[Federal Register Volume 59, Number 38 (Friday, February 25, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-4215]


[[Page Unknown]]

[Federal Register: February 25, 1994]


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PANAMA CANAL COMMISSION

35 CFR Part 10

RIN 3207-AA33

 

Implementation of the Privacy Act of 1974

AGENCY: Panama Canal Commission.

ACTION: Final rule.

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SUMMARY: On October 19, 1993, the Panama Canal Commission published for 
notice and comment a proposed rule amending 35 CFR part 10, the 
agency's existing Privacy Act regulations, (1) to update Secs. 10.21 
``General Exemptions'' and 10.22 ``Specific Exemptions'' by amending 
alphanumerical designations and titles, deleting obsolete systems and 
more precisely stating the exemptions pursuant to the Privacy Act of 
1974 and OMB Circular A-130, and (2) to exempt two new systems of 
records maintained by the Office of Inspector General (OIG) and one 
existing system which was relocated to OIG (See 58 FR 53897). A notice 
establishing these two new systems of records and the amendment of the 
existing system appeared at 58 FR 53966. The Panama Canal Commission 
did not receive any comments on the proposed rule. Therefore, the 
Panama Canal Commission has exempted these systems of records from 
certain provisions of the Privacy Act.

EFFECTIVE DATE: March 24, 1994.

FOR FURTHER INFORMATION CONTACT:
Mrs. Barbara Fuller, Assistant to the Secretary for Commission Affairs, 
Panama Canal Commission, International Square, 1825 I Street, NW., 
Suite 1050, Washington, DC 20006-5402. Telephone (202) 634-6441.

SUPPLEMENTARY INFORMATION: The Panama Canal Commission has revised 35 
CFR part 10, Secs. 10.21 and 10.22 by updating the number and category 
of exempt systems of records currently maintained by the agency. The 
Customs Division, Police Division and the Probation and Parole Unit of 
the former Canal Zone Government were disestablished in 1982 pursuant 
to the provisions of the Panama Canal Treaty of 1977. Exempt systems of 
records maintained by those units were transferred to the Commission's 
Agency Records Center located in the Republic of Panama and to Federal 
Records Centers in the United States and are no longer actively in use 
or have been destroyed. Pursuant to subsection (1) of the Privacy Act, 
inactive records transferred to records centers continue to be subject 
to the same rules and procedures as active records maintained by the 
agency. Of the active exempt files, several alphanumerical designations 
and system names have been changed due to reorganization or the 
transfer of duties to other departments. These revisions were published 
in 52 FR 49541, Dec. 31, 1987, however, due to administrative oversight 
were not revised in 35 CFR 10.21 and 10.22. The following 
alphanumerical designations have been amended:
    The Office of Financial Management PCC/FMAK-1, ``Claims Files,'' 
was reorganized and portions relocated to the Office of General Counsel 
PCC/GCCL-1, ``Marine Accident/Miscellaneous General Claims,'' the 
investigatory portion of which is exempt, and other portions remained 
in the Office of Financial Management, but redesignated as PCC/FMCL-1 
which is not exempt;
    The Marine Bureau redesignated PCC/MRPA-1 as PCC/MRNA-1; The 
General Services Bureau PCC/GSIS, ``Personnel Security Files,'' were 
relocated to the Office of Personnel Administration and designated as 
PCC/PR-7, ``Personnel Reference Unit Files.''
    The title of the General Services Bureau PCC/GSCP-2, ``Canal 
Protection Division Activity Report Files,'' was amended to ``Canal 
Protection Division Incident Report Files.''
    The Office of Personnel Administration system designated as PCC/PR-
11, ``Minority Group Designator Records'' has been deleted because the 
Government-wide OPM/GOVT-7, ``Applicant Race, Sex, National Origin, and 
Disability Status Records'' is applicable to this system. Likewise, the 
Personnel Board system designated as PCC/PB-1, ``Merit System 
Recruiting, Examining and Placement Records'' has been deleted because 
the Government-wide OPM/GOVT-5, ``Recruiting, Examination and Placement 
Records is applicable to this system.
    The following active and inactive systems have been destroyed and 
are hereby removed:

PCC/AMSE-2, Cardex file Contraband Violations;
PCC/CALS, Driver's License Investigatory File;
PCC/GSPL-5, Prisoner Record Cards;
PCC/GSPL-8, Pending Detective Investigation Records;
PCC/GSPL-9, Informant Name File;
PCC/GSPL-12, Youth Unit Name Index File;
PCC/OM-1, Ombudsman Investigation Files.

