of its determination on expedited

processing to the requester. A requester

may file an administrative appeal, as set

forth at § 404.11, based on a denial of a

request for expedited processing. Ex-Im

Bank shall grant expeditious

consideration to any such appeal.

§ 404.6 Release of records under the

Freedom of Information Act.

(a) Creation of records. A reasonable

request for material not in existence

may be honored at Ex-Im Bank’s

discretion when tabulation or

compilation will not significantly

burden Ex-Im Bank, its programs or its

activities.

(b) Discretionary release. Consistent

with federal government policy,

material technically qualifying for

exemption from disclosure under 5

U.S.C. 552(b) may be made available

when disclosure would not adversely

affect legitimate public or private

interests, violate law or impose an

unreasonable burden on Ex-Im Bank.

This policy does not, however, create

any right enforceable in a court of law.

(c) Segregable records. Whenever it is

determined that a portion of a record is

exempt from disclosure, any reasonably

segregable portion of the record shall be

provided to the requester after redaction

of the exempt material. If segregation

would render the document

meaningless, Ex-Im Bank shall withhold

the entire record.

(d) Date for determining responsive

records. Only those records within ExIm Bank’s possession and control as of

the date of receipt of a request shall be

deemed to be responsive to a request.

§ 404.7 Confidential business information.

(a) Scope. This section applies to all

business information, as defined in

§ 404.2. Such information shall only be

disclosed pursuant to a FOIA request in

accordance with this section.

(b) Submitter designation. All

business submitters should designate,

by appropriate markings, either at the

time of submission or at a reasonable

time thereafter, any portion of any

submission that they consider to be

exempt from disclosure under 5 U.S.C.

552(b)(4).

(c) Pre-disclosure notice to the

business submitter. Whenever Ex-Im

Bank receives a FOIA request seeking

disclosure of business information, ExIm Bank shall provide prompt written

notice to the submitter of such

information. This notice shall include a

description or a copy of the records

containing the business information.

Such notice shall not be required,

however, if:

(1) Ex-Im Bank determines that the

records shall not be disclosed;

(2) The records have been published

or otherwise made available to the

public; or

(3) Disclosure of the records is

required by law.

(d) Opportunity to object to

disclosure. The business submitter shall

have ten working days from and

including the date of the notification

letter to provide Ex-Im Bank with a

detailed statement of any objection to

disclosure of the records. A submitter

located outside the United States shall

have twenty working days to object to

disclosure. Ex-Im Bank may extend the

time for objection upon timely request

from the submitter and for good cause

shown. A statement of objection must

specify all grounds under the FOIA for

withholding the information.

(e) Notice to the requester. The

Freedom of Information and Privacy

Office shall notify the requester in

writing whenever a business submitter

is afforded the opportunity to object to

disclosure of records pursuant to

paragraph (c) of this section.

(f) Disclosure of confidential business

information. Ex-Im Bank shall consider

any objections raised by the business

submitter prior to making its disclosure

decision.

(g) Notice of intent to disclose.

Whenever Ex-Im Bank determines to

disclose business information over the

objection of a business submitter, Ex-Im

Bank shall notify the business

submitter, in writing, of such

determination, the reasons for the

decision, and the expected disclosure

date. This notification—which shall be

provided at least ten days prior to the

planned disclosure date and which shall

include a copy or description of the

records at issue—is intended to afford

the submitter the opportunity to seek

judicial relief.

(h) Notice to requester of disclosure

date. If Ex-Im Bank determines to

disclose records over a business

submitter’s objection, then Ex-Im Bank

shall notify the requester of the

expected disclosure date.

(i) Appeal. Whenever Ex-Im Bank

determines to disclose, pursuant to an

administrative appeal, business

information which initially was

withheld from disclosure under 5 U.S.C.

552(b)(4), Ex-Im Bank shall notify the

business submitter. Such notice shall be

in writing and shall be provided ten

working days prior to the proposed

disclosure date. It shall include a copy

or description of the records at issue

and a statement of Ex-Im Bank’s reasons

for disclosure.

(j) Notice of FOIA lawsuit. Ex-Im Bank

shall promptly notify the submitter or

requester whenever a requester or

submitter brings suit against Ex-Im Bank

seeking to compel or restrict the release

of business information covered by this

section.

(k) Exception. Notwithstanding the

foregoing provisions of this part, Ex-Im

Bank may, upon request or on its own

initiative, publicly disclose the parties

to transactions for which Ex-Im Bank

approves support, the amount of such

support, the identity of any U.S.

participants involved, a general

description of the related U.S. exports,

and the country to which such exports

are destined.

