Federal Register / Vol. 61, No. 19 / Monday, January 29, 1996 / Rules and Regulations 2671

$.0001 par common

NIMBUS CD INTERNATIONAL, INC.

$.01 par common

NOODLE KIDOODLE, INC.

$.10 par common

NOR’WESTER BREWING COMPANY, INC.

No par common

NORTHWEST PIPE COMPANY

$.01 par common

NS & L BANCORP, INC. (Missouri)

$.01 par common

NUCO2, INC.

$.001 par common

OBJECTIVE SYSTEMS INTEGRATORS, INC.

No par common

OLS ASIA HOLDINGS LIMITED

American Depositary Receipts

Redeemable purchase warrants (expire 12–

18–98)

ON-GARD SYSTEMS, INC.

$.001 par common

ORPHAN MEDICAL, INC.

$.01 par common

PAN AMERICAN SILVER CORP.

No par common

PAREXEL INTERNATIONAL

CORPORATION

$.01 par common

PATHOGENESIS CORPORATION

$.001 par common

PATRIOT BANK CORPORATION

$.01 par common

PEEKSKILL FINANCIAL CORPORATION

$.01 par common

PERCLOSE INC.

$.001 par common

PETE’S BREWING COMPANY

No par common

PHARMACOPEIA, INC.

$.0001 par common

PHARMACYCLICS, INC.

$.0001 par common

PHARMHOUSE CORP.

$.01 par common

PHOTON DYNAMICS, INC.

No par common

PHYSIO-CONTROL INTERNATIONAL

CORPORATION

$.01 par common

PIXAR

No par common

PPT VISION, INC.

$.10 par common

QUAD CITY HOLDINGS, INC.

$1.00 par common

QUINTEL ENTERTAINMENT, INC.

$.001 par common

RADISYS CORPORATION

No par common

RAINFOREST CARE, INC.

No par common

RATTLESNAKE HOLDING COMPANY, INC.,

THE

$.001 par common

RAYTEL MEDICAL CORPORATION

$.01 par common

READICARE, INC.

$.01 par common

REDWOOD TRUST, INC.

Warrants (expire 12–31–97)

REGENT ASSISTED LIVING, INC.

No par common

REPUBLIC SECURITY FINANCIAL

CORPORATION (Florida)

Series C, 7% par cumulative convertible

preferred

RESOURCE MORTGAGE CAPITAL, INC.

Series B, convertible preferred

RESPONSE ONCOLOGY, INC.

$.01 par common

ROADWAY EXPRESS, INC.

$.01 par common

ROSS TECHNOLOGY, INC.

$.01 par common

RSI SYSTEMS, INC.

$.01 par common

SAGEBRUSH INC.

No par common

SAIPIENS INTERNATIONAL

CORPORATION NV

Common shares par NLG 1.00

SANDISK CORPORATION

$.001 par common

SANO CORPORATION

$.01 par common

SAVILLE SYSTEMS, PLC

American Depositary Receipts

SCANVEC COMPANY (1990), LTD.

Ordinary Shares NIS 1.00

SCHLOTZSKY’S INC.

No par common

SCOPUS TECHNOLOGY, INC.

$.001 par common

SECURE COMPUTING CORPORATION

$.01 par common

SEL-LAB MARKETING, INC.

$.01 par common

SHERIDAN HEALTHCARE, INC.

$.01 par common

SILICON STORAGE TECHNOLOGY, INC.

No par common

SIMON TRANSPORTATION SERVICES, INC.

$.01 par common

SMART MODULAR TECHNOLOGIES, INC.

No par common

SMT HEALTH SERVICES, INC.

$.01 par common

Warrants (expire 03–04–97)

SOFTWARE 2000, INC.

$.01 par common

SOURCE MEDIA, INC.

$.001 par common

SPACEHAB INCORPORATED

No par common

SPACETEC IMC CORPORATION

$.01 par common

SQA INC.

$.01 par common

STAR GAS PARTNERS, L.P.

Shares of beneficial interest

STERLING VISION, INC.

$.01 par common

STOLT-NIELSEN S.A.

American Depositary Receipts

SUPERIOR ENERGY SERVICES, INC.

Class B, warrants (expire 12–08–2000)

SYNAPTIC PHARMACEUTICAL

CORPORATION

$.01 par common

SYNC RESEARCH, INC.

$.001 par common

TCI COMMUNICATIONS, INC.

Series A, 41⁄4% par cumulative

exchangeable preferred

TECHFORCE CORPORATION

$.01 par common

TECHNOLOGY RESEARCH CORPORATION

$.17 par common

TEE-COMM ELECTRONICS, INC.

Purchase warrants (expire 11–22–96)

TEGAL CORPORATION LTD.

$.01 par common

TEL-COM WIRELESS CABLE TV

CORPORATION

$.001 par common

TOLLGRADE COMMUNICATIONS, INC.

$.20 par common

TRANS-INDUSTRIES, INC.

$.10 par common

TRIPLE P, N.V.

NLG .20 par common

ULTRADATA SYSTEMS, INC.

$.01 par common

Class A, warrants (expire 02–01–98)

UNISON HEALTHCARE CORPORATION

$.001 par common

UNITED AIR SPECIALISTS, INC.

No par common

UNITED PETROLEUM CORPORATION

$.01 par common

USCI INC.

$.0001 par common

VACATION BREAK U.S.A., INC.

$.01 par common

VDC CORPORATION, LTD.

$.10 par common

VENTURE SEISMIC, LTD.

No par common

Warrants (expire 11–06–2000)

VIEW TECH, INC.

$.01 par common

Warrants (expire 06–16–98)

VISIO CORPORATION

$.01 par common

VISIONEER, INC.

$.001 par common

VISTA 2000, INC.

$.01 par common

VITRAN CORPORATION, INC.

Class A, voting shares

WEGENER CORPORATION

$.01 par common

WESTELL TECHNOLOGIES, INC.

Class A, $.01 par common

WESTERN COUNTRY CLUBS, INC.

$.01 par common

WESTERN PACIFIC AIRLINES, INC.

$.001 par common

WIRELESS ONE, INC.

$.01 par common

XATA CORPORATION

$.01 par common

YES! ENTERTAINMENT CORPORATION

No par common

ZORAN CORPORATION

$.001 par common

By order of the Board of Governors of the

Federal Reserve System, acting by its Director

of the Division of Banking Supervision and

Regulation pursuant to delegated authority

(12 CFR 265.7(f)(10)), January 23, 1996.

William W. Wiles,

Secretary of the Board.

[FR Doc. 96–1489 Filed 1–26–96; 8:45 am]

BILLING CODE 6210–01–P

SMALL BUSINESS ADMINISTRATION

13 CFR Parts 102 and 137

Freedom of Information and Privacy

Act of 1974

AGENCY: Small Business Administration.

ACTION: Final rule.

SUMMARY: In response to President

Clinton’s regulatory directive, the Small
2672 Federal Register / Vol. 61, No. 19 / Monday, January 29, 1996 / Rules and Regulations

Business Administration (SBA) has

completed a page-by-page, line-by-line

review of all its regulations. As a result,

SBA is clarifying and streamlining its

regulations. This final rule reorganizes

Part 102, which governs SBA’s

administration of the Freedom of

Information and Privacy Acts, in order

to make it clearer and more succinct. It

also eliminates Part 137, governing

Classified Information, folding those

sections which apply to SBA into the

revised Part 102. It also allows

submitters of business information to

identify, at the time of submission,

material they consider confidential;

establishes a fee appeal procedure;

eliminates the Program Official from

Privacy Act responsibilities; and makes

minor changes in Freedom of

Information and Privacy Act fees.