    The Inspector General has determined that the existing ``Cash Audit 
Files'' system of records is in need of updating due to its relocation 
to the Office of Inspector General. The alphanumerical designation has 
changed from PCC/GA-1 to PCC/OIG-3. In addition, all references to the 
Office of General Audit have been changed to Office of Inspector 
General and references to General Auditor have been changed to 
Inspector General.
    The Inspector General has also undertaken an internal review of its 
compliance with the Privacy Act and has determined that two new systems 
of records are necessary in order to account for information maintained 
about individuals. These new systems are exempt from certain provisions 
of the Privacy Act under subsections (j) or (k).
    In the process of reviewing the proposed rule published on October 
19, 1993, (58 FR 53897) an editorial error listing exemption (i) of 5 
U.S.C. 552a was noticed. This oversight has been corrected and 
exemption (i) has been removed.
    Since the Commission has been exempted from Executive Order 12866, 
the provisions of that Order do not apply for this rule. Even if that 
were the case, this rule would not have a significant economic impact 
on a substantial number of small entities under the Regulatory 
Flexibility Act.
    The Administrator has certified to the Office of Management and 
Budget that these changes in regulations meet the applicable standards 
provided in section 2 of Executive Order 12778.
    Finally, the rule does not impose any new information collection 
requirements within the Paperwork Reduction Act.

List of Subjects in 35 CFR Part 10

    Privacy.

    Accordingly, 35 CFR Part 10 is amended as follows:
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PART 10--ACCESS TO INFORMATION ABOUT INDIVIDUALS

    1. The authority citation for part 10 continues to read as follows:

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

    2. Section 10.21 is revised to read as follows:


Sec. 10.21  General exemptions.

    (a) The following systems of records are eligible for exemption 
under 5 U.S.C. 552a(j)(2) because each system is maintained by a 
component of the agency, or subcomponent, which performs as its 
principal function the enforcement of criminal laws, and which contains 
investigatory material compiled for criminal law enforcement purposes. 
Accordingly, these systems are exempt from the following sections of 
552a of 5 U.S.C.: (c) (3) and (4); (d); (e) (1), (2) and (3); (e)(4) 
(G) and (H); (e) (5); (e)(8); (f); (g); and (h).
    (1) PCC/GSCP-2, Canal Protection Division Incident Report Files;
    (2) PCC/OIG-1, Investigative Files of the Office of Inspector 
General;
    (3) PCC/OIG-2, Allegation/Complaint Files of the Office of 
Inspector General;
    (4) PCC/OIG-3, Cash Audit Files.
    (b) The systems of records listed below, although no longer 
actively in use, continue to be subject to general exemption pursuant 
to 5 U.S.C. 552a(j)(2) because they were compiled by a component, or 
subcomponent, of the agency which performed as its principal function 
the enforcement of criminal laws, and which contain investigatory 
material compiled for criminal law enforcement purposes. Accordingly, 
the following systems of records are exempt from subsections (c)(3) and 
(4); (d); (e)(1), (2) and (3); (e)(4) (G) and (H); (e)(5); (e)(8); (f); 
(g); and (h) of 5 U.S.C. 552a:
    (1) PCC/AEPR-1, Probation and Parole Unit Child Custody Reports;
    (2) PCC/AEPR-2, Presentence and Preparole Investigation Reports;
    (3) PCC/AEPR-3, Probation and Parole Unit Statistical File;
    (4) PCC/GSPL-1, Law Enforcement Case Report File;
    (5) PCC/GSPL-2, Police Headquarters Confidential File;
    (6) PCC/GSPL-3, Detective Confidential Files;
    (7) PCC/GSPL-4, Convict Files;
    (8) PCC/GSPL-6, Police Photo Files;
    (9) PCC/GSPL-7, Fingerprint File;
    (10) PCC/GSPL-10, Master Name File;
    (c) Exemptions from the particular subsections are justified for 
the following reasons:
    (1) From (c)(3) because release of an accounting of disclosures to 
an individual who is the subject of an investigation could reveal the 