§ 404.8 Initial determination.

(a) Authority to grant or deny

requests. The Freedom of Information

and Privacy Office shall be responsible

for search, review, and the Initial

Determination.

(b) Referrals to other government

agencies. A requested record in Ex-Im

Bank’s possession which was created or

classified by another federal government

agency shall be referred to such agency

for direct response to the requester. The

Freedom of Information and Privacy

Office shall notify the requester of any

such referral, the number of documents

so referred, and the name and address

of each agency to which the request has

been referred.

(c) Notification of Ex-Im Bank action.

The Freedom of Information and

Privacy Office shall notify the requester

in writing of its decision to grant or

deny the request.

(1) If the decision is made to grant a

request, then Ex-Im Bank shall promptly

disclose the requested records and shall

inform the requester of any fee payable

under § 404.9.

(2) A denial is a determination to

withhold any requested record in whole

or in part; a determination that a

requested record does not exist or

cannot be located; or a determination

that what has been requested is not a

record subject to the FOIA. Whenever

Ex-Im Bank withholds information,

such notice shall include:

(i) The name, title, and signature of

the person responsible for the

determination;

(ii) The statutory basis for any nondisclosure; and

(iii) A statement that any denial may

be appealed under § 404.11 and a brief

description of the requirements of that

section.
Federal Register / Vol. 62, No. 233 / Thursday, December 4, 1997 / Proposed Rules 64181

(d) Material withheld. Ex-Im Bank

shall make reasonable efforts to inform

the requester of the volume of material

withheld pursuant to a full or partial

denial and the extent of any redaction.

Ex-Im Bank shall not, however, indicate

the extent of any denial when doing so

could harm an interest protected by an

applicable exemption.

§ 404.9 Schedule of fees.

(a) General. Ex-Im Bank shall charge

fees to recover the full allowable direct

costs it incurs in processing requests.

Ex-Im Bank shall attempt to conduct

searches in the most efficient manner to

minimize costs for both Ex-Im Bank and

the requester.

(b) Categories of requesters. Fees shall

be assessed according to the status of

the requester. The specific schedule of

fees for each requester category (each as

defined in § 404.2) is prescribed as

follows:

(1) Commercial use requesters. Ex-Im

Bank shall charge the full costs for

search, review, and duplication.

(2) Educational and non-commercial

scientific institution requesters. Ex-Im

Bank shall charge only for the cost of

duplication in excess of 100 pages. No

fee will be charged for search or review.

(3) Representatives of the news media.

Ex-Im Bank shall charge only for the

cost of duplication in excess of 100

pages. No fee will be charged for search

or review.

(4) All other requesters. Ex-Im Bank

shall charge for the cost of search,

review, and duplication, except that 100

pages of duplication and two hours of

professional search time shall be

furnished without charge.

(c) Search and review fees. Ex-Im

Bank shall charge the following fees for

search and review:

(1) Clerical. Hourly rate—$16.00.

(2) Professional. Hourly rate—$32.00.

(3) Computer Searches. Hourly rate—

based upon the salary of the employee

performing the work and the cost of

operating any equipment.

(d) Administrative appeals. Ex-Im

Bank shall not charge for administrative

review of an exemption applied in an

initial determination. Ex-Im Bank shall

charge, however, for search and review

pursuant to an administrative appeal if

the appeal is based on a claim other

than the application of an exemption in

the initial determination.

(e) Duplication. Ex-Im Bank shall

charge $.10 per page for paper copy

duplication. Ex-Im Bank shall charge

the actual or estimated cost of copies

prepared by computer, such as tape or

printouts, or for other methods of

duplication. When duplication charges

are expected to exceed $50.00, Ex-Im

Bank shall seek the requester’s consent

to be responsible for the estimated

charges unless a requester has already

expressed a willingness to pay

duplication fees in excess of $50.00. ExIm Bank shall also offer the requester

the opportunity to alter the request in

order to reduce duplication costs.

(f) Fees for searches that produce no

records. Fees shall be payable as

provided in this section even though

searches and review do not generate any

disclosable records.

(g) Aggregating requests. A requester,

or a group of requesters acting in

concert, shall not file multiple requests,

seeking portions of a record or similar

or related records, in order to avoid

payment of fees. Ex-Im Bank shall

aggregate any such requests and charge

as if the requests were a single request.

(h) Special services charges.

Complying with requests for special

services such as those listed in this

paragraph is entirely at the discretion of

Ex-Im Bank. Ex-Im Bank shall recover

the full costs of providing such services

to the extent that it elects to provide

them.

(1) Certifications. Ex-Im Bank shall

charge $25.00 to certify the authenticity

of any Ex-Im Bank record or any copy

of such record.

