[Federal Register Volume 59, Number 29 (Friday, February 11, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-3216]


[[Page Unknown]]

[Federal Register: February 11, 1994]


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FEDERAL MARITIME COMMISSION

 

Privacy Act of 1974; Proposed Altered Systems of Records

AGENCY: Federal Maritime Commission.

ACTION: Notice of proposed altered systems of records.

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SUMMARY: This Notice proposes the amendment of various systems of 
records maintained by the Commission. The amendments reflect changes in 
various system locations, changes in categories of records contained in 
the investigative records and inspector general systems, additions to 
routine uses in the inspector general system and adoption of additional 
exemptions for various systems.

DATES: Comments must be submitted on or before March 14, 1994. The 
alterations will be effective on March 23, 1994, unless comments are 
received that would result in a contrary determination.

ADDRESSES: Comments may be submitted to: Joseph C. Polking, Secretary, 
Federal Maritime Commission, 800 N. Capitol Street, NW., Washington, DC 
20573-0001 (202) 523-5725.

FOR FURTHER INFORMATION CONTACT: Joseph C. Polking, (202) 523-5725.

SUPPLEMENTARY INFORMATION: Notice is given that, pursuant to the 
Privacy Act of 1974, 5 U.S.C. 552a, the Commission proposes to amend 
various systems of records as described herein. The Commission's latest 
prior publication updating its systems of records was on December 26, 
1989 (54 FR 52996).
    Included in the amendments is a proposal to invoke additional 
exemptions regarding systems containing investigatory records. A 
proposed rulemaking to adopt the additional exemptions is being 
published simultaneously with this notice.
    Additional amendments proposed herein reflect changes in various 
system locations, changes in categories of records contained in the 
investigative records and inspector general systems, and additions to 
the routine uses in the inspector general system.
    The Commission's systems of records are proposed to be amended as 
follows.
    1. In each Commission system of records, the street address of the 
Federal Maritime Commission headquarters is amended to read 800 North 
Capitol Street NW, wherever it appears under the provisions designated 
``System location,'' ``System manager and address,'' and ``Notification 
procedure.''
    2. In Commission system of records designated FMC-23--Parking 
Applications, the authority provision is revised to read:

FMC-23

* * * * *
    Federal Property Management Regulations section 101-20-104.
* * * * *

FMC-30  [Amended]

    3. In Commission system of records designated FMC-30 - Procurement 
Integrity Certification Files - FMC the system location is amended to 
read ``Office of the Managing Director'' and the system manager is 
amended to read ``Deputy Managing Director.''
    4. In the Commission's system of records designated FMC-1 - 
Personnel Security File, the exemption provision is revised to read as 
follows:

FMC-1

* * * * *
    All information about individuals that meets the criteria of 5 
U.S.C. 552a(k)(5), regarding suitability, eligibility or qualifications 
for Federal civilian employment or for access to classified 
information, to the extent that disclosure would reveal the identity of 
a source who furnished information to the Commission under a promise of 
confidentiality is exempt from the provisions of 5 U.S.C. 552a(c)(3), 
(d), (e)(1), (e)(4)(G), (H), and (I), and (f). Exemption is required to 
honor promises of confidentiality.
* * * * *
    5. In the Commission's systems of records designated FMC-7 - 
Personnel Security File and FMC-24 - Informal Inquiries and Complaints 
File, the exemption provisions are revised to read as follows:

FMC-7 and FMC-24

* * * * *
    All information that meets the criteria of 5 U.S.C. 552a(k)(2) 
regarding investigatory materials compiled for law enforcement purposes 
is exempt from the provisions of 5 U.S.C. 552a(c)(3), (d), (e)(1), 
(e)(4)(G), (H), and (I), and (f). Exemption is appropriate to avoid 
compromise of ongoing investigations, disclosure of the identity of 
confidential sources and unwarranted invasions of personal privacy of 
third parties.
* * * * *
    6. In the Commission's system of records designated FMC-26 - 
Administrative Grievance File, the exemption provision is revised to 
read as follows:

FMC-26

* * * * *
    All information that meets the criteria of 5 U.S.C. 552a(k)(2) 
regarding investigatory materials compiled for law enforcement purposes 
is exempt from the provisions of 5 U.S.C. 552a(c)(3), (d), (e)(1), 
(e)(4)(G), (H), and (I), and (f). Exemption is appropriate to avoid 
compromise of ongoing investigations, disclosure of the identity of 
confidential sources and unwarranted invasions of personal privacy of 
third parties.
    All information about individuals that meets the criteria of 5 
U.S.C. 552a(k)(5), regarding suitability, eligibility or qualifications 
for Federal civilian employment or for access to classified 
information, to the extent that disclosure would reveal the identity of 
a source who furnished information to the Commission under a promise of 
confidentiality is exempt from the provisions of 5 U.S.C. 552a(c)(3), 
(d), (e)(1), (e)(4)(G), (H), and (I), and (f). Exemption is required to 
honor promises of confidentiality.

