[Federal Register Volume 81, Number 131 (Friday, July 8, 2016)]
[Notices]
[Pages 44593-44596]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-16171]


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DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration

[Docket No. 160606490-6490-01]


Privacy Act of 1974; System of Records

AGENCY: National Oceanic and Atmospheric Administration, U.S Department 
of Commerce.

ACTION: Notice of a New Privacy Act System of Records: COMMERCE/NOAA-
21, Financial Systems Division.

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SUMMARY: This notice announces the Department of Commerce's 
(Department's) proposal for a new system of records under the Privacy 
Act. The National Oceanic and Atmospheric Administration's (NOAA's) 
National Marine Fisheries Service (NMFS) is creating a new system of 
records for the Financial Services Division's financial assistance 
programs. Information will be collected from individuals and businesses 
under the authority of title XI of the Merchant Marine Act of 1936, as 
amended and codified, and the Magnuson-Stevens Fishery Conservation and 
Management Act, as amended. This new record system is necessary to 
determine whether applicants for program financing, Fishermen's 
Contingency claims, or participants in Capital Construction Fund 
accounts or Fishery Capacity Reduction programs are eligible and are 
creditworthy.

DATES: To be considered, written comments must be submitted on or 
before August 8, 2016. Unless comments are received, the new system of 
records will become effective as proposed on August 17, 2016. If 
comments are received, the Department will publish a subsequent notice 
in the Federal Register within 10 days after the comment period closes, 
stating that the current system of records will remain in effect until 
publication of a final action in the Federal Register.

ADDRESSES: Comments may be mailed to: Paul Marx, Chief, Financial 
Services Division, National Marine Fisheries Service, 1315 East West 
Highway, Silver Spring, MD 20910.

FOR FURTHER INFORMATION CONTACT: Paul Marx, Chief, Financial Services 
Division, National Marine Fisheries Service, 1315 East West Highway, 
Silver Spring, MD 20910.

SUPPLEMENTARY INFORMATION: NMFS will use the information contained in 
this system of records to determine whether applicants for the 
Fisheries Financing Program (FFP) are both

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eligible and creditworthy; whether applicants for fishing gear 
reimbursements under the Fishermen's Contingency Fund (FCF) are 
eligible and present valid claims; whether participants under the 
Capital Construction Fund (CCF) are eligible to participate; and 
whether participants in Fisheries Capacity Reduction programs (Buyback) 
are providing correct information. The information collected is 
essential for financial assistance and program eligibility 
determinations. It is comparable to what is usually required by 
commercial lending institutions when making lending decisions, or 
insurance institutions when adjusting claims. Applicants with a history 
of credit problems (including delinquent Federal debt), litigation or 
bankruptcy, lack of capital, etc., may be unable to meet the FFP's 
stringent credit standards and may be denied financing. Applicants for 
CCF accounts with an ineligible vessel or an ineligible project may be 
unable to meet the CCF program requirements. Claimants with 
insufficient or incorrect documentation may be ineligible to receive 
reimbursements for fishing gear lost on the Outer Continental Shelf. 
Participants in the Capacity Reduction programs who fail to remit fees 
or fail to remit them timely may face penalties and late charges.
    The information collection is requested from individuals and 
businesses under the authority of title XI of the Merchant Marine Act 
of 1936, as amended and codified, and the Magnuson-Stevens Fishery 
Conservation and Management Act, as amended. The information collection 
includes collecting each applicant's Tax Identification Number (TIN), 
either an Employer Identification Number (EIN) or Social Security 
Number (SSN). Collection of a TIN is required under 31 U.S.C. 7701. The 
primary purpose for requesting the TIN is to correctly identify the 
applicant for background and credit investigations and program 
eligibility, and may be used to report or collect any delinquent 
amounts arising out of an applicant's relationship with the Government.
COMMERCE/NOAA-21

System Name:
    COMMERCE/NOAA-21, Financial Services Division.

Security Classification:
    Moderate.