EFFECTIVE DATE: This rule is effective on

February 28, 1996.

FOR FURTHER INFORMATION CONTACT:

Timothy C. Treanor, Attorney Advisor,

Office of General Counsel, at (202) 205–

6885.

SUPPLEMENTARY INFORMATION: Part 102 of

Chapter I, title 13 of the Code of Federal

Regulations sets forth the policies and

procedures by which SBA administers

the Freedom of Information Act and the

Privacy Act of 1974. Part 137 of that

Chapter contains SBA regulations

governing classified information under

Executive Order 12356. On November

24, 1995 SBA published a proposed rule

in the Federal Register (60 FR 57970) to

reorganize Part 102 and to eliminate

Part 137, incorporating those portions of

the latter Part which apply to SBA into

Part 102. SBA did not receive any

comments in response to the proposed

rule. Thus, SBA is finalizing the rule

with only minor technical changes:

(1) Within §§ 102.6(d) and 102.7, the

effective date by which procedures

change for submitters of business

information has been changed from

January 1, 1996 to March 1, 1996, so as

to occur after the effective date of the

new regulations.

(2) Due to the repeal of Executive

Order 12356 and to the provisions of

new Executive Order 12968, which

require only agencies that generate

classified materials to regulate their

distribution, SBA has eliminated all

direct reference to classified materials in

its regulations.

(3) Section 102.13, governing

subpoenas, has been changed to clarify

that the section applies only to lawsuits

or other proceedings to which SBA is

not a party, and that the Associate

General Counsel for Litigation may not

delegate to local counsel authorization

for the production of documents or

testimony of employees from the

Inspector General’s Office.

(4) The language of various sections

has been streamlined and the

numbering of some paragraphs has been

reordered to make the overall

regulations clearer.

A CONVERSION TABLE FOLLOWS

Existing part 102 New part 102

§ 102.1(a) .................. § 102.1.

§ 102.1(b) .................. Deleted.

§ 102.2 ....................... Deleted.

§ 102.3(a) .................. Deleted.

§ 102.3(b) .................. Deleted.

§ 102.3(c) .................. Deleted.

§ 102.3(d) .................. Deleted.

§ 102.3(e) .................. Deleted.

§ 102.3(f) ................... Deleted.

§ 102.3(g) .................. Deleted.

§ 102.3(h) .................. Deleted.

§ 102.3(i) ................... Deleted.

§ 102.3(j) ................... Deleted.

§ 102.3(k) .................. Deleted.

§ 102.3(l) ................... § 102.10.

§ 102.4(a) .................. Deleted.

§ 102.4(b) .................. § 102.2(a).

§ 102.4(c) .................. § 102.2(b).

§ 102.4(d) .................. Deleted.

§ 102.4(e)(1) .............. § 102.3(a).

§ 102.3(d)

§ 102.4(e)(2) .............. § 102.4(c).

§ 102.4(e)(3) .............. § 102.5.

§ 102.5(a) .................. Deleted.

§ 102.5(b)(1) .............. § 102.6(a).

§ 102.5(b)(2) .............. Deleted.

§ 102.5(b)(3) .............. § 102.6(b).

§ 102.5(c) .................. Deleted.

§ 102.5(d) .................. § 102.6(a).

§ 102.6(d).

§ 102.6(e).

§ 102.5(e) .................. § 102.7.

§ 102.5(f) ................... § 102.6(d).

§ 102.6(e).

§ 102.5(g) .................. § 102.6(f).

§ 102.5(h) .................. § 102.6(g).

§ 102.5(i)(1) ............... § 102.6(d).

§ 102.6(e).

§ 102.5(i)(2) ............... § 102.6(c).

§ 102.5(i)(3) ............... Deleted.

§ 102.5(i)(4) ............... Deleted.

§ 102.6(a) .................. Deleted.

§ 102.6(b) .................. § 102.9(b).

§ 102.6(c) .................. § 102.9(c)(1).

§ 102.6(d) .................. § 102.9(a).

§ 102.6(e)(1) .............. § 102.9(d).

§ 102.6(e)(2) .............. § 102.9(f)(1).

§ 102.6(e)(3) .............. § 102.9(e).

§ 102.7(a)(1) .............. Deleted.

§ 102.7(a)(2) .............. Deleted.

§ 102.7(a)(3) .............. Deleted.

§ 102.7(a)(4) .............. Deleted.

§ 102.7(a)(5) .............. § 102.8(d).

§ 102.7(a)(6) .............. § 102.8(b)(1).

§ 102.7(a)(7) .............. § 102.8(b)(2).

§ 102.7(a)(8) .............. § 102.8(b)(4).

§ 102.7(b)(1) .............. § 102.8(a)(1).

§ 102.7(b)(2) .............. § 102.8(a)(2).

§ 102.7(b)(3) .............. § 102.8(a)(3).

§ 102.7(b)(4) .............. § 102.8(a)(4).

§ 102.7(b)(5)(i) ........... § 102.8(a)(5).

§ 102.7(b)(5)(ii) .......... § 102.8(a)(6).

§ 102.7(b)(6) .............. § 102.8(b)(uosp).

A CONVERSION TABLE FOLLOWS—

Continued

Existing part 102 New part 102

§ 102.8(c).

§ 102.8(e).

§ 102.8(h).

§ 102.7(b)(7) .............. § 102.8(g).

§ 102.7(c)(1) .............. § 102.8(d).

§ 102.7(c)(2) .............. § 102.8(b)(uosp).

§ 102.8(b) (1–3).

§ 102.7(c)(3) .............. § 102.8(b)(uosp).

§ 102.8(b)(4).

§ 102.7(c)(4) .............. § 102.8(c).

§ 102.7(d)(1) .............. § 102.8(l)(1).

§ 102.7(d)(2) .............. § 102.8(m).

§ 102.7(d)(3) .............. § 102.8(n).

§ 102.7(d)(4)(i) ........... § 102.8(i).

§ 102.7(d)(4)(ii) .......... § 102.8(i).

§ 102.7(d)(4)(iii) ......... § 102.3(c).

§ 102.7(d)(5) .............. Deleted.

§ 102.7(e) .................. § 102.8(o).

§ 102.8 ....................... § 102.12.

§ 102.20(a) ................ § 102.20(a)(1).

§ 102.20(b) ................ § 102.20(a)(2).

§ 102.20(c) ................ § 102.20(a)(3).

§ 102.20(d) ................ § 102.20(b).

§ 102.20(e) ................ § 102.20(c).

§ 102.21(a) ................ Deleted.

§ 102.21(b) ................ Deleted.

§ 102.21(c) ................ § 102.26.

§ 102.21(d) ................ Deleted.

§ 102.21(e) ................ § 102.24.

§ 102.21(f) ................. § 102.25.

§ 102.21(g) ................ Deleted.

§ 102.21(h) ................ Deleted.

§ 102.22(a)(1) ............ § 102.32(b).

