[Federal Register Volume 62, Number 235 (Monday, December 8, 1997)]
[Notices]
[Pages 64620-64621]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-32061]


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DEPARTMENT OF TRANSPORTATION


Privacy Act of 1974; Notice To Add a System of Records

AGENCY: Operating Administrations, Department of Transportation (DOT).

ACTION: Notice.

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SUMMARY: The Department of Transportation is proposing to add a system 
of records to its inventory of system of records notices subject to the 
Privacy Act of 1974 (5 U.S.C. 552a), as amended.

EFFECTIVE DATE: January 20, 1998.

FOR FURTHER INFORMATION CONTACT: Crystal M. Bush at (202) 366-9713 
(Telephone), (202) 366-7066 (Fax), [email protected] (Internet 
Address).

SUPPLEMENTARY INFORMATION: The purpose is to establish a system of 
records to collect and manage the data needed to provide a nationwide 
pool of vessel and vessel owner information that will help in 
identification and recovery of stolen vessels and deter vessel theft 
and fraud.
    The new system of records report, as required by 5 U.S.C. 552a(r) 
of the Privacy Act of 1974, as amended, was submitted on December 2, 
1997 to the Committee on Government Reform and Oversight of the House 
of Representatives, the Committee on Governmental Affairs of the 
Senate, and the Office of Management and Budget.
DOT/CG 590

SYSTEM NAME:
    Vessel Identification System (VIS).

SECURITY CLASSIFICATION:
    VIS is unclassified, sensitive.

SYSTEM LOCATION:
    United States Coast Guard (USCG), Operations Systems Center, 175 
Murrall Drive, Martinsburg, WV 25401.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals with established relationship(s)/association to vessels 
that are state-numbered and/or titled and U.S. Coast Guard-documented, 
and that are included in the Vessel Identification System (VIS). 
Specifically, owners or agents of such vessels, as well as lienholders.

CATEGORIES OF RECORDS IN THE SYSTEM:
    a. Records containing vessel identification information and vessel 
characteristics on state-numbered and/or titled vessels or Coast Guard-
documented vessels including: vessel name (if Coast Guard-documented), 
make of vessel or name of vessel builder, manufacturer year/year vessel 
built, vessel model year, title number, Coast Guard official number, 
certificate of number assigned by the state including expiration date, 
hull identification number, length of vessel, type of vessel, hull 
type, propulsion type, fuel type, primary use, endorsements (if Coast 
Guard documented), and hailing port name endorsements (if Coast Guard 
documented).
    b. Records containing personal information including: name of each 
owner, address of principal place of residence of at least one owner, 
mailing address if different than the principal place of residence, and 
either an owner's social security number, date of birth and driver's 
license number, or other individual identifier. If a vessel owner is a 
business, the business address and taxpayer identification number will 
be included.
    c. Records containing lienholder and insurance information 
including: name of lienholder, and city and state of principal place of 
residence or business of each lienholder.
    d. Records containing law enforcement information including: law 
enforcement status code (stolen, recovered, lost, destroyed, or 
abandoned), law enforcement hold, reporting agency, originating case 
number, National Crime Information Center (NCIC) number, VIS user 
identification, incident location, last sighted date/time/location, law 
enforcement contact and phone number, and hours of operations.
    e. Records containing vessel registration information including: 
registration and, if applicable title number including effective and 
expiration date, issuing authority, and, for Coast Guard documented 
vessels, the official number.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    46 U.S.C. 12501-07.

PURPOSE(S):
    The primary purpose of VIS is to provide a nationwide pool of 
state-numbered and/or titled and U.S. Coast Guard-documented vessels 
that will assist in identification and recovery of stolen vessels, 
deter vessel theft and fraud, and other purposes relating to the 
ownership of vessels.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    a. Federal, state and local law enforcement officials for law 
enforcement purposes including the recovery and return of stolen 
property and to deter vessel theft and fraud.
    b. Federal and state numbering and titling officials for the 
purposes of tracking, registering and titling vessels.
    c. National Crime Information Center data contained in VIS will 
only be released to National Crime Information Center authorized users.
    d. Disclosure may be made to agency contractors who have been 
engaged to assist the agency in the performance of a contract service 
or other activity related to this system of records and who need to 
have access to the records in order to perform the activity. Recipients 
shall be required to comply with the requirements of the Privacy Act of 
1974, as amended, 5 U.S.C. 552a.
    e. See DOT Prefatory Statement of General Routine Uses.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    Not applicable.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Storage of all records is in an automated database operated and 
maintained by the U.S. Coast Guard.

