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Federal Register / Vol. 62, No. 87 / Tuesday, May 6, 1997 / Rules and Regulations

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Federal Register / Vol. 62, No. 87 / Tuesday, May 6, 1997 / Rules and Regulations 24562 Federal Register / Vol. 62, No. 87 / Tuesday, May 6, 1997 / Rules and Regulations FARM CREDIT ADMINISTRATION of Federal laws and regulations could views on the reproposed regulation. undermine public confidence in the Hence, after the comment period closed, 12 CFR Part 617 FCS and affect the safety and soundness FCA staff met with the commenters in RIN 3052±AB33 of FCS institutions. System institutions Sacramento, California, on September have the responsibility to establish and 27, 1995. This meeting was held in Referral of Known or Suspected maintain safeguards to detect, deter, and compliance with the FCA Board's Policy Criminal Violations report criminal activity involving the Statement FCA±PS±37 published in the assets, operations, or affairs of the Federal Register on April 1, 1992 (57 FR AGENCY: Farm Credit Administration institution. Law enforcement agencies 11083), which addresses (FCA). need to receive timely and specific communications with the public during ACTION: Final rule. information from FCS institutions on the rulemaking process. known or suspected criminal violations During the meeting, commenters SUMMARY: The Farm Credit to determine whether investigations and expounded on their written comments. Administration (FCA), by order of the prosecutions are warranted. After the meeting, several attendees FCA Board, issues a final rule amending The Interagency Bank Fraud Working provided written confirmation of the its regulations governing the referral of Group (BFWG) was formed to address meeting discussions. No new known or suspected criminal violations. concerns that financial institutions were substantive comments were made at the The objective of this final regulation is becoming increasingly vulnerable to meeting and, thus, comments made at to promote consistency, efficiencies, insider fraud and prosecutions were not the meeting are not separately described and timeliness by Farm Credit System keeping pace with criminality, and to herein. These follow-up letters and (FCS or System) institutions in promote cooperation toward the goal of minutes of the meeting are retained in reporting, investigating, and aiding in improving the Federal Government's the FCA's rulemaking file and are the prosecution of known or suspected response to white-collar crime in the available for public review. criminal activities. Therefore, the final Nation's federally insured and/or regulation requires System institutions regulated financial institutions. The II. Analysis of Comments to the to notify law enforcement agencies of BFWG consists of the Office of the Reproposed Regulation and FCA known or suspected criminal violations Comptroller of the Currency, the Board Responses that meet certain reporting thresholds. of Governors of the Federal Reserve A. The Need for a New Criminal Generally, a criminal violation must be System, the Federal Deposit Insurance Referral Regulation reported under this part if there is a Corporation, the Office of Thrift reasonable basis to conclude that there Supervision, the National Credit Union Several commenters questioned the was an intent to ``defraud'' a System Administration, the Farm Credit need for a new criminal referral institution and the amount of the actual Administration, the Federal Bureau of regulation and argued that the existing or potential loss meets the reporting Investigation, the U.S. Secret Service, regulation (found in 12 CFR part 617) is thresholds. the Department of Justice, and the U.S. adequate to ensure the proper reporting The final regulation mandates the Department of the Treasury. The of criminal referrals. The FCA disagrees continued use of the FCA Criminal objectives of the BFWG were to facilitate and believes that the existing criminal Referral Form (hereinafter FCA Referral the reporting of criminal activity by referral regulation should be revised Form), which is located in the FCA financial institutions and to enhance the because it is out-of-date and fails to Examination Manual, for making a law enforcement agencies' ability to reflect the arms-length relationship criminal referral. investigate and prosecute the matters between the FCA and the System. DATES: The regulation shall become reported. To accomplish these The existing regulation, first effective upon the expiration of 30 days objectives, the BFWG developed promulgated in 1982, has no minimum after publication during which either or uniform reporting standards and reporting thresholds and requires the both houses of Congress are in session. processes for filing criminal referrals reporting of all criminal violations. Notice of the effective date will be and developed a