(2) Special shipping. Ex-Im Bank may

ship by special means (e.g., express

mail) if the requester so desires,

provided that the requester has paid or

has expressly undertaken to pay all

costs of such special services. Ex-Im

Bank shall not charge for ordinary

packaging and mailing.

(i) Restrictions. (1) Ex-Im Bank shall

waive a final fee of $5.00 or less.

(2) Whenever Ex-Im Bank estimates

that the fees are likely to exceed

$250.00, Ex-Im Bank shall notify the

requester of the likely cost and shall

require an advance payment of an

amount up to the full estimated charges.

(3) Ex-Im Bank shall not process a

request by a requester who has failed to

pay a fee for a previous request unless

and until such a requester had paid the

full amount owed and also has paid, in

advance, the total estimated charges for

the new request. The administrative

time limits for the new request—set

forth in § 404.5—shall begin to run only

after Ex-Im Bank has received the

payments described in this section.

§ 404.10 Fee waivers or reductions.

(a) General. Upon request, Ex-Im Bank

shall consider a discretionary fee waiver

or reduction of the fees chargeable

under § 404.9.

(b) Form of request for fee waiver. ExIm Bank shall deny a request for a

waiver or reduction of fees that does not

clearly address each of the following:

(1) The proposed use of the records

and whether the requester will derive

income or other benefit from such use;

(2) An explanation of the reasons why

the public will benefit from such use;

and

(3) If specialized use of the records is

contemplated, a statement of the

requester’s qualifications that are

relevant to the specialized use.

(d) Burden of proof. In all cases, the

requester has the burden of presenting

sufficient evidence or information to

justify the fee waiver or reduction. The

requester may use the procedures set

forth in § 404.11 to appeal a denial of a

fee waiver request.

(e) Employee requests. Fees of less

than $50.00 shall be waived in

connection with any request by an

employee, former employee, or

applicant for employment, related to a

grievance or complaint of

discrimination against Ex-Im Bank.

§ 404.11 Administrative appeal.

(a) General. Whenever a request for

records, a fee waiver or expedited

processing has been denied, the

requester may appeal the denial within

thirty working days of the date of Ex-Im

Bank’s issuance of notice of such action.

Any denial under this subpart must be

appealed according to this section

before a requester is eligible to seek

judicial review.

(b) Form. Appeals must be made in

writing and must be signed by the

appellant. Appeals should be addressed

to the Assistant General Counsel for

Administration at the address at

§ 404.1(f). Both the envelope and the

appeal letter should be clearly marked

in capital letters: ‘‘FREEDOM OF

INFORMATION ACT APPEAL.’’ Failure

to properly mark or address the appeal

may slow its processing. The letter

should include:

(1) A copy of the denied request or a

description of the records requested;

(2) The name and title of the Ex-Im

Bank employee who denied the request;

(3) The date on which the request was

denied;

(4) The Ex-Im Bank identification

number assigned to the request; and

(5) The return address and telephone

number of the appellant.

(c) Processing schedule. Appeals shall

not be deemed to have been received

until the Assistant General Counsel for

Administration receives the appeal. ExIm Bank shall notify the requester of the

date on which an appeal was officially

received. The disposition of an appeal

shall be made in writing within twenty

working days after the date of receipt of
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an appeal. The Assistant General

Counsel for Administration may extend

the time for response an additional ten

working days if unusual circumstances

exist, provided that the Assistant

General Counsel for Administration

notifies the requester in writing.

(d) Ex-Im Bank decision. A final

determination which affirms an adverse

initial determination shall set forth the

reasons for affirming the denial and

shall advise the requester of the right to

seek judicial review. If the initial

determination is reversed on appeal, the

request shall be remanded to the

Freedom of Information and Privacy

Office to be processed promptly in

accordance with the decision on appeal,

subject to § 404.7(i). Subpart B—

Protection of Privacy and Access to

Records Under the Privacy Act of 1974

§ 404.12 General provisions.

(a) Purpose. This subpart establishes

policies, procedures, requirements, and

responsibilities for administration of the

Privacy Act of 1974, 5 U.S.C. 552a, at

the Export-Import Bank of the United

States (Ex-Im Bank).

(b) Relationship to the Freedom of

Information Act. The Privacy Act

applies to records contained in a

systems of records, as defined in

§ 404.13. If an individual submits a

request for access to records and cites

the Privacy Act, but the records sought

are not contained in a Privacy Act

system of records, then the request shall

be processed only under subpart A of

this part, Procedures for Disclosure of

Records Under the Freedom of

Information Act. All requests properly

processed under subpart B shall also be

processed under subpart A of this part.