nature and scope of the investigation and could result in the altering 
or destruction of evidence, improper influencing of witnesses and other 
evasive action that could impede or compromise the investigation.
    (2) From (c)(4) because this subsection is inapplicable to the 
extent that an exemption is being claimed for subsection (d).
    (3) From subsection (d) because access to the records contained in 
these systems would inform the subject of a criminal or civil 
investigation, matter or case of the existence of such, and provide the 
subject with information that might enable him or her to avoid 
detection, apprehension or legal obligations, and present a serious 
impediment to law enforcement and other civil remedies. Amendment of 
the records would impose an impossible administrative burden by 
requiring investigations to be continuously reinvestigated.
    (4) From subsection (e)(1) because it is often impossible to 
determine relevance or necessity of information in the early stages of 
an investigation. The value of such information is a question of 
judgment and timing; what appears relevant and necessary when collected 
may ultimately be evaluated and viewed as irrelevant and unnecessary to 
an investigation. In addition, information may be obtained concerning 
the violation of laws other than those within the scope of its 
jurisdiction. In the interest of effective law enforcement, information 
should be retained because it may aid in establishing patterns of 
unlawful activity and provide leads for other law enforcement agencies. 
Further, in obtaining evidence during an investigation, information may 
be provided which relates to matters incidental to the main purpose of 
the investigation but which may be pertinent to the investigative 
jurisdiction of another agency. Such information cannot readily be 
identified.
    (5) From subsection (e)(2) because in a law enforcement 
investigation it is usually counterproductive to collect information to 
the greatest extent practicable directly from the subject thereof. It 
is not always feasible to rely upon the subject of an investigation as 
a source for information which may implicate him or her in illegal 
activities. In addition, collecting information directly from the 
subject could seriously compromise an investigation by prematurely 
revealing its nature and scope, or could provide the subject with an 
opportunity to conceal criminal activities, or intimidate potential 
sources, in order to avoid apprehension.
    (6) From subsection (e)(3) because providing such notice to the 
subject of an investigation, or to other individual sources, could 
seriously compromise the investigation by prematurely revealing its 
nature and scope, or could inhibit cooperation, or permit the subject 
to evade apprehension.
    (7) From (e)(4) (G) and (H); (f); (g); and (h) because these 
provisions concern an individual's access to records which concern him 
and such access to records in this system would compromise 
investigations, reveal investigatory techniques and confidential 
informants, and invade the privacy of private citizens who provide 
information in connection with a particular investigation.
    (8) From subsection (e)(5) because in the collection of information 
for law enforcement purposes it is impossible to determine what 
information is accurate, relevant, timely, and complete. With the 
passage of time, seemingly irrelevant or untimely information may 
acquire new significance as further investigation brings new details to 
light and the accuracy of such information can only be determined in a 
court of law. The restrictions of subsection (e)(5) would restrict the 
ability of trained investigators to exercise their judgment in 
reporting on investigations and impede the development of information 
necessary for effective law enforcement.
    (9) From subsection (e)(8) because the application of this 
provision could prematurely reveal an ongoing criminal investigation to 
the subject of the investigation and could reveal investigative 
techniques, procedures or evidence.