model regulation. Further, the existing regulation does not published in the Federal Register. Following the BFWG's guidance, the contain procedures adequate to ensure consistent System-wide reporting. A FOR FURTHER INFORMATION CONTACT: FCA proposed a regulation that was 1982 interpretative letter from the FCA Eric Howard, Policy Analyst, Regulation published in the Federal Register on to the President of each Farm Credit Development Division, Office of October 13, 1992 (57 FR 46819). The Bank introduced procedures not Policy Development and Risk Control, comment period for the proposed included in the regulation at part 617. Farm Credit Administration, McLean, regulation amending part 617 closed on The letter indicated that dollar-reporting VA 22102±5090, (703) 883±4498, TDD November 12, 1992. Pursuant to the thresholds could be applied in certain (703) 883±4444, commenters' request, the FCA Board agreed to republish the proposed circumstances and emphasized the or regulation in order to afford the public significant discretion District Bank Jane Virga, Senior Attorney, Legal another opportunity to comment. The counsel had in reviewing cases of Counsel Division, Office of General reproposed regulation was published in suspected violations. At present, some Counsel, Farm Credit Administration, the Federal Register on June 20, 1994 institutions report all violations and McLean, VA 22102±5090, (703) 883± (59 FR 31562). The FCA considered and some follow the 1982 interpretative 4020, TDD (703) 883±4444. addressed all comments to the proposed letter and only report criminal SUPPLEMENTARY INFORMATION: regulation in the reproposed regulation. violations exceeding certain thresholds, Following the reproposal, there were which in some cases is $50,000. This I. Background several requests that FCA staff meet final rule supersedes the guidelines Pursuant to the Farm Credit Act of with the commenters to discuss issues provided in the 1982 interpretative 1971, as amended, the FCA regulates and problems that arise in the area of letter and the existing regulation. The and examines FCS institutions for safety criminal referrals. Commenters believed final rule establishes reporting and soundness and for compliance with that it would provide a better thresholds that all System institutions Federal laws and regulations. Violations opportunity for them to present their must follow. Federal Register / Vol. 62, No. 87 / Tuesday, May 6, 1997 / Rules and Regulations 24563 The existing regulation established criminal referral regulation should from $5,000 to $25,000. This action slightly different procedures for incorporate the core principles of the responds to the commenters' requests reporting violations allegedly model regulation. for higher thresholds. It also is committed by institution personnel and consistent with the BFWG's revised B. Reporting Threshold Limits procedures for reporting violations recommendations on reporting allegedly committed by borrowers. The The dollar amount that would trigger thresholds, which the BFWG raised in existing regulation specifically requires the requirement to make a criminal response to commentary after the model that criminal referrals concerning referral has been a matter of some regulation was first proposed. institution personnel be reported to the controversy. The proposed and The use of uniform reporting Chief Examiner of FCA's Office of reproposed regulation established thresholds will enhance the ability of Examination and that those concerning reporting thresholds of $1,000 and the Federal financial regulatory agencies borrowers be reported to the FCA. The $5,000 for known and unknown and the law enforcement agencies to regulation also specifies that the Chief suspects, respectively, and $0 for detect, investigate, and prosecute Examiner is to refer cases concerning institution personnel. (The term known or suspected criminal activities. criminal law violations by institution ``unknown suspect'' is used where a Therefore, the final regulation personnel to the U.S. Attorney, while criminal violation has occurred but no establishes reporting thresholds of $0 the general counsel of the Farm Credit reasonable basis exists for identifying for institution personnel, $5,000 for district is to refer criminal law the perpetrator.) Although commenters known suspects, and $25,000 for violations by borrowers to the U.S. supported the $0 reporting threshold for unknown suspects. institution personnel, they argued that Attorney and report the referral to the C. Compliance Costs FCA's General Counsel. The final the FCA should adopt higher reporting regulation makes the reporting thresholds for borrowers. The Many of the commenters expressed procedures for institution personnel and commenters' principal objection to the concern about the cost of compliance borrowers the same. It requires $1,000 and $5,000
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