(c) Appellate authority. The Ex-Im

Bank Assistant General Counsel for

Administration is the appellate

authority for all Privacy Act requests.

(d) Delegation. Any action or

determination in this subpart which is

the responsibility of a specific Ex-Im

Bank employee may be delegated to a

duly designated alternate.

(e) Ex-Im Bank address. The ExportImport Bank of the United States is

located at 811 Vermont Avenue, NW,

Washington, DC 20571.

§ 404.13 Definitions.

For purposes of this subpart, the

following definitions shall apply:

Appeal—a written request to the ExIm Bank Assistant General Counsel for

Administration for reversal of an

adverse initial determination.

Final determination—the written

decision by the Assistant General

Counsel for Administration on an

appeal.

Individual—a citizen of the United

States or an alien lawfully admitted for

permanent residence.

Initial determination—the initial

written determination in response to a

Privacy Act request.

Record—any item, collection or

grouping of information about an

individual which is maintained within

a system of records and which contains

the individual’s name or an identifying

number, symbol or other identifying

particular assigned to the individual.

Redaction—the process of removing

non-disclosable material from a record

so that the remainder may be released.

Request for access—a request to view

a record.

Request for accounting—a request for

a list of all disclosures of a record.

Reqeust for correction—a request to

modify a record.

Requester—an individual who makes

a request under the Privacy Act.

Review—the process of examining a

record to determine whether any

portion is required to be withheld.

Search—the process of identifying

and collecting records pursuant to a

request.

System of records—a group of any

records under the control of an agency

from which information is retrieved by

the name of the individual or some

identifying number, symbol or other

identifying particular assigned to the

individual.

Working days—all calendar days

excluding Saturdays, Sundays, and

Federal Government holidays.

§ 404.14 Requirements of request for

access.

(a) Form. Requests for access must be

made in writing and must be signed by

the requester. Requests should be

addressed to the Freedom of

Information and Privacy Office at the

address in § 404.12(e) and should

contain both the return address and

telephone number of the requester.

(b) Description of records sought. A

request for access must describe the

records sought in sufficient detail so as

to enable Ex-Im Bank personnel to

locate the system of records containing

the records with a reasonable amount of

effort. To the extent practicable, such

description should include the nature of

the record sought, the date of the record

or the period in which the record was

compiled, and the name or identifying

number of the system of records in

which the requester believes the record

is kept. A requester may include his or

her Social Security number in the

request in order to facilitate the

identification and location of the

requested records.

(c) Fee statement. The request must

contain a statement expressing

willingness to pay fees for processing

the request or a request for a fee waiver

(see § 404.16(d)).

(1) Whenever a requester submits a

request for access which does not

contain a fee statement or a request for

a fee waiver, Ex-Im Bank shall advise

the requester of the requirements of this

section. If the requester fails to respond

within ten working days of such

notification, then the Freedom of

Information and Privacy Office shall

notify the requester, in writing, that ExIm Bank will not process the request.

(2) A general statement by the

requester expressing willingness to pay

all applicable fees shall be deemed an

agreement to pay up to $25.00. If Ex-Im

Bank estimates that the fees for a request

will exceed $25.00, then Ex-Im Bank

shall notify the requester. Ex-Im Bank

shall offer the requester the opportunity

to agree, in writing, either to pay a

greater fee or to modify the request as

a means of limiting the cost.

(3) Whenever the estimated fee

chargeable under this section exceeds

$25.00, Ex-Im Bank reserves the right to

require a requester to make an advance

payment prior to processing the request.

(4) Ex-Im Bank shall not process a

request by a requester who has failed to

pay a fee for a previous request unless

and until such requester had paid the

full amount owed and also has paid, in

advance, the total estimated charges for

the new request.

(d) Verification of identity. An

individual who submits a request for

access must verify his or her identity.

The request must include the requesters

full name, current address, and date and

place of birth. In addition, such

requester must provide a notarized

statement attesting to his or her identity.

(e) Verification of guardianship.

When a parent or guardian of a minor

or the guardian of a person judicially

determined to be incompetent submits a

request for access to records which

relate to the minor or incompetent, such

parent or guardian must establish:

(1) His or her own identity and the

identity of the subject of the record in

accordance with paragraph (d) of this

section; and

(2) Parentage or guardianship of the

subject of the record, either by

providing a copy of the subject’s birth

certificate showing parentage or by

providing a court order establishing

guardianship.

(f) Written notice of amendment. The

requester must provide any amendment

to the original request in writing to ExIm Bank.
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(g) Requester assistance. Ex-Im Bank

shall make reasonable efforts to assist a

requester in complying with the

requirements of this section.