§ 102.22(a)(2) ............ § 102.32(c).

§ 102.22(a)(3) ............ § 102.32(d).

§ 102.22(a)(4) ............ § 102.32(e).

§ 102.22(a)(5) ............ Deleted.

§ 102.22(a)(6) ............ Deleted.

§ 102.22(a)(7) ............ Deleted.

§ 102.22(b)(1) ............ § 102.32(a).

§ 102.22(b)(2) ............ Deleted.

§ 102.22(b)(3) ............ Deleted.

§ 102.22(b)(4) ............ Deleted.

§ 102.22(b)(5) ............ Deleted.

§ 102.22(c) ................ Deleted.

§ 102.22(d) ................ § 102.29.

§ 102.23UOP ............. § 102.22(a).

§ 102.23(a) ................ § 102.22(b).

§ 102.23(b) ................ § 102.22(c).

§ 102.23(c) ................ § 102.22(d).

§ 102.23(d) ................ § 102.22(e).

§ 102.23(e) ................ § 102.22(f).

§ 102.23(f) ................. § 102.22(g).

§ 102.23(g) ................ § 102.22(h).

§ 102.23(h) ................ § 102.22(i).

§ 102.23(i) ................. § 102.22(j).

§ 102.23(j) ................. § 102.22(k).

§ 102.23(k) ................ § 102.22(l).

§ 102.24 ..................... § 102.28.

§ 102.25 ..................... Deleted.

§ 102.26(a) ................ Deleted.

§ 102.26(b)(UOP) ...... Deleted.

§ 102.26(b)(1) ............ Deleted.

§ 102.26(b)(2) ............ Deleted.

§ 102.26(b)(3) ............ § 102.60.

§ 102.26(b)(4) ............ § 102.47(a).

§ 102.47(b).

§ 102.26(c) ................ Deleted.

§ 102.27(a) ................ § 102.61(a).

§ 102.27(b)(UOP) ...... § 102.61(b).

§ 102.27(b)(1) ............ § 102.61(a).
Federal Register / Vol. 61, No. 19 / Monday, January 29, 1996 / Rules and Regulations 2673

A CONVERSION TABLE FOLLOWS—

Continued

Existing part 102 New part 102

§ 102.27(b)(2) ............ § 102.61(a).

§ 102.27(b)(3) ............ § 102.61(a).

§ 102.27(c) ................ § 102.61(a).

§ 102.27(d) ................ § 102.61(a).

§ 102.27(e) ................ § 102.61(a).

§ 102.27(f) ................. § 102.61(a).

§ 102.27(g) ................ § 102.61(a).

§ 102.28(a) ................ § 102.34(a).

§ 102.58.

§ 102.28(b) ................ § 102.34(b).

§ 102.28(c) ................ § 102.34(c).

§ 102.28(d) ................ § 102.36(b).

§ 102.28(e) ................ § 102.35.

§ 102.36.

§ 102.29(a) ................ § 102.38(c).

§ 102.29(a) ................ § 102.39.

§ 102.29(b) ................ § 102.41.

§ 102.29(c) ................ § 102.40.

§ 102.29(d) ................ Deleted.

§ 102.30(a) ................ § 102.42.

§ 102.30(b) ................ § 102.43.

§ 102.46.

§ 102.47.

§ 102.30(c) ................ Deleted.

§ 102.30(d) ................ § 102.47(a).

§ 102.47(b).

§ 102.31(a) ................ § 102.48.

§ 102.49(c).

§ 102.50.

§ 102.31(b) ................ § 102.51.

§ 102.31(c) ................ § 102.52.

§ 102.31(d) ................ § 102.52.

§ 102.31(e) ................ § 102.53(b)(1).

§ 102.53(c)(2).

§ 102.31(f) ................. § 102.58(b)(3).

§ 102.58(c)(2).

§ 102.32(a)(1) ............ § 102.21(a)

§ 102.32(a)(2) ............ § 102.21(b)

§ 102.32(a)(3) ............ § 102.55.

§ 102.32(a)(4) ............ Deleted.

§ 102.32(b) ................ Deleted.

§ 102.32(c) ................ § 102.32(f)

§ 102.33(a) ................ § 102.23(a)

§ 102.33(b) ................ Deleted.

§ 102.33(c) ................ § 102.56

§ 102.33(d) ................ Deleted.

§ 102.33(e) ................ § 102.57

§ 102.33(f) ................. § 102.58

§ 102.33(g) ................ § 102.58(d)

§ 102.58(e)

§ 102.33(h) ................ Deleted.

§ 102.34 ..................... § 102.59

§ 102.35(a) ................ § 102.27(d)(uosp).

§ 102.35(b) ................ § 102.27(d) (1–3).

§ 102.35(c) ................ § 102.27(e).

§ 102.36(a) ................ § 102.27(a).

§ 102.36(b) ................ § 102.27(b).

§ 102.36(c) ................ § 102.27(c).

§ 102.37 ..................... § 102.54.

Compliance With Executive Orders

12612, 12778, and 12866, the

Regulatory Flexibility Act (5 U.S.C. 601,

et seq.), and the Paperwork Reduction

Act (44 U.S.C. Ch. 35)

SBA certifies that this rule does not

have a significant economic impact on

a substantial number of small entities

within the meaning of Executive Order

12866 or the Regulatory Flexibility Act,

5 U.S.C. 601, et seq. It makes SBA’s

FOIA and PA procedures clearer and

will institute governmental efficiencies

at no cost to small businesses. It will

not, however, have an annual economic

effect of $100 million or more, result in

a major increase in costs or prices, or

have a significant adverse effect on

competition or the United States

economy.

For purposes of the Paperwork

Reduction Act, 44 U.S.C. Ch. 35, SBA

certifies that this rule contains no new

reporting or recordkeeping

requirements.

For purposes of Executive Order

12612, SBA certifies that this rule has

no federalism implications warranting

the preparation of a federalism

assessment.

For purposes of Executive Order

12778, SBA certifies that this rule is

drafted, to the extent practicable, in

accordance with the standards set forth

in Section 2 of that Order.

List of Subjects

13 CFR Part 102

Freedom of information, Privacy.

13 CFR Part 137

Classified information.

Accordingly, pursuant to the

authority set forth in the Freedom of

Information Act (5 U.S.C. 552); the

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

Executive Order 12600, and Executive

Order 12968, SBA amends chapter I of

Title 13 of the Code of Federal

Regulations, as follows:

1. Part 102 is revised to read as

follows:

PART 102—RECORD DISCLOSURE

AND PRIVACY

Subpart A—Disclosure of Information

Sec.

102.1 What does this subpart do?

102.2 How can I get records from SBA?

102.3 How long will it take for SBA to

respond to my request for records?

102.4 How will SBA respond to my

request?

102.5 If SBA grants my request, which

records will be supplied?

102.6 How will SBA respond to requests for

business information?

102.7 What are the procedures for

submitters of business information to

SBA after March 1, 1996?

102.8 What fees will SBA charge?

102.9 How may I appeal a denial of my

request for information or a fee

determination?

102.10 How can I get the Public Index of

SBA materials?

102.11 What happens if I ask SBA for a

record that another Federal Agency

generated?

102.12 What happens if I subpoena records

or testimony of employees in connection

with a civil lawsuit, criminal proceeding

or administrative proceeding to which

SBA is not a party?