    7. In the Commission's system of records designated FMC-22 - 
Investigatory Files, the Appendix is removed and certain provisions are 
revised to read as follows:

FMC-22

    Investigative Records Information System--FMC.
    Bureau of Investigations, Federal Maritime Commission, 800 N. 
Capitol Street, NW., Washington, DC 20573.

New York District--Director, New York District, Federal Maritime 
Commission, 6 World Trade Center, Suite 614, New York, New York 10048-
0949.
Miami District--Director, Miami District, Federal Maritime Commission, 
18441 N.W. 2nd Avenue, Suite 302, Miami, Florida 33169.
Puerto Rico District--Director, Puerto Rico District, Federal Maritime 
Commission, U.S. District Courthouse, Federal Office Building, Room 
762, 150 Carlos Chardon Avenue, Hato Rey, Puerto Rico 00918-1735.
New Orleans District--Director, New Orleans District, Federal Maritime 
Commission, 1 Canal Place Tower, 365 Canal Street, Suite 2260, New 
Orleans, Louisiana 70130-1134.
Houston District--Director, Houston District, Federal Maritime 
Commission, 14950 Heathrow Forest Parkway, Suite 110, Houston, Texas 
77032-3842.
Los Angeles District--Director, Los Angeles District, Federal Maritime 
Commission, 11 Golden Shore, Suite 270, Long Beach, California 90802.
San Francisco District--Director, San Francisco District, Federal 
Maritime Commission, 525 Market Street, Suite 3510, San Francisco, 
California 94105-2743.
    Individuals whose names may be found in the system include 
employees, officers, directors, and owners of ocean common carriers, 
non-vessel operating common carriers, ocean freight forwarders, 
passenger vessel operators, ports and terminal operators, shippers, 
consignees, conferences and agreements between ocean common carriers, 
and other entities associated with any of the foregoing. Included are 
individuals alleged to have violated one of the statutes or regulations 
administered by the Federal Maritime Commission, individuals who 
provided information during an investigation, and others necessary to 
the full development of an investigation. Not included are attorneys, 
government officials, Federal Maritime Commission employees, or 
individuals only incidentally involved in an investigation.
    The Investigative Records Information System includes records on 
individuals involved in official investigations conducted by the Bureau 
of Investigations, fact finding and formal proceedings instituted by 
the Federal Maritime Commission, court proceedings, and civil and 
criminal investigations conducted in association with other government 
agencies. Investigations include investigations of alleged violations 
of the statutes or regulations administered by the Commission, freight 
forwarder application inquiries, freight forwarder application checks, 
freight forwarder compliance checks, service contract audits, common 
carrier audits, passenger vessel audits, special inquiries, undeveloped 
leads, intelligence activities, and other matters authorized by the 
Bureau of Investigations.
    The Investigative Records Information System includes all files and 
records of the Bureau, wherever located. The system also includes 
reports or other information from other government agencies, shipping 
and commercial records, investigative work product, notes of 
interviews, documents obtained from any source, schedules of data, 
investigative plans and directives, disclosures, settlement agreements, 
and any other records prepared in conjunction with a case including 
information which tends to explain, interpret, or substantiate any of 
the above. The system also includes indices of these records, tracking 
systems, and listings of information otherwise included within the 
system.
    The Investigative Records Information System contains information 
in electronic and paper media. Information within the system may be 
stored in files or data bases by specific subject or in general 
groupings. The information remains within the system through analysis, 
research, corroboration, field investigation, reporting, and referral 
within the Commission or to another government agency. Information 
remains within the system whether a case is open or closed or the 
matter becomes inactive. Information also remains within the system 
when records are retired to storage or are otherwise purged pursuant to 
the requirements of the General Records Schedule.
    Shipping Act of 1984, Intercoastal Shipping Act, 1933, and Shipping 
Act, 1916 (46 U.S.C. app. 1701, 843, and 801).
* * * * *
    All information that meets the criteria of 5 U.S.C. 552a(k)(2) 
regarding investigatory materials compiled for law enforcement purposes 
is exempt from the provisions of 5 U.S.C. 552a(c)(3), (d), (e)(1), 
(e)(4)(G), (H), and (I), and (f). Exemption is appropriate to avoid 
compromise of ongoing investigations, disclosure of the identity of 
confidential sources and unwarranted invasions of personal privacy of 
third parties.
    8. In Commission system of records FMC-25 Inspector General File--
FMC, various provisions are revised and new routine uses are added 
reading as follows:

FMC-25

    Inspector General File.
    Office of The Inspector General, Federal Maritime Commission, 800 
North Capitol Street, N.W. Washington, DC 20573-0001.
    Individuals and entities who are or have been the subjects of 
investigations conducted by the OIG, including present and former FMC 
employees; consultants, contractors, and subcontractors and their 
employees; and other individuals and entities doing business with the 
FMC.

