[Federal Register Volume 60, Number 68 (Monday, April 10, 1995)]
[Notices]
[Pages 18149-18151]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-8336]



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NATIONAL CREDIT UNION ADMINISTRATION


Privacy Act of 1974; Revisions to Systems of Records

AGENCY: National Credit Union Administration.

ACTION: Notification of a revised system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, as amended, the 
National Credit Union Administration (NCUA) is issuing public notice of 
its intent to modify the system of records maintained by the Office of 
Inspector General (OIG), NCUA-20, currently titled, ``Investigation 
Files, NCUA'', formerly located in the NCUA Office of Internal Auditor. 
The Office of Internal Auditor preceded the Office of Inspector 
General, which was created by action of the NCUA Board on March 23, 
1989, in response to the Inspector General Act amendments of 1988. The 
proposed modifications will: (1) Rename the system, ``Office of 
Inspector General (OIG) Investigative Records--NCUA;'' (2) drop one 
routine use; (3) add two new routine uses, and (4) add certain Privacy 
Act exemptions. In addition, we are making other technical and 
editorial revisions to the system to make it more accurate.

EFFECTIVE DATE: The revised system of records will become effective 
without further notice on May 10, 1995, unless comments postmarked or 
posted on the NCUA Electronic Bulletin Board on or before that date 
cause a contrary decision. If, based on NCUA's review of comments 
received, changes are made, NCUA will publish a new final notice. NCUA 
will not withhold records under the (j)(2) or (k)(2) exemptions until 
adoption of the final rule amending 12 CFR 792.34 to add the Privacy 
Act (j)(2) and (k)(2) exemptions to this system of records.

ADDRESSES: Send comments to Becky Baker, Secretary of the Board, 
National Credit Union Administration, 1775 Duke Street, Alexandria, VA 
22314. Comments may also be posted on the NCUA Electronic Bulletin 
Board at 800 876-1684 or 703 518-6480. Copies of comments may be 
examined in the Office of Inspector General, 5th floor, at 1775 Duke 
Street, Alexandria, VA.

FOR FURTHER INFORMATION CONTACT: Alexandra B. Keith, Counsel to the 
Inspector General, Office of Inspector General, National Credit Union 
Administration, 1775 Duke Street, Alexandria, VA 22314, telephone (703) 
518-6352.