RETRIEVABILITY:
    Records are retrieved by:
    a. Vessel hull identification number (HIN).
    b. State certificate of number.
    c. Title number.
    d. U.S. Coast Guard official number.
    e. USCG vessel name and hailing port.
    f. Vessel owner or business name.
    g. Vessel owner's social security number or alternate identifier 
(e.g., DOB, driver's license number, or taxpayer identification 
number).

SAFEGUARDS:
    The VIS falls under the guidelines of the United States Coast Guard 
Operations System Center (OSC) in Martinsburg, WV. This computer 
facility has its own approved System Security Plan, which provides 
that:
    a. The system will be maintained in a secure computer room with 
access restricted to authorized personnel only.
    b. Access to the building must be authorized and is limited.
    c. VIS will support different access levels for fields in the same 
record. These levels will allow different classes

[[Page 64621]]

of users access to specific information as governed by Federal privacy 
laws.
    d. VIS will control access by requiring that users provide a valid 
account name and password. VIS will contain a function that tracks 
system usage for other authorized users (i.e., non-participating 
states, commercial institutions, and private individuals). VIS will 
require users to change access control identifiers at six month 
intervals.
    The U.S. Coast Guard will operate the VIS in consonance with 
Federal security regulations, policy, procedures, standards and 
guidance for implementing the Automated Information Systems Security 
Program.
    e. Only authorized DOT personnel and authorized U.S. Government 
contractors conducting system maintenance may access VIS records.
    f. Access to records are password protected and the scope of access 
for each password is limited to the official need of each individual 
authorized access.
    g. Additional protection is afforded by the use of password 
security, data encryption, and the use of a secure network, National 
Law Enforcement Telecommunications System (NLETS).

Retention and disposal:
    a. Records of active cases will be retained until they become 
inactive; inactive cases will be archived and retained for 50 years. 
Records will be selected to be archived into an off-line file for any 
vessel that has been inactive for a period of 10 years. A vessel is 
inactive when the State number and/or Coast Guard Document have expired 
with the exception of the vessels that have a law enforcement hold and 
vessels with a law enforcement status of stolen.
    b. Daily backups shall be performed automatically. The backups will 
be comprised of weekly full backups followed by daily incremental 
backups; a log of transactions is maintained daily for recovery 
purposes.
    c. Copies of backups are stored at an off-site location.

System manager(s) and address:
    Department of Transportation, United States Coast Guard 
Headquarters, Information Resource Division, System Development 
Division (G-MRI-3), 2100 2nd Street, SW, Washington, DC 20593-0001.

Notification procedure:
    Submit a written request noting the information desired and for 
what purpose the information will be used. The request must be signed 
by the individual or his/her legal representative. Send the request to: 
USCG Headquarters, Commandant (G-SII), 2100 2nd Street, SW., 
Washington, DC 20593-0001.

Record access procedures:
    Same as Notification Procedures.

Contesting record procedures:
    Same as Notification Procedures.

Record source categories:
    All information entered into the VIS is gathered from participating 
states and the National Crime Information Center (NCIC) in the course 
of normal routine business. VIS information will be accessible through 
the Coast Guard Data Network (CGDN), National Law Enforcement 
Telecommunications System (NLETS), the Internet, and dial-up modem. VIS 
shall also interface with the Coast Guard's existing Merchant Vessel 
Documentation System (MVDS) DOT/CG 591 to provide participating states 
with information on USCG documented vessels and interface with the 
Motorboat Registration System to provide participating states with 
information on vessels registered by the Coast Guard for the state of 
Alaska.

Exemptions claimed for the system:
    Portions of this system of records may be exempt from disclosure 
under the provisions of 5 U.S.C. 552a(k)(2). However, in specific cases 
where maintenance of information results in the denial of a right, 
privileges or benefits to which the individual is entitled, the 
information will be released in accordance with section (k)(2). This 
provides in part that material compiled for law enforcement purposes 
may be withheld from disclosure to the extent the identity of the 
source of the information would be revealed by disclosing the 
investigatory record, and the source has received an express promise 
that his/her identity would be held in confidence. Additionally, 
material received prior to 27 September 1974 will be withheld, if the 
source received an implied promise that his/her identity would be held 
in confidence.

    Dated: November 19, 1997.
Eugene K. Taylor, Jr.,
Director, Information Resource Management, Department of 
Transportation.
[FR Doc. 97-32061 Filed 12-5-97; 8:45 am]
BILLING CODE 4910-62-P