Subpart B—The Privacy Act

102.20 What privacy rights does this

subpart regulate?

102.21 How will SBA maintain records?

102.22 When will SBA disclose records?

102.23 Are there special rules about

personnel and equal employment

opportunity files?

102.24 What is a record?

102.25 What is a system of records?

102.26 What does this subpart mean by

‘‘person to whom a record pertains’’ or

‘‘you’’?

102.27 What records are partially exempt

from the provisions of the Privacy Act?

102.28 What about information compiled

for a civil action?

102.29 Who administers SBA’s

responsibilities under the Privacy Act?

102.30 How can I write to the Privacy Act

Officer?

102.31 Who appoints Systems Managers?

102.32 What do Systems Managers do?

102.33 How can I write to a Systems

Manager?

102.34 How can I see records kept on me?

102.35 How long will it take SBA to

respond to my request?

102.36 How will SBA respond to my

request?

102.37 How may I appeal a decision to

deny me access to my records?

102.38 To whom should my appeal be

addressed?

102.39 By when must I appeal to the

Privacy Act Officer?

102.40 When will SBA respond to my

appeal?

102.41 How will SBA respond to my

appeal?

102.42 How can I get SBA to amend a

record kept on me?

102.43 What should my petition say?

102.44 For what reasons will SBA amend

my record?

102.45 Will SBA ask me for more

information after I make my request?

102.46 When will SBA respond to my

request?

102.47 How will SBA respond to my

request?

102.48 How do I appeal a refusal to amend

a record kept on me?

102.49 To whom should I address my

appeal?

102.50 By when must I submit my appeal?

102.51 By what standards will the Privacy

Act Officer review my appeal?

102.52 When will SBA respond to my

appeal?

102.53 How will SBA respond to my

appeal?

102.54 How can I obtain judicial review

about an SBA Privacy Act decision?

102.55 What must SBA tell the individuals

from whom it collects information?
2674 Federal Register / Vol. 61, No. 19 / Monday, January 29, 1996 / Rules and Regulations

102.56 Will SBA release my name or

address?

102.57 Do I have to give SBA my SSN?

102.58 When will SBA show personnel

records to a representative?

102.59 What fees will SBA charge me for

my records?

102.60 May I be informed of disclosures

made of my record?

102.61 Are there Matching Program

procedures?

Authority: 5 U.S.C. 552 and 552a; 31

U.S.C. 1 et seq. and 67 et seq.; 44 U.S.C. 3501

et seq.; E.O. 12600, 3 CFR, 1987 Comp., p.

235.

Subpart A—Disclosure of Information

§ 102.1 What does this subpart do?

This subpart describes the procedures

by which the SBA makes documents

available under the Freedom of

Information Act (‘‘FOIA’’) (5 U.S.C.

552).

§ 102.2 How can I get records from SBA?

(a) You can go to the SBA office at

which the records are kept, and

photocopy any final SBA decision,

policy statement, or standard operating

procedure.

(b) For copies of all other records, you

must send a letter request to the SBA

office at which the records are kept. The

letter must describe specific records you

want. If you don’t know which SBA

office keeps the records, you may send

your letter to the nearest SBA District

Office. You may also send your letter to

the Chief, FOIA & PA Office, 409 Third

Street S.W., Suite 5900, Washington

D.C. 20416. The office receiving your

letter will forward it to the correct

office.

§ 102.3 How long will it take for SBA to

respond to my request for records?

(a) If you have met the fee

requirements of § 102.8, SBA will

respond within 10 working days after

the correct office receives your request,

unless you have requested an especially

large number of records, the records are

not located in the office handling the

request, or SBA needs to consult with

another government office.

(b) If you make your request on behalf

of another person, SBA will respond

within 10 working days after you

present a document signed by that

person authorizing you to request

information on his or her behalf. If you

make your request on behalf of another

person without including such signed

authorization, SBA will inform you of

the authorization needed.

(c) If you send your request to the

wrong office, that office will send it to

the correct office within 10 working

days and will send you an

acknowledgment letter.

(d) If SBA determines that one of the

circumstances described in paragraph

(a) of this section apply, it will respond

within 20 working days of the date upon

which the correct office receives your

request, and will notify you that the

extra time is required.

§ 102.4 How will SBA respond to my

request?

Within the time limit described in

§ 102.3, SBA will either:

(a) Give you all the records you

requested;

(b) Give you some or none of the

records you requested, explain why

SBA has decided not to comply fully

with your request, citing specific

exemptions where applicable, and

explain how to appeal that decision; or

(c) Tell you that you will not receive

a response until you have either paid

your fee or committed to the amount of

fee you will pay, as applicable.

§ 102.5 If SBA grants my request, which

records will be supplied?

SBA will give you copies of all

records or portions of records requested

which are in the processing office as of

the close of the day upon which that

office received your request.

§ 102.6 How will SBA respond to requests

for business information?

(a) Business information is a trade

secret, or commercial or financial

information, contained in records

provided to SBA by any person and

which may be protected from disclosure

under Exemption Four of FOIA (5

U.S.C. 552(b)(4)).

(b) The submitter is the business

entity to which the business information

pertains and which submitted the

information to SBA, either directly or

through an intermediary, such as a

bank.

(c) SBA will disclose upon request

business information that has

previously been released to the general

public.

(d) If you request business

information submitted to SBA prior to

March 1, 1996 which has not previously

been released to the general public, SBA

will notify the submitter of your request

upon SBA’s receipt of it if SBA intends

to release that information. SBA will

give the submitter 5 working days to

identify information the disclosure of

which would likely cause substantial

competitive harm and why that harm

would occur unless SBA intends to

deny your request in full.

(e) If you request business information

submitted to SBA after March 1, 1996

which has not previously been released

to the general public, SBA will notify

the submitter if it intends to release

business information which either the

submitter has previously claimed or

which SBA believes to be confidential

and the disclosure of which would

cause substantial competitive harm. The

submitter will have 5 working days to

object to the disclosure, explaining why

the harm would occur.

(f) Whenever a submitter objects to

disclosure, SBA will consider the

submitter’s objections, but will not be

bound by it. If SBA discloses

information despite a submitter’s

objection, SBA will give the submitter

the maximum notice possible before

disclosure without violating the time

constraints imposed by FOIA. In this

notice, SBA will tell the submitter when

and what it intends to disclose.

(g) SBA will promptly notify the

submitter of any suit filed against SBA

to compel disclosure.

§ 102.7 What are the procedures for

submitters of business information to SBA

after March 1, 1996?

Submitters may identify business

information at the time of submission

which would likely cause them

substantial competitive harm if

disclosed. The identification shall lapse

after 10 years, unless renewed in

writing.

§ 102.8 What fees will SBA charge?

(a) Basic fees. (1) For manual record

search. SBA will charge $18 per hour.

(2) For computer record searches.

SBA will charge the actual costs.

(3) For review and disclosure

determinations. SBA will charge $18 per

hour.

(4) Duplication. SBA will charge 10

cents per page for photocopy

duplication, and the actual cost of

reproduction for other methods.

(5) Certifying records. SBA will charge

actual costs.

(6) For requested special types of

delivery other than first-class mail. SBA

may charge the actual cost.