(h) Date of receipt. Requests for access

shall be deemed to have been received

on the date that the request is received

by the Freedom of Information and

Privacy Office, provided that all the

requirements of this section have been

met. Ex-Im Bank shall notify the

requester of the date on which it

officially received a request.

§ 404.15 Initial determination.

(a) Time for processing. The Freedom

of Information and Privacy Office shall

respond to valid requests for access

within twenty working days of the date

of receipt of the request letter. The time

for response may be extended an

additional ten working days for good

cause, provided that the Freedom of

Information and Privacy Office notifies

the requester in writing.

(b) Notice regarding request for

access. The Freedom of Information and

Privacy Office shall notify the requester

in writing of its decision to grant or

deny a request for access.

(1) If the request is granted, then the

notice shall either include the requested

records, in releasable form, or shall

describe the manner in which access to

the record will be granted. The notice

also shall inform the requester of any

processing fee.

(2) A denial is a determination to

withhold any requested record in whole

or in part or a determination that the

requested record does not exist or

cannot be located. If the request is

denied, then the denial notice shall

state:

(i) The name, signature, and title or

position of the person responsible for

the denial;

(ii) The reasons for the denial; and

(iii) The procedure for appeal of the

denial under § 404.17 and a brief

description of the requirements of that

section.

(c) Form of record disclosure. Ex-Im

Bank shall grant access to the requested

records either by providing the

requester with a copy of the record or,

at the requester’s option, by making the

record available for inspection at a

reasonable time and place. If Ex-Im

Bank makes the record available for

inspection, such inspection shall not

unreasonably disrupt Ex-Im Bank

operations. In addition, the requester

must provide a form of official

photographic identification—such as a

passport, driver’s license or

identification badge—and any other

form of identification bearing his or her

name and address prior to inspection of

the requested records. Records may be

inspected by the requester in the

presence of another individual,

provided that the requester signs a form

stating that Ex-Im Bank is authorized to

disclose the record in the presence of

both individuals.

§ 404.16 Schedule of fees.

(a) Search and review. Ex-Im Bank

shall not charge for search and review.

(b) Duplication. Ex-Im Bank shall

charge $.10 per page for paper copy

duplication. Ex-Im Bank shall charge

the actual or estimated cost of copies

prepared by computer, such as tape or

printouts, or for other methods of

reproduction or duplication.

(c) Minimum fee. Ex-Im Bank shall

waive final fees of $5.00 or less.

(d) Fee waivers. Ex-Im Bank may

waive fees whenever it is determined to

be in the public interest. Fees of less

than $50.00 shall be waived in

connection with any request by an

employee, former employee or applicant

for employment, related to a grievance

or complaint of discrimination against

Ex-Im Bank.

(e) Special services charges.

Complying with requests for special

services such as those listed in this

paragraph is entirely at the discretion of

Ex-Im Bank. Ex-Im Bank shall recover

the full costs of providing such services

to the extent that it elects to provide

them.

(1) Certifications. Ex-Im Bank shall

charge $25.00 to certify the authenticity

of any Ex-Im Bank record or any copy

of such record.

(2) Special shipping. Ex-Im Bank may

ship by special means (e.g., express

mail) if the requester so desires,

provided that the requester has paid or

has expressly undertaken to pay all

costs of such special services. Ex-Im

Bank shall not charge for ordinary

packaging and mailing.

§ 404.17 Appeal of denials of access.

(a) Appeals to the Assistant General

Counsel for Administration. Whenever

Ex-Im Bank denies a request for access

or for waiver or reduction of fees, the

requester may appeal the denial to the

Assistant General Counsel for

Administration within 30 working days

of the date of Ex-Im Bank’s issuance of

notice of such action. Appeals must be

made in writing and signed by the

appellant. Appeals should be addressed

to the Assistant General Counsel for

Administration at the address in

§ 404.12(e). Both the envelope and the

appeal letter should be clearly marked

in capital letters: ‘‘PRIVACY ACT

APPEAL.’’ Failure to properly mark or

address the appeal may slow its

processing. An appeal shall not be

deemed to have been received by Ex-Im

Bank until the Assistant General

Counsel for Administration receives the

appeal letter. The letter should include:

(1) A copy of the denied request or a

description of the records requested;

(2) The name and title of the Ex-Im

Bank employee who denied the request;

(3) The date on which the request was

denied; and

(4) The Ex-Im Bank identification

number assigned to the request.