SUPPLEMENTARY INFORMATION: The NCUA/OIG performs its duties in 
accordance with the Inspector General Act of 1978, as amended by the 
Inspector General Act Amendments of 1988 (Pub. L. 95-452, as amended, 5 
U.S.C. App. 3)(IG Act). The OIG is an independent unit within the NCUA 
and was established to promote economy, efficiency, and effectiveness 
in the administration of NCUA programs and operations, and to detect 
and prevent fraud, waste and abuse in such programs and operations.
    The NCUA is republishing system of records NCUA-20, currently 
titled, ``Investigation Files--NCUA,'' to: (1) Rename the system; (2) 
drop one routine use; (3) add two new routine uses; (4) add the (j)(2) 
and (k)(2) exemptions; and (5) update other information in the 
previously published notice in this system of records.
    NCUA is renaming NCUA-20, currently titled, ``Investigation Files--
NCUA'', to ``Office of Inspector General--Investigative Records.'' This 
is because the former publication referred to the investigative files 
of the NCUA Office of Internal Auditor, the predecessor office of the 
OIG. The system will consist of files and records compiled by the OIG 
on NCUA employees or other persons involved with the NCUA's programs or 
operations who have been or are under investigation for criminal or 
civil fraud, abuse, and other civil and criminal wrongdoing related to 
the NCUA's programs and operations. The NCUA/OIG has the authority to 
conduct such investigations under the IG Act.
    NCUA is omitting one routine use, number (1) ``Information gathered 
is used for intra-agency purposes,'' because this routine use 
duplicates an exception in the Privacy Act, at 5 USC 552a, Section 
(b)(1).
    NCUA is adding two new routine uses to NCUA-20: (1) To authorize 
the use of OIG investigative records for obtaining information from 
other sources; and (2) to permit the disclosure of records to the 
Department of Justice to obtain legal advice. These new routine uses 
are identified as routine uses numbered 1 and 2 in the system notice. 
Routine use numbered 3 is a reference to Appendix A, the agency's 
standard routine uses. The new routine uses are compatible with the 
purpose for which the OIG's [[Page 18150]] records were collected in 
that they provide for disclosure to assist the NCUA /OIG to collect 
information in the conduct of its investigations, and to obtain legal 
advice from the government's attorneys on the pursuit of such 
investigations.
    Other information in the system is being updated to reflect changes 
in the way information is retrieved, stored, and safeguarded and to 
describe accurately the categories of individuals covered and the 
categories of records being maintained.
    In a separate notice published in the proposed rule section of 
today's issue of the Federal Register, the NCUA is giving public notice 
of a proposed rule to amend 12 CFR 792.34 to exempt this system of 
records from certain provisions of 5 USC 552a under subsections (j)(2) 
and (k)(2).
    The NCUA proposes to exempt certain files within the new system of 
records from disclosure to individuals who are the subject of a record 
in the system. The exemptions would cover investigative material 
compiled for law enforcement purposes. The information in this new 
system is proposed to be exempt pursuant to 5 USC 552a(j)(2) insofar as 
these records are maintained by a component of the OIG, the Office of 
the Assistant Inspector General for Investigations, which performs as 
its principal function any activity pertaining to the enforcement of 
criminal laws, and which consists of:
    (1) Information compiled for the purpose of identifying individual 
criminal offenders and alleged offenders;
    (2) Information compiled for the purpose of a criminal 
investigation, including reports of informants and investigators, and 
associated with an identifiable individual; or
    (3) Reports identifiable to an individual compiled at any stage of 
the process of enforcement of the criminal laws from arrest or 
indictment through release from supervision.
    The NCUA is also proposing to exempt NCUA-20 from certain 
provisions of the Privacy Act under 5 USC 552a(k)(2), to the extent 
that the system contains investigative material compiled for law 
enforcement purposes, other than material within the scope of 
subsection (j)(2): Provided however, That if any individual is denied 
any right, privilege, or benefit that he would otherwise be entitled to 
by Federal law, or for which he would otherwise be eligible, as a 
result of the maintenance of such material, such material shall be 
provided to such individual, except 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, or, prior to the 
effective date of this section (9-27-75), under an implied promise that 
the identity of the source would be held in confidence.
    Accordingly, the NCUA proposes to revise NCUA-20 as follows:
NCUA-20
    Office of Inspector General (OIG) Investigative Records--NCUA.
    Office of Inspector General, NCUA, 1775 Duke Street, Alexandria, VA 
22314-3428.
    Subjects of investigation, complainants, and witnesses referred to 
in complaints or actual investigative cases, reports, accompanying 
documents, and correspondence prepared by, compiled by, or referred to 
the OIG.
    The system is comprised of paper files of all OIG and some 
predecessor Office of Internal Auditor reports, correspondence, cases, 
matters, cross-indices, memorandums, materials, legal papers, evidence, 
exhibits, data, and workpapers pertaining to all closed and pending 
investigations and inspections.
    The Inspector General Act of 1978, as amended, 5 USC App.3; 12 USC 
1766.
    The National Credit Union Administration Office of Inspector 
General (NCUA/OIG) may disclose information contained in a record in 
this system of records without the consent of the individual if the 
disclosure is compatible with the purpose for which the record was 
collected, under the following routine uses:
    1. NCUA/OIG may disclose information from this system of records as 
a routine use to any public or private source, including a federal, 
state, or local agency maintaining civil, criminal, or other relevant 
enforcement information or other pertinent information, but only to the 
extent necessary for the OIG to obtain information from those sources 
relevant to an OIG investigation, audit, inspection, or other inquiry.
    2. NCUA/OIG may disclose information from this system of records as 
a routine use to the Department of Justice to the extent necessary to 
obtain its legal advice on any matter relevant to an OIG investigation, 
audit, inspection, or other inquiry related to the responsibilities of 
the OIG.
    3. NCUA/OIG may disclose information from this system of records 
for the purposes set forth in Appendix A of the agency's system of 
records notice, published at 53 FR No.186, page 37373 (September 26, 
1988.)
    Information contained in this system is stored manually in files.
    Information is retrieved in files by case number, general subject 
matter, or name of the subject of investigation.
    Case reports and workpapers are maintained in approved security 
containers and locked filing cabinets in a locked room. Associated 
paper records are stored in locked metal filing cabinets, safes, or 
similar secure facilities.
    Investigative Case Files
    1. Case files are normally destroyed when they are 5 years old.
    2. Significant cases (those that result in national media 
attention, congressional investigation, or substantive changes in 
agency policy or procedures)--To be determined by the National Archives 
and Records Administration on a case-by-case basis.
    Inspector General, National Credit Union Administration, 1775 Duke 
Street, Alexandria, VA 22314.
    This System of Records is generally exempt from the notice, access, 
and amendment requirements of the Privacy Act. However, the NCUA will 
entertain written requests to the systems manager on a case by case 
basis for notification regarding whether this system of records 
contains information about an individual. Requests should be marked 
``Privacy Act request,'' state the name and address of the requester, 
and provide a notarized statement, or other documentation, e.g., copy 
of a driver's license, attesting to the individual's identity. Requests 
submitted on behalf of other persons must include their 
[[Page 18151]] written, notarized authorizations. Such requests in the 
form prescribed may also be presented in person at the Office of 
Inspector General, Room 5041, National Credit Union Administration, 
1775 Duke Street, Alexandria, VA 22314. Simultaneously with requesting 
notification of inclusion in this system of records, the individual may 
request record access as described in the following section on ``Record 
Access Procedures.''
    Same as ``Notification procedure.''
    Same as ``Notification procedure.''
    The OIG collects information from many sources, including the 
subject individuals, employees of the NCUA, other government employees, 
and witnesses and informants, and non-governmental sources.
    Pursuant to 5 USC 552a(j)(2), this system of records is exempt from 
subsections (c)(3) and (4), (d), (e)(1), (e)(2), (e)(3), (e)(4)(G), 
(e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (f) and (g) of the Act. This 
exemption applies to information in the system that relates to criminal 
law enforcement and meets the criteria of the (j)(2) exemption. 
Pursuant to 5 USC 552(k)(2), to the extent that the system contains 
investigative material compiled for law enforcement purposes, other 
than material within the scope of subsection (j)(2), this system of 
records is exempt from 5 USC 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), 
and (I), and (f). The exemption rule is contained in 12 CFR 792.34 of 
the NCUA regulations.

    Dated at Alexandria, VA, this 30th day of March 1995.

    By the National Credit Union Administration Board.
Becky Baker,
Secretary of the Board.
[FR Doc. 95-8336 Filed 4-7-95; 8:45 am]
BILLING CODE 7535-01-U -