(b) If you are a representative of an

educational institution, a noncommercial scientific institution, or a

member of the news media. SBA will

charge you only for the cost of

duplication after the first 100 pages.

(1) What is an educational institution?

A state-certified preschool, elementary

or secondary school, an accredited

college or university, an accredited

institution of professional education, or

any accredited or state-certified institute

of vocational education which operates

a program or programs of scholarly

research.

(2) What is a non-commercial

scientific institution? An organization

which is operated solely for the purpose
Federal Register / Vol. 61, No. 19 / Monday, January 29, 1996 / Rules and Regulations 2675

of conducting scientific research, the

results of which are not intended to

promote any particular product or

industry.

(3) What is a representative of an

educational or non-commercial

scientific institution? A requester

seeking records on behalf of that

institution who is authorized by that

institution to do so, and who is seeking

those records for scholarly or scientific

reasons, as long as there is no

commercial purpose to the request for

records.

(4) What is a representative of the

news media? An individual who is

actively gathering news for an entity

that is organized and operated to

disseminate information to the general

public. To be considered ‘‘news media’’,

this organization may provide

information by subscription and may

target its dissemination to a narrow

section of the general public as long as

any member of the general public may

purchase information from it. If you are

not employed by the news media, but

have a reasonable expectation that you

will sell the information you obtain to

the news media, SBA may conclude that

you are a representative of the news

media. SBA will not consider you to be

a representative of the news media if

your request has a commercial purpose,

beyond the commercial purpose of

selling information to the general

public.

(c) Member of the general public. If

you are a member of the general public,

SBA will not charge you for the first two

hours of search time, the first hundred

pages of photocopy duplication, or for

review and disclosure determinations.

The general public is anyone who is not

a representative of an educational

institution, a representative of the news

media, or a commercial requester.

(d) Commercial requester. If you are a

commercial requester you must pay all

the basic fees set forth in paragraph (a)

of this section. A commercial requester

is anyone seeking information for

commercial, trade, or profit interests of

the requester or someone he or she is

trying to help.

(e) How does SBA determine what

category of requester I am? The SBA

office processing your request will

determine the appropriate category. If

you are not a commercial requester, you

must show us what category of requester

you are.

(f) Tell us how much you are willing

to pay. To get the quickest possible

response, you must tell SBA how much

money you are willing to pay in fees

when you make your request for

records.

(g) If you don’t tell us how much you

are willing to pay and SBA estimates

that the fee will exceed $25.00, SBA

will estimate the fee and will not

process your request until you tell SBA

that you are willing to pay the estimated

amount, or until you narrow the request

so that the fee is less than $25.

(h) SBA will waive fees less than $25.

(i) If the fee is more than $250, or if

you have a history of failing to pay

FOIA fees in a timely manner, SBA will

ask you to remit the estimated amount

and any past due charges before sending

you the records.

(j) Who determines the fee? The SBA

office which processes your request.

(k) When do you pay the fee? SBA

will bill you when it responds to your

request. You must pay within thirty-one

calendar days.

(l) Failure to pay fees. (1) If you do not

pay by the thirty-first day after the

billing date, SBA will charge interest at

the maximum rate allowed under Title

31 of the United States Code, section

3717.

(2) If you do not pay the amount due

within ninety calendar days of the due

date, SBA may notify consumer credit

reporting agencies of your delinquency.

(3) If you owe fees for previous FOIA

responses, SBA will not respond to

further requests unless you satisfy the

amount due.

(m) Unsuccessful searches. If SBA’s

search for records is unsuccessful, it

will still bill you for the search.

(n) Multiple requests. If you make

multiple requests at or about the same

time, SBA will aggregate your requests

for records. In no case will SBA give

you more than the first two hours of

search time, or more than the first 100

pages of duplication without charge.

(o) Reduction of fees in the public

interest. If SBA determines that

disclosure of the information you seek

is in the public interest because it is

likely to contribute significantly to

public understanding of the operations

or activities of the government, and that

you are not seeking the information in

your own commercial interests, SBA

may waive or reduce the fee.

§ 102.9 How may I appeal a denial of my

request for information or a fee

determination?

(a) You must write to the Chief, FOIA

& PA Office at 409 Third Street S.W.,

Suite 5900, Washington, D.C. 20416.

(b) The Chief must receive your

written appeal within 45 calendar days

of the date of the SBA determination

from which you are appealing.

(c)(1) If you are appealing a denial of

your request for information, the appeal

must contain the following information:

(i) What records were denied.

(ii) The name and title of the

individual who denied the request and

the address of his or her office.

(iii) Any other information you deem

appropriate.

(2) If you are appealing a fee

determination, the appeal must contain

the following information:

(i) The address of the office which

made the fee determination from which

you are appealing.

(ii) The fee that office charged.

(iii) The fee, if any, you believe

should have been charged.

(iv) The reasons you believe that your

fee should be lower than the fee which

the Agency charged.

(v) Any other information you deem

appropriate.

(d) The Chief will decide your appeal,

unless the Chief originally made the

determination you are appealing. In that

case, SBA’s Assistant Administrator for

Hearings and Appeals will decide your

appeal.

(e) SBA will decide your appeal

within 20 working days from the date of

its receipt. SBA may have an additional

10 working days if unusual

circumstances require.

(f) (1) If you are appealing a decision

to deny your request for records, SBA

will either:

(i) Give you the records you

requested; or

(ii) Decline to give you the records

you requested, tell you why SBA has

concluded that the records were exempt

from disclosure under FOIA, and tell

you how to obtain judicial review of

SBA’s decision.

(2) If you are appealing a fee

determination, SBA will either charge

the fee you request or charge another fee

and explain why SBA has concluded

that the fee it has decided to charge is

appropriate.

§ 102.10 How can I get the Public Index of

SBA materials?

(a) The Public Index is a document

which provides identifying information

about official documents which SBA

has issued.

(b) SBA has administratively

determined, as permitted by FOIA, that

periodic publication and distribution is

unnecessary and impracticable.

(c) The Public Index is set forth in

Appendix 3 of SBA Standard Operating

Procedure 40 03. You can obtain the

Public Index from any SBA office.

§ 102.11 What happens if I ask SBA for a

record that another Federal agency

generated?

Such a request is a request directed to

the wrong office, as that term is used in
2676 Federal Register / Vol. 61, No. 19 / Monday, January 29, 1996 / Rules and Regulations

§ 102.3(c). SBA will forward your

request to the generating agency.

§ 102.12 What happens if I subpoena

records or testimony of employees in

connection with a civil lawsuit, criminal

proceeding or administrative proceeding to

which SBA is not a party?

(a) The person to whom the subpoena

is directed must consult with SBA

counsel in the relevant SBA office, who

will seek approval for compliance from

the Associate General Counsel for

Litigation. Except where the subpoena

requires the testimony of an employee

of the Inspector General’s office, or

records within the possession of the

Inspector General, the Associate General

Counsel may delegate the authorization

for appropriate production of

documents or testimony to local SBA

counsel.

(b) If SBA counsel approves

compliance with the subpoena, SBA

will comply.

(c) If SBA counsel disapproves

compliance with the subpoena, SBA

will not comply, and will base such

noncompliance on an appropriate legal

basis such as privilege or a statute.

(d) SBA counsel must provide a copy

of any subpoena relating to a criminal

matter to SBA’s Inspector General prior

to its return date.