    3. Section 10.22 is revised to read as follows:


Sec. 10.22  Specific exemptions.

    (a) The following systems of records are eligible for exemption 
under 5 U.S.C. 552a(k)(2) because they contain investigatory material 
compiled for law enforcement purposes, other than material within the 
scope of subsection (j)(2) of 5 U.S.C. 552a. Provided, however, that if 
any individual is denied any right, privilege or benefit that 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 identify of the source would be held in 
confidence, or prior to January 1, 1975, under an implied promise that 
the identity of the source would be held in confidence. Accordingly, 
the following systems of records are exempt from (c)(3); (d); (e)(1); 
(e)(4) (G) and (H); (f); (g); and (h) of 5 U.S.C. 552a.
    (1) PCC/GSCP-2, Canal Protection Division Incident Report Files;
    (2) PCC/OIG-1, Investigative Files of the Office of Inspector 
General;
    (3) PCC/OIG-2, Allegation/Complaint Files of the Office of 
Inspector General;
    (4) PCC/OIG-3, Cash Audit Files.
    (5) PCC/FMAC-1, Embezzlements, Burglaries, and Cash Shortages;
    (6) PCC/EO-2, Equal Employment Opportunity Complaint File;
    (7) PCC/GCCL-1, Marine Accident/Miscellaneous General Claims Files;
    (8) PCC/GSCS-2, Housing Complaints Files;
    (9) PCC/GSCX-1, Administrative Reports, Transfer of Custody and 
Official Complaint Files.
    (10) PCC/AEPR-1, Probation and Parole Unit Child Custody Reports;
    (11) PCC/AEPR-2, Presentence and Preparole Investigation Reports;
    (12) PCC/AEPR-3, Probation and Parole Unit Statistical File;
    (13) PCC/CAPS-2, Case Investigations;
    (14) PCC/GSPL-1, Law Enforcement Case Report Files;
    (15) PCC/GSPL-2, Police Headquarters Confidential File;
    (16) PCC/GSPL-3, Detective Confidential Files;
    (17) PCC/GSPL-4, Convict Files;
    (18) PCC/GSPL-6, Police Photo Files;
    (19) PCC/GSPL-7, Fingerprint File;
    (20) PCC/GSPL-10, Master Name File;
    (21) PCC/CZG-HL-2, Medical Administration System.
    (b) Exemptions from the particular subsections are justified for 
the following reasons:
    (1) From subsection (c)(3) because the release of the accounting of 
disclosures would permit the subject of a criminal investigation and/or 
civil case or matter under investigation, in litigation, or under 
regulatory or administrative review or action to obtain valuable 
information concerning the nature of that investigation, case or matter 
and present a serious impediment to law enforcement or civil legal 
activities.
    (2) From (d); (e)(4) (G) and (H); (f); (g); and (h) because these 
provisions concern an individual's access to records which concern him 
and such access to records in this system would compromise 
investigations, reveal investigatory techniques and confidential 
informants, and invade the privacy of private citizens who provide 
information in connection with a particular investigation.
    (3) From subsection (e)(1) because it is often impossible to 
determine relevancy or necessity of information in the early stages of 
an investigation. The value of such information is a question of 
judgment and timing; what appears relevant and necessary when collected 
may ultimately be evaluated and viewed as irrelevant and unnecessary to 
an investigation. In addition, information may be obtained concerning 
the violation of laws other than those within the scope of its 
jurisdiction. In the interest of effective law enforcement, this 
information should be retained because it may aid in establishing 
patterns of unlawful activity and provide leads for other law 
enforcement agencies. Further, in obtaining evidence during an 
investigation, information may be provided which relates to matters 
incidental to the main purpose of the investigation but which may be 
pertinent to the investigative jurisdiction of another agency. Such 
information cannot readily be identified.
    (c) The following systems of records are eligible for exemption 
under 5 U.S.C. 552a(k)(5) because they contain investigatory material 
compiled solely for the purpose of determining suitability, eligibility 
or qualifications for Federal civilian employment, military service, 
Federal contracts, or access to classified information, but only 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 January 1, 1975, under an implied promise that 
the identity of the source would be held in confidence. Accordingly, 
these systems of records are exempt from 5 U.S.C. 552a(c)(3) and (d).
    (1) PCC/FMAC-1, Embezzlements, Burglaries, and Cash Shortages;
    (2) PCC/PB-2, Appeals, Grievances, Complaints and Assistance 
Records;
    (3) PCC/PB-3, Personnel Investigation Records;
    (4) PCC/PR-5, Recruiting and Placement Records;
    (5) PCC/PR-7, Personnel Reference Unit Files.
    (6) PCC/OIG-1, Investigative Files of the Office of Inspector 
General;
    (7) PCC/OIG-2, Allegation/Complaint Files of the Office of 
Inspector General;
    (8) PCC/OIG-3, Cash Audit Files.
    (d) Exemptions from the particular subsections are justified for 
the following reasons:
    (1) From (c)(3) because release of an accounting of disclosure to 
an individual who is the subject of an investigation could compromise 
the investigation.
    (2) From (d) because access to or amendment of records in these 
systems would reveal the identity(ies) of the source(s) of information 
collected in the course of a background investigation. Such knowledge 
might violate the explicit or implicit promise of confidentiality made 
to the source during the investigation or constitute an unwarranted 
invasion of the personal privacy of third parties, or reveal sensitive 
investigative techniques and procedures. Such breaches could restrict 
the free flow of information vital to a determination of a candidate's 
qualifications and suitability.
    (e) The following systems of records are eligible for exemption 
under 5 U.S.C. 552a (k)(6) because they contain testing or examination 
material used solely to determine individual qualifications for 
appointment or promotion in the Federal service, the disclosure of 
which would compromise the objectivity or fairness of the testing or 
examination process. Accordingly, these systems of records are exempt 
from 5 U.S.C. 552a(d).
    (1) PCC/CZG/BRAE-1, Canal Zone Board of Registration for Architects 
and Professional Engineers Reference Files;
    (2) PCC/MRBL-1, Marine License Files;
    (3) PCC/MRNA-1, Admeasurer Examination File;
    (f) Exemptions from the particular subsections are justified for 
the following reasons:
    (1) The exemption from (d) is justified because portions of records 
in these systems relate to testing or examining materials and are used 
solely to determine individual qualifications for appointment or 
promotion in the Federal service. Access to or amendment of this 
information would compromise the objectivity and fairness of the 
testing or examining process.

    Dated: February 4, 1994.
Gilberto Guardia F.,
Administrator.
[FR Doc. 94-4215 Filed 2-24-94; 8:45 am]
BILLING CODE 3640-04-M