(b) Final determination. The

disposition of an access appeal shall be

made in writing within twenty working

days after the date of receipt of the

appeal. The Assistant General Counsel

for Administration may extend the time

for response an additional ten working

days for good cause, provided that the

requester is notified in writing. A

decision affirming the denial of a

request for access shall include a brief

statement of the reasons for affirming

the denial and shall advise the requester

of the right to seek judicial review. If the

initial determination is reversed, then

the request shall be remanded to the

Freedom of Information and Privacy

Office to be processed in accordance

with the decision on appeal.

§ 404.18 Requests for correction of

records.

(a) Form. Requests for correction must

be made in writing and signed by the

requester. Requests should be addressed

to the Freedom of Information and

Privacy Office at the address in

§ 404.12(e) and should contain both the

return address and telephone number of

the requester. The request must identify

the particular record in question, state

the correction sought, and set forth the

justification for the correction. The

requester also must verify his or her

identity in accordance with the

procedures set forth at § 404.14 (d) and

(e). Both the envelope and the request

for correction itself should be clearly

marked in capital letters: ‘‘PRIVACY

ACT CORRECTION REQUEST.’’

(b) Initial determination. The

Freedom of Information and Privacy

Office shall respond to valid correction

requests within ten working days of

receipt of the request letter. If Ex-Im

Bank grants the request for correction,

then the Freedom of Information and

Privacy Office shall advise the requester

of his or her right to obtain a copy, in

releasable form, of the corrected record.

A denial notice shall state the reasons

for the denial and shall advise the

requester of the right to appeal. Ex-Im

Bank shall not charge for processing

requests for correction.
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(c) Appeal of denial of request for

correction. Whenever Ex-Im Bank

denies a request for correction, the

requester may appeal the denial to the

Assistant General Counsel for

Administration within thirty working

days of Ex-Im Bank’s issuance of notice

of such action. Appeals must be made

in writing and signed by the appellant.

Appeals should be addressed to the

Assistant General Counsel for

Administration at the address set forth

in § 404.12(e). Both the envelope and

the appeal letter should be clearly

marked in capital letters: ‘‘PRIVACY

ACT CORRECTION APPEAL.’’ Failure

to properly mark or address the appeal

may slow its processing. An appeal

shall not be deemed to have been

received by Ex-Im Bank until the

Assistant General Counsel for

Administration receives the appeal

letter. The letter must include:

(1) A copy of the denied request or a

description of the correction sought;

(2) The name and title of the Ex-Im

Bank employee who denied the request;

(3) The date on which the request was

denied;

(4) The Ex-Im Bank identification

number assigned to the request; and

(5) Any information said to justify the

correction.

(d) Final determination on correction

appeal. (1) The disposition of an appeal

shall be made in writing within twenty

working days after the date of receipt of

an appeal. The Assistant General

Counsel for Administration may extend

the time for response an additional ten

working days for good cause, provided

that the requester is notified in writing.

(2) A decision affirming the denial of

a request for access shall advise the

appellant of the:

(i) Reasons for affirming the denial;

(ii) Right to seek judicial review; and

(iii) Right to file a statement of

disagreement, as provided in paragraph

(e) of this section.

(3) If the initial determination is

reversed, then the request shall be

remanded to the Freedom of

Information and Privacy Office to be

processed in accordance with the

decision on appeal.

(e) Statement of disagreement. Upon

denial of a correction appeal, the

appellant shall have the right to file a

statement of disagreement with Ex-Im

Bank, setting forth his or her reasons for

disagreeing with the Agency’s action.

The statement should be addressed to

the Freedom of Information and Privacy

Office at the address in § 404.12(e) and

must be received within thirty working

days of Ex-Im Bank’s issuance of the

denial notice. A statement of

disagreement must not exceed one

typed page per fact disputed. Statements

exceeding this limit shall be returned to

the requester for editing. Upon receipt

of a statement of disagreement under

this section, the Freedom of Information

and Privacy Office shall have the

statement included in the system of

records in which the disputed record is

maintained and shall have the disputed

record marked so as to indicate that a

Statement of Disagreement has been

filed. Ex-Im Bank may also append to

the disputed record a written statement

regarding Ex-Im Bank’s reasons for

denying the request to correct the

record.

(f) Notices of correction or

disagreement. In any disclosure of a

record for which Ex-Im Bank has

received a statement of disagreement,

Ex-Im Bank shall clearly note any

portion of the record which is disputed

and shall provide a copy of the

statement of disagreement. Ex-Im Bank

also may provide its own statement

regarding the disputed record. In

addition, whenever Ex-Im Bank corrects

a record or receives a statement of

disagreement, Ex-Im Bank shall advise

any person or agency to which it

previously disclosed such record of the

correction or statement, provided that

an accounting of such disclosure exists.