Subpart B—The Privacy Act

§ 102.20 What privacy rights does this

subpart regulate?

This subpart establishes SBA’s policy

and procedures safeguarding an

individual against an invasion of

personal privacy.

(a) Except as otherwise provided by

law or regulation, SBA will permit you

to do the following:

(1) Determine what records pertaining

to you are collected, maintained, used,

or disseminated by SBA;

(2) Object when records pertaining to

you are obtained by SBA for a particular

purpose and are proposed to be used or

made available for another purpose

without your consent; and

(3) Gain access to information

pertaining to you in records, have a

copy made of all or any portion of those

records, and correct or amend such

records as appropriate.

(b) SBA will collect, maintain, use, or

disseminate any record of identifiable

personal information in a manner that

assures that such action is for a

necessary and lawful purpose, that the

information is current and accurate for

its intended use, and that adequate

safeguards are provided to prevent

misuse of such information.

(c) SBA will permit exemptions from

the requirements of 5 U.S.C. 552a

(Privacy Act of 1974) (‘‘PA’’) only where

an important public policy need for

such exemption has been determined

pursuant to or under specific statutory

authority.

§ 102.21 How will SBA maintain records?

SBA records will:

(a) Contain only such information

about an individual as is relevant and

necessary to accomplish a purpose

required of SBA by statute, regulation,

or by Executive Order of the President.

(b) Be comprised, to the maximum

practical extent, of an individual’s own

statements when the information may

result in an adverse determination about

an individual’s rights, benefits, or

privileges under a Federal program.

§ 102.22 When will SBA disclose records?

SBA will not disclose to anyone any

record which is contained in a system

of records, except that it will disclose a

record:

(a) To the person about whom the

record is maintained, or to that person’s

agent, within the limits discussed in

this subpart;

(b) To those SBA employees who have

a need for the record to perform their

duties;

(c) When required under 5 U.S.C. 552

(FOIA);

(d) For a routine use of the record

compatible with the purpose for which

it was collected;

(e) To the Bureau of the Census for

purposes of planning or carrying out a

census, survey, or related activity

pursuant to Title 13, United States

Code;

(f) To a recipient who has provided

the Agency with advance adequate

written assurance that the record will be

used solely as a statistical research or

reporting record, where the record is

transferred in a form that is not

individually identifiable;

(g) To the National Archives of the

United States as a record which has

sufficient historical or other value to

warrant its continued preservation by

the U.S. Government, or for evaluation

by the Administrator of General

Services or his or her designee to

determine whether the record has such

value;

(h) To another agency or to an

instrumentality of any governmental

jurisdiction within or under the control

of the United States for a civil or

criminal law enforcement activity if:

(1) The activity is authorized by law;

and

(2) The head of the agency or

instrumentality has made a written

request to the PA Officer specifying the

particular portion desired and the law

enforcement activity for which the

record is sought;

(i) To a person showing compelling

circumstances affecting the health or

safety of an individual. Upon

disclosure, SBA will notify such

individual at his or her last known

address;

(j) To either House of Congress, or, to

the extent of matters within its

jurisdiction, any committee or

subcommittee thereof, or any joint

committee of Congress or subcommittee

of any such joint committee;

(k) To the Comptroller General, or any

of his or her authorized representatives,

in the course of the performance of the

duties of the General Accounting Office;

(l) Pursuant to the order of a court of

competent jurisdiction; or

(m) To a consumer reporting agency

in accordance with 31 U.S.C. 3711(f).

§ 102.23 Are there special rules about

personnel and equal employment

opportunity files?

(a) The provisions of parts 293 and

297 of Title 5 of the Code of Federal

Regulations govern all SBA files which

the Office of Personnel Management

determines are personnel files.

(b) The provisions of part 1611 of

Title 29 of the Code of Federal

Regulations govern all Equal

Employment Opportunity complaint

files.

§ 102.24 What is a record?

A record is information which SBA

maintains on an individual and which

includes either his name or an

identifying symbol (such as a

fingerprint, a social security number

(‘‘SSN’’), or a photograph.

§ 102.25 What is a system of records?

A system of records is one or more

records which SBA routinely keeps for

official purposes, and from which SBA

can retrieve records by using a name or

personal identifier.

§ 102.26 What does this subpart mean by

‘‘person to whom a record pertains’’ or

‘‘you’’?

When this subpart refers to the

‘‘person to whom a record pertains’’ or

uses the pronoun ‘‘you’’, it refers to a

United States citizen or a lawfully

admitted alien. It does not refer to a

corporation, partnership, or sole

proprietorship.

§ 102.27 What records are partially exempt

from the provisions of the Privacy Act?

(a) The following systems of records

are exempt from certain provisions of

the PA: Audit Reports (system of

records #SBA 015), Litigation and

Claims Files (#SBA 070), Personnel
Federal Register / Vol. 61, No. 19 / Monday, January 29, 1996 / Rules and Regulations 2677

Security Files (#SBA 100), Security and

Investigations Files (#SBA 120), Office

of Inspector General Referrals (#SBA

125), Investigations Division

Management Information System (#SBA

130), and Standards of Conduct Files

(#SBA 140).

(b) The provisions of the PA from

which these systems of records are

exempt are subsections (c)(3)

(Accounting of Certain Disclosures), (d)

(Access to Records), (e)(1), 4G, H, and I

(Agency Requirements), and (f) (Agency

Rules).

(c) The systems of records described

in paragraph (a) of this section are

exempt from the provisions of the

Privacy Act described in paragraph (b)

of this section in order to:

(1) Prevent the subject of

investigations from frustrating the

investigatory process;

(2) Protect investigatory material

compiled for law enforcement purposes;

(3) Fulfill commitments made to

protect the confidentiality of sources

and to maintain access to necessary

sources of information; or

(4) Prevent interference with law

enforcement proceedings.

(d) In addition to the foregoing

exemptions in paragraphs (a) through (c)

of this section, the systems of records

described in paragraph (a) of this

section numbered SBA 015, 100, 120,

125 and 130 are fully exempt from the

Privacy Act to the extent that they

contain:

(1) Information compiled to identify

individual criminal offenders and

alleged offenders and consisting only of

identifying data and notations of arrests,

confinement, release, and parole and

probation status;

(2) Information, including reports of

informants and investigators, associated

with an identifiable individual

compiled to investigate criminal

activity; or

(3) Reports compiled at any stage of

the process of enforcement of the

criminal laws from arrest or indictment

through release from supervision

associated with an identifiable

individual.

(e) The systems of records described

in paragraph (d) of this section are fully

exempt from the PA to the extent

described in that paragraph because

they are records maintained by the

Investigations Division of the Inspector

General, which is a component of SBA

which performs as its principal function

activities pertaining to the enforcement

of criminal laws within the meaning of

5 U.S.C. 552a(j)(2). They are exempt in

order to: (1) Prevent the subjects of

Office of Inspector General (OIG)

investigations from using the PA to

frustrate the investigative process;

(2) Protect the identity of Federal

employees who furnish a complaint or

information to the OIG, consistent with

section 7(b) of the Inspector General Act

of 1978, 5 U.S.C. App. I;

(3) Protect the confidentiality of other

sources of information;

(4) Avoid endangering confidential

sources and law enforcement personnel;

(5) Prevent interference with law

enforcement proceedings;

(6) Assure access to sources of

confidential information, including that

contained in Federal, State, and local

criminal law enforcement information

systems;

(7) Prevent the disclosure of

investigative techniques; or

(8) Prevent the disclosure of classified

information.