A. Investigative Case Files

    1. Case Index. Selected information from each case file indexed by 
case file number, and case title which may include names of subjects of 
investigations.
    2. Hard Copy Files. Case files developed during investigations of 
known or alleged fraud and abuse and irregularities and violations of 
laws and regulations. Cases relate to agency personnel and programs and 
operations administered by the agency, including contractors and others 
having a relationship with the agency. Files consist of investigative 
reports and related documents, such as correspondence, internal staff 
memoranda, copies of all subpoenas issued during the investigation, 
affidavits, statements from witnesses, transcripts of testimony taken 
in the investigation and accompanying exhibits, notes, attachments, and 
working papers. Files containing information or allegations which are 
of an investigative nature but do not relate to a specific 
investigation.

B. Hotline Complaints

    1. Hotline Index. Selected information from each hotline complaint 
file indexed by hotline case number and title which may include names 
of subject of hotline complaint.
    2. Hard Copy Files. Information obtained from hotline complainants 
reporting indications of waste, fraud, and mismanagement. Specific 
information to include name and address of complainant, date complaint 
received, program area, nature and subject of complaint, and any 
additional contacts and specific information provided by the 
complainant. Information on OIG disposition.
* * * * *
* * * * *
    H. A record may be disclosed to a grand jury agent pursuant either 
to a federal or state grand jury subpoena or to a prosecution request 
that such record be released for the purpose of its introduction to a 
grand jury.
    I. A record may be disclosed to a ``consumer reporting agency'' as 
that term is defined in the Fair Credit Reporting Act and the Federal 
Claims Collection Act of 1966 in accordance with section 3711(f) of 31 
U.S.C. and for the purposes of obtaining information in the course of 
an investigation or audit.
    The investigative case index and the hotline case index are stored 
on a hard disk on a personal computer. The hard copy files are stored 
in file folders. All records are stored under secured conditions.
    Records in the investigative and hotline case index are retrieved 
by case title which may include the name of the subject of an 
investigation and by case number. Records in the hard copy files are 
retrieved by case numbers.
* * * * *
    1. Files containing information or allegations which are of an 
investigative nature but do not relate to a specific investigation are 
retained for five years.
    2. Other investigative case files are retained for ten years.
    Inspector General, Office of The Inspector General, Federal 
Maritime Commission, Room 1072, 800 North Capitol Street, N.W., 
Washington, DC 20573-0001.
    All inquiries regarding this system of records should be addressed 
to: Secretary, Federal Maritime Commission, 800 North Capitol Street, 
NW, Washington, DC 20573-0001. However, see Exemption section below.
* * * * *
    All information that meets the criteria of 5 U.S.C. 552a(k)(2) 
regarding investigatory materials compiled for law enforcement purposes 
is exempt from the provisions of 5 U.S.C. 552a(c)(3), (d), (e)(1), 
(e)(4)(G), (H), and (I), and (f). Exemption is appropriate to avoid 
compromise of ongoing investigations, disclosure of the identity of 
confidential sources and unwarranted invasions of personal privacy of 
third parties.
    All information about individuals that meets the criteria of 5 
U.S.C. 552a(k)(5), regarding suitability, eligibility or qualifications 
for Federal civilian employment or for access to classified 
information, to the extent that disclosure would reveal the identity of 
a source who furnished information to the Commission under a promise of 
confidentiality is exempt from the provisions of 5 U.S.C. 552a(c)(3), 
(d), (e)(1), (e)(4)(G), (H), and (I), and (f). Exemption is required to 
honor promises of confidentiality.
    All information meeting the criteria of 5 U.S.C. 552a(j)(2) 
pertaining to the enforcement of criminal laws is exempt from the 
provisions of 5 U.S.C. 552a, except subsections (b), (c)(1) and (2), 
(e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11), and (i). 
Exemption is appropriate to avoid compromise of ongoing investigations, 
disclosure of the identity of confidential sources and unwarranted 
invasions of personal privacy of third parties.
    Interested parties may participate by filing with the Secretary, 
Federal Maritime Commission, an original and 15 copies of their views 
and comments pertaining to this notice. All suggestions for changes in 
the text should be accompanied by drafts of the language thought 
necessary to accomplish the desired changes and should be accompanied 
by supportive statements and arguments. An altered systems report for 
major changes contained herein has been filed.

    By the Commission.
Joseph C. Polking,
Secretary.
[FR Doc. 94-3216 Filed 2-10-94; 8:45 am]
BILLING CODE 6730-01-P