§ 404.19 Request for accounting of record

disclosures.

(a) Required information. With

respect to each system of records under

Ex-Im Bank control, Ex-Im Bank shall

maintain an accurate accounting of the

date, nature, and purpose of each

external disclosure of a record and the

name and address of all persons,

organizations, and agencies to which

disclosure has been made. Ex-Im Bank

shall retain this accounting for at least

five years or the life of the record,

whichever is longer.

(b) Form. An individual may obtain

an accounting of all disclosures of a

record, provided that such individual

establishes his or her identity as the

subject of such record in accordance

with the procedures set forth at § 404.14

(d) and (e). A request for an accounting

must be made in writing and signed by

the requester. The request should be

addressed to the Freedom of

Information and Privacy Office at the

address in § 404.12(e) and should

contain both the return address and

telephone number of the requester. Both

the envelope and the request itself

should be clearly be marked in capital

letters: ‘‘PRIVACY ACT ACCOUNTING

REQUEST.’’ Failure to properly mark or

address the request may slow its

processing. The request shall not be

deemed to have been received by Ex-Im

Bank until the Freedom of Information

and Privacy Office receives the request.

The letter must clearly identify the

particular record for which the

accounting is requested.

(c) Initial determination. The Freedom

of Information and Privacy Office shall

notify the requester whether the request

will be granted or denied within ten

working days of receipt of a valid

request for an accounting. Ex-Im Bank

shall not charge for processing such a

request.

(d) Exceptions. Ex-Im Bank shall not

be required to provide an accounting to

an individual when the accounting

relates to:

(1) A disclosure made to an employee

within the agency;

(2) A disclosure made under the

FOIA; or

(3) A disclosure made to a law

enforcement agency for an authorized

law enforcement activity in response to

a written request from such agency

which specified the law enforcement

activity for which the disclosure was

sought.

§ 404.20 Notice of court-ordered and

emergency disclosures.

(a) Court-ordered disclosures. When a

record pertaining to an individual is

required to be disclosed by a court

order, the Assistant General Counsel for

Administration shall make reasonable

efforts to provide notice of this to the

individual. Notice shall be given within

a reasonable time after Ex-Im Bank’s

receipt of the order, except that in a case

in which the order is not a matter of

public record, notice shall be given only

after the order becomes public. Such

notice shall be mailed to the

individual’s last known address and

shall contain a copy of the order and a

description of the information

disclosed.

(b) Emergency disclosures. If a record

has been disclosed by Ex-Im Bank under

compelling circumstances affecting the

health or safety of any person, then,

within ten working days, the Assistant

General Counsel for Administration

shall notify the subject individual of the

disclosure at his or her last known

address. The notice of such disclosure

shall be in writing and shall state the:

(1) Nature of the information

disclosed;

(2) Person, organization or agency to

which it was disclosed;

(3) Date of disclosure; and

(4) Compelling circumstances

justifying the disclosure.

§ 404.21 Submission of social security and

passport numbers.

(a) Policy. Ex-Im Bank recognizes the

importance of assessing, to the extent
Federal Register / Vol. 62, No. 233 / Thursday, December 4, 1997 / Proposed Rules 64185

reasonably possible, the risks associated

with transactions supported by Ex-Im

Bank. It is often difficult to assess risks

related to individuals and non-publicly

trade entities. Therefore, when an

individual or a non-publicly traded

entity applies for participation in an ExIm Bank program or is proposed as a

guarantor for an Ex-Im Bank transaction,

Ex-Im Bank may request social security

and/or U.S. passport numbers from such

individual or from the principals of

such entity. Ex-Im Bank shall not

require submission of this information,

and unwillingness or inability to

provide a social security or passport

number shall not affect Ex-Im Bank’s

decision on an application for Ex-Im

Bank assistance.

(b) Use. Ex-Im Bank shall use social

security and passport numbers to assess

the creditworthiness of Ex-Im Bank

program participants and as a

mechanism for enforcing agreements

with Ex-Im Bank. Such information

shall not be disclosed, except as

warranted by law and regulation.

(c) Notice. Whenever Ex-Im Bank

requests a social security or passport

number, Ex-Im Bank shall place an

appropriate Privacy Act notification on

the form used to collect the information.

§ 404.22 Government contracts.

(a) Approval by Assistant General

Counsel for Administration. Ex-Im Bank

shall not contract for the operation of a

system of records or for an activity

which requires access to a system of

records without the express, written

approval of the Assistant General

Counsel for Administration.