§ 102.28 What about information compiled

for a civil action?

No individual shall have access to any

information compiled by SBA in

reasonable anticipation of a civil action

or proceeding. In the event of a question

as to disclosure, the Systems Manager

for the system of records involved will

rely on the opinion of the General

Counsel or designee, and will also

consult with the PA Officer.

§ 102.29 Who administers SBA’s

responsibilities under the Privacy Act?

The PA Officer has overall

responsibility for administering the PA

for SBA. A Systems Manager is

responsible for administering the PA as

to systems of records within an SBA

Office.

§ 102.30 How can I write to the Privacy Act

Officer?

You can write to the PA Officer at 409

Third Street S.W., Suite 5900,

Washington, D.C. 20416.

§ 102.31 Who appoints Systems

Managers?

The senior official in each field office

and each Headquarters program area

designates himself or herself or appoints

another as the Systems Manager for that

office.

§ 102.32 What do Systems Managers do?

Systems Managers have the following

responsibilities, among others, for the

offices for which they are appointed:

(a) Acting as the initial contact person

for individuals seeking access to or

amendment of their records.

(b) Responding to requests for

information.

(c) Discussing the availability of

records with individuals.

(d) Amending records in cases where

amended information is not

controversial and does not involve

policy decisionmaking.

(e) Informing individuals of any

reproduction fees to be charged.

(f) Assuring that their systems of

records contain no record describing

how any individual exercises rights

guaranteed by the First Amendment

unless expressly authorized by statute

or by the individual about whom the

record is maintained, or unless

pertinent to and within the scope of an

authorized law enforcement activity.

§ 102.33 How can I write to a Systems

Manager?

You can write to a Systems Manager

by writing to the SBA Office which

maintains the record you are seeking. If

you do not know which office that is,

or you do not know the address of that

office, you can write to the PA Officer

at 409 3rd Street SW., Suite 5900,

Washington, D.C. 20416, who will

forward your request to the proper

Systems Manager.

§ 102.34 How can I see records kept on

me?

(a) You may look at any information

pertaining to yourself contained in any

SBA system of records unless some law

or regulation prohibits it.

(b) In order to see this information,

you must ask for it in writing,

identifying what records you want. The

writing should be addressed to the

Systems Manager overseeing the system

of records containing the record you

wish to see.

(c) The Systems Manager (or, when

appropriate, the PA Officer) may ask for

more specific information about the

system of records in which the

document you are seeking is kept, and

may ask you for identification. The

Systems Manager may ask you for your

social security number but you are not

obliged to present it and your request

will not be denied simply because you

do not provide it. The Systems Manager

may, however, deny your request if he

or she cannot determine that you are the

person to whom the information

pertains.

§ 102.35 How long will it take SBA to

respond to my request?

The Systems Manager will respond

within 10 working days.

§ 102.36 How will SBA respond to my

request?

The Systems Manager will inform you

that:

(a) Your request is denied, in which

case he or she will set forth the reasons

for denial and your rights to appeal; or

(b) Your request is granted and you

may view your record, in which case he
2678 Federal Register / Vol. 61, No. 19 / Monday, January 29, 1996 / Rules and Regulations

or she will set forth the time and date

for you to review your record in the

presence of an SBA employee; or

(c) Your request is granted and, unless

you object, SBA will mail you a copy of

your record. SBA will mail you your

record only if it determines that there

are no other reasonable means for you

to obtain access to your record.

§ 102.37 How may I appeal a decision to

deny me access to my records?

Your appeal should be in writing and

should set forth any information you

think would show that you should have

access to your records.

§ 102.38 To whom should my appeal be

addressed?

(a) Denial of a personnel file. Address

an appeal of a denial of a request for a

personnel file to the Office of Personnel

Management, 1900 E Street N.W.,

Washington, D.C. 20006.

(b) Denial of an Equal Employment

Opportunity Complaint File. Address an

appeal of a denial of a request for an

Equal Employment Opportunity

Complaint File to the Equal

Employment Opportunity Commission,

1801 L Street N.W., Washington, D.C.

20036.

(c) All other appeals. Appeal the

denial of any other record to the PA

Officer. See § 102.30.

§ 102.39 By when must I appeal to the

Privacy Act Officer?

Your appeal must reach the PA

Officer on or before 30 calendar days

after the date the denial was issued. If

your appeal is based on the failure of

the Systems Manager to answer your

request, your appeal must reach the PA

Officer on or before 90 calendar days

after the date by which the Systems

Manager should have responded under

§ 102.35.

§ 102.40 When will SBA respond to my

appeal?

The PA Officer will respond to you

within 30 working days of the date

when your appeal was received.

§ 102.41 How will SBA respond to my

appeal?

The PA Officer will inform you that:

(a) Your request is denied, in which

case the reasons for denial will be set

forth along with your rights to judicial

review of SBA’s decision; or

(b) Your request is granted and you

may view your record, in which case the

time and date for you to review your

records in the presence of an SBA

employee will be set forth; or

(c) Your request is granted and, unless

you object, SBA will mail you a copy of

your record. SBA will mail you your

record only if it determines that there

are no other reasonable means for you

to obtain access to your record.

§ 102.42 How can I get SBA to amend a

record kept on me?

You can petition to have records kept

on you amended by writing to the

Systems Manager who oversees the

system of records in which the record

you wish amended is kept. If you are

unable to determine who that Systems

Manager is, you may send your petition

to the PA Officer, who will forward it

to the right Systems Manager. See

§ 102.30.

§ 102.43 What should my petition say?

Your petition should include the

following:

(a) In what system of records the

record you want amended is kept.

(b) What record you want amended.

(c) What specific information in that

record you want amended.

(d) Why you want the record

amended.

(e) Any information you have,

including copies of evidence, which you

think will persuade the Systems

Manager to amend the record.

(f) What the record should say.

§ 102.44 For what reasons will SBA amend

my record?

SBA seeks to maintain only accurate,

complete, and up-to-date records which

are relevant to accomplish some

purpose required by law, regulation, or

Executive Order of the President. There

are four grounds for amending a record.

They are:

(a) The record is not accurate.

(b) The record is not relevant to any

legitimate SBA concern.

(c) The record is out-of-date. For

example, there may have been events

since the date of the record which have

affected some of the information

contained in the record.

(d) The record is incomplete. There

may be additional information relevant

to the material contained in the record.

§ 102.45 Will SBA ask me for more

information after I make my request?

Perhaps, in which case the procedures

of § 102.34(c) shall apply.

§ 102.46 When will SBA respond to my

request?

The Systems Manager will

acknowledge receipt of your request

within 10 working days and issue a

written response within 30 working

days.

§ 102.47 How will SBA respond to my

request?

The Systems Manager will:

(a) Make the amendment you request,

and send all individuals who had

previously received a copy of that

record a copy of the amended record; or

(b) Amend the record, in a different

manner, sending all individuals who

had previously received a copy of that

record a copy of the amended record

and, in addition, telling you why your

request was not granted in full and what

appeal rights you have; or

(c) Decline to amend the record,

explaining why your request was not

granted and telling you of your appeal

rights.

§ 102.48 How do I appeal a refusal to

amend a record kept on me?

Your appeal should be in writing and

include the following:

(a) All of the information contained in

your original request to amend the

record;

(b) Any response of the Systems

Manager, including any reasons for

denying your request; and

(c) Any information you wish to

submit in response to the Systems

Manager’s findings.

§ 102.49 To whom should I address my

appeal?

(a) Personnel file. Address your

appeal to the Office of Personnel

Management, 1900 E Street NW.,

Washington, DC 20006.

(b) Equal Employment Opportunity

Complaint File. Address your appeal to

the Equal Employment Opportunity

Commission, 1801 L Street NW.,

Washington, DC 20036.

(c) All other appeals. Address your

appeal to the PA Officer. See § 102.30.

§ 102.50 By when must I submit my

appeal?

Your appeal must be received by the

PA Officer within 30 calendar days of

the date the Systems Manager declined

to amend your records, or within 90

calendar days of the date the Systems

Manager should have responded under

§ 102.46 if the Systems Manager did not

so respond.

§ 102.51 By what standards will the

Privacy Act Officer review my appeal?

The PA Officer will decide your

appeal using the criteria of accuracy,

relevance, timeliness, and completeness

described in § 102.44. The PA Officer

will review all relevant information and

may seek the views of other SBA

personnel. The PA Officer may review

information not available to or not used

by the Systems Manager.

§ 102.52 When will SBA respond to my

appeal?

The PA Officer will respond to your

appeal within 30 working days of its
Federal Register / Vol. 61, No. 19 / Monday, January 29, 1996 / Rules and Regulations 2679

receipt, unless the Administrator

determines that unusual circumstances

exist, in which case the PA Officer will

notify you of the presence of these

unusual circumstances within 30

working days of the date upon which he

or she received your appeal, and will

respond to your appeal within 60

working days of the date of receipt.

§ 102.53 How will SBA respond to my

appeal?

The PA Officer will:

(a) Make the amendment you request,

sending all individuals who had

previously received a copy of that

record a copy of the amended record; or

(b) Amend the record in a different

manner; or decline to amend it at all:

(1) Sending all individuals who had

previously received a copy of that

record a copy of the amended record;

(2) Telling you why your request was

not granted in full and that you can seek

judicial review; and

(3) Marking the areas of dispute,

including your statement of

disagreement in the file, and, if

appropriate, a concise statement of why

SBA refused to amend the record as you

requested, sending this material to all

individuals who had previously

received a copy of that record.

§ 102.54 How can I obtain judicial review

of an SBA Privacy Act decision?

You may bring a civil action against

SBA in a United States district court if

the SBA:

(a) Makes a final determination not to

provide you with access to or to amend

your record in accordance with your

request;

(b) Fails to maintain your records

with such accuracy, relevance,

timeliness and completeness as is

necessary to assure fairness in any

determination relating to the

qualifications, character, rights,

opportunities of, or benefits to you that

may be made on the basis of such

records, and consequently a

determination is made which harms

you; or

(c) Fails to comply with any other

provisions of the PA (5 U.S.C. 552a) or

the implementing regulations in this

subpart, in such a way as to cause harm

to you.

§ 102.55 What must SBA tell the

individuals from whom it collects

information?

When SBA collects information from

an individual, it must, either on the

form which collects the information or

on a separate form which the individual

may keep, state:

(a) Whether disclosure of the

information is voluntary or mandatory;

(b) By what authority SBA is

collecting the information;

(c) For what principal purpose or

purposes SBA is collecting the

information;

(d) What routine uses might be made

of that information; and

(e) What will happen if the

information isn’t supplied.

§ 102.56 Will SBA release my name or

address?

No, unless compelled to by law.

§ 102.57 Do I have to give SBA my SSN?

(a) No. You need not give SBA your

SSN, even if SBA asks for it.

(b) If SBA asks you for your SSN, it

must tell you under what authority it

seeks your SSN, and for what purpose.

(c) SBA cannot withhold a benefit

solely because you refuse to tell it your

SSN.

§ 102.58 When will SBA show personnel

records to a representative?

(a) If you go to where the records are

kept, SBA will permit one person of

your choosing to inspect the records

with you.

(b) If you want your representative to

inspect the records without you, you

must give SBA a written authorization.

(c) SBA will mail a copy of the record

to your representative if you direct SBA

to do so in writing.

(d) You may inspect the records of a

minor if you present evidence that you

are the custodial parent (including joint

custodial parent) or legal guardian of

that minor. An affidavit or declaration,

signed by you under penalty of perjury,

is normally sufficient evidence unless

SBA has information to the contrary.

(e) You may inspect the records of an

adult incompetent if you present

evidence that you are the legal guardian

of that person. A guardianship order is

sufficient evidence of your

guardianship. Other evidence may be

considered.

§ 102.59 What fees will SBA charge me for

my records?

SBA will charge you only for

photocopying at the rate of 10 cents per

page. SBA will not charge you for

finding or reviewing your records. Fees

less than $25 will be waived.

§ 102.60 May I be informed of disclosures

made of my records?

SBA will tell you what disclosures it

made of your records if you ask, except

that SBA will not tell you about

disclosures it made to another federal

agency or government entity for law

enforcement purposes.

§ 102.61 Are there Matching Program

procedures?

(a) SBA will comply with the

Computer Matching and Privacy

Protection Act of 1988 (5 U.S.C. 552a,

552a notes). This Act establishes

procedures federal agencies must use if

they want to match their computer lists.

(b) If SBA adopts any procedures to

supplement its compliance with the

Computer Matching and Privacy

Protection Act of 1988 which are not

mandated in that Act, SBA will publish

those procedures in Standard Operating

Procedure (SOP) 40 04. You can get a

copy of SOP 40 04 at any SBA Office.

(c) If SBA enters into an agreement

with any federal agency, contractor of

any federal agency, state or local

government, or agency of any state or

local government to disclose records for

purposes of a computer matching

program, SBA will make a copy of that

agreement available to the general

public. You can get a copy of any such

agreement by writing to the Privacy Act

Officer.

PART 137—[REMOVED]

2. Part 137 is removed.

Dated: January 19, 1996.

Philip Lader,

Administrator.

[FR Doc. 96–1159 Filed 1–26–96; 8:45 am]

BILLING CODE 8025–01–P

13 CFR Part 103

Standards for Conducting Business

With SBA

AGENCY: Small Business Administration.

ACTION: Final rule.

SUMMARY: In response to President

Clinton’s regulatory review directive,

the Small Business Administration has

completed a page-by-page and line-byline review of its regulations. As a

result, SBA is streamlining its

regulations by eliminating many rules

and simplifying and improving those

that remain. This final rule reorganizes

and streamlines the entire Part 103,

which covers the standards one must

meet to conduct business with SBA. It

makes the standards clearer and more

understandable to those who are

regulated, and easier for SBA to enforce.

EFFECTIVE DATE: This rule is effective

February 28, 1996.

FOR FURTHER INFORMATION CONTACT:

Michael Dowd, Director, Office of Loan

Programs, at (202) 205–6490.

SUPPLEMENTARY INFORMATION: Title 13

CFR Part 103 contains SBA’s policies

governing the standards for suspending