(b) Contract clauses. Any contract

authorized under paragraph (a) of this

section shall contain the standard

contract clauses required by the Federal

Acquisition Regulation (48 CFR 24.104)

to ensure compliance with the

requirements imposed by the Privacy

Act. The division within Ex-Im Bank

which is responsible for technical

supervision of the contract shall be

responsible for ensuring that the

contractor complies with the Privacy

Act contract requirements.

(c) Contractor status. Any contractor

that operates an Ex-Im Bank system of

records or engages in an activity which

requires access to an Ex-Im Bank system

of records shall be considered an Ex-Im

Bank employee for purposes of this

subpart. Ex-Im Bank shall supply any

such contractor with a copy of the

regulations in this subpart upon

entering into a contract with Ex-Im

Bank.

§§ 404.23–404.25 [Reserved]

§ 404.26 Employee standards of conduct.

(a) Ex-Im Bank responsibilities. Ex-Im

Bank shall inform its employees of the

provisions of the Privacy Act, including

the Act’s civil liability and criminal

penalty provisions. Ex-Im Bank also

shall notify its employees that they have

a duty to:

(1) Protect the security of records;

(2) Ensure the accuracy, relevance,

timeliness, and completeness of records;

(3) Avoid the unauthorized

disclosure, either verbal or written, of

records; and

(4) Ensure that Ex-Im Bank maintains

no system of records without public

notice.

(b) Employee responsibilities. Except

as otherwise permitted by the Privacy

Act, Ex-Im Bank employees shall:

(1) Not collect information of a

personal nature from individuals unless

an employee is authorized to collect

such information to perform a function

or discharge a responsibility on behalf

of Ex-Im Bank;

(2) Collect from individuals only that

information which is necessary to the

performance of the functions or to the

discharge of official responsibilities;

(3) Collect information about an

individual directly from that individual,

whenever practicable;

(4) Inform each individual from

whom information protected by the

Privacy Act is collected of:

(i) The legal authority that authorizes

Ex-Im Bank to collect such information

and whether disclosure is mandatory or

voluntary;

(ii) The principal purposes for which

Ex-Im Bank intends to use the

information;

(iii) The routine uses Ex-Im Bank may

make of the information; and

(iv) The practical and legal effects

upon the individual of not furnishing

the information;

(5) Maintain all records which are

used by the agency in making any

determination about any individual

with such accuracy, relevance,

timeliness, and completeness as to

ensure fairness to the individual in the

determination;

(6) Make reasonable efforts, prior to

disseminating any record about an

individual, to ensure that such records

are accurate, relevant, timely, and

complete;

(7) Maintain no record concerning an

individual’s religious or political beliefs

or activities, or his membership in

associations or organizations, unless:

(i) The individual has volunteered

such information for his own benefit;

(ii) A statute expressly authorizes ExIm Bank to collect, maintain, use or

disseminate the information; or

(iii) The individual’s beliefs, activities

or membership are pertinent to and

within the scope of an authorized law

enforcement or correctional activity;

(8) Notify the Assistant General

Counsel for Administration of the

existence or development of any system

of records that has not been disclosed to

the public;

(9) When required by the Act,

maintain an accounting in the

prescribed form of all disclosures of

records by Ex-Im Bank to agencies or

individuals;

(10) Not disclose any record to anyone

for any use, unless such disclosure is

permitted by the Act;

(11) Maintain and use records with

care to prevent the inadvertent

disclosure of records; and

(12) Notify the Assistant General

Counsel for Administration of any

record that contains information that the

Act or the foregoing provisions of this

paragraph do not permit Ex-Im Bank to

maintain.

(c) Review of systems of records. Not

less than once each year, the Ex-Im

Bank Chief Information Officer shall

review the systems of records

maintained by Ex-Im Bank to ensure

that Ex-Im Bank is in compliance with

the provisions of the Privacy Act

regarding publication of systems of

records.

§ 404.27 Other rights and services.

Nothing in this subpart shall be

construed to entitle any person to any

service or to the disclosure of any record

to which such person is not entitled

under the Privacy Act.

PART 405—[REMOVED AND

RESERVED]

2. 12 CFR part 405 is removed and

reserved.

Dated: November 24, 1997.

Kenneth W. Hansen,

General Counsel, Federal Register Liaison

Officer.

[FR Doc. 97–31775 Filed 12–3–97; 8:45 am]

BILLING CODE 6690–01–P

NATIONAL CREDIT UNION

ADMINISTRATION

12 CFR Part 708a

Mergers or Conversions of FederallyInsured Credit Unions to Non Credit

Union Status: NCUA Approval

AGENCY: National Credit Union

Administration (NCUA).