System Locations:
    a. NMFS Northeast Financial Services Branch, MB51, 55 Great 
Republic Drive, Suite 02-700, Gloucester, MA 01930-2209.
    b. NMFS Southeast Financial Services Branch, MB52, 263-13th Avenue 
South, St. Petersburg, FL 33702-2432.
    c. NMFS Northwest Financial Services Branch, MB53, 7600 Sand Point 
Way NW., Bin C15700, Building #1, Seattle, WA 98115.
    d. NMFS Financial Services Division, 1315 East West Highway, Silver 
Spring, MD 20910.

Categories of Individuals Covered by the System:
    Applicants for Fisheries Finance Program financial assistance, 
including: Direct loans for vessels, shoreside facilities, aquaculture, 
mariculture, and individual fishing quota (IFQ) loans; applicants for 
Capital Construction Fund (CCF) accounts; fishers and fish buyers 
participating in Capacity Reduction loan (Buyback) programs; and 
claimants under the Fishermen's Contingency Fund.

Categories of Records in the System:
    The system will include general personal and financial data 
including: The loan applicant's identity (including full name, address, 
and, as applicable, the SSN or EIN); the amount of financing applied 
for, the purpose of the loan; an appraisal of the vessel, facility or 
project being financed; Coast Guard documentation or Abstracts of title 
to vessels; income and financial information, including the applicant's 
last three Federal tax returns; LLC or Partnership agreements; a list 
of creditors and buyers with relevant credit terms; identification of 
authorized representatives (accountant, attorney, insurance agent); 
loan servicing actions and financial transactions; and the applicant's 
legal and credit history (status regarding bankruptcy, litigation, 
delinquency on debt, etc.). This information will be collected and 
maintained by the Financial Services Division and its branches.
    The system will also include the CCF account holder's identity 
(including full name, address, and as applicable, the SSN or EIN); the 
nature of the account, banking information, the description of the 
project for which the account is to be created; income, business and 
financial information including the applicant and/or account holder's 
tax return, LLC and Partnership agreements; Coast Guard documentation, 
bills of sale, mortgages, etc.; identification of authorized 
representatives (accountant, attorney); and reports of account activity 
including all deposits and withdrawals. The system of records will 
include FCF claimants' identity (including full name, address, and, as 
applicable, the SSN or EIN); Vessel name and characteristics; fishing 
results for the three most recent trips; receipts for gear and 
equipment replaced; and information about the claimant's prior claims. 
The system of records will include Capacity Reduction program 
participants' identity (including full name, address, and, as 
applicable, the SSN or EIN); processor number, fish ticket information, 
receipt and payment information, and banking information.

Authorities for Maintenance of the System:
    Title XI of the Merchant Marine Act of 1936 as amended and 
codified, 46 U.S.C. 1177 and 46 U.S.C. 53701 et seq., the Magnuson-
Stevens Fishery Conservation and Management Act, 16 U.S.C. 1801 et 
seq., and provisions of the Debt Collection Improvement Act as codified 
at 31 U.S.C. 7701.

Purpose(s):
    This information will allow NMFS to identify applicants and program 
participants and evaluate them for Financial Services Division 
financial assistance.

Routine Uses of Records Maintained in the System, Including Categories 
of Users and the Purposes of Such Uses:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, these records or information contained 
therein may specifically be disclosed outside of the Department. These 
records or information contained therein may specifically be disclosed 
as a routine use as stated below. The Department will, when so 
authorized, make the determination as to the relevancy of a record 
prior to its decision to disclose a document.
    1. In the event that a system of records maintained by the 
Department to carry out its functions indicates a violation or 
potential violation of law or contract, whether civil, criminal or 
regulatory in nature and whether arising by general statute or 
particular program statute or contract, rule, regulation, or order 
issued pursuant thereto, or the necessity to protect an interest of the 
Department, the relevant records in the system of records may be 
referred to the appropriate agency, whether Federal, State, local, or 
foreign, charged with the responsibility of investigating or 
prosecuting such violation or charged with enforcing or implementing 
the statute, contract or rule, regulation or order issued pursuant 
thereto, or protecting the interests of the Department.
    2. A record from this system of records may be disclosed in the 
course

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of presenting evidence to a court, magistrate, or administrative 
tribunal, including disclosures to opposing counsel in the course of 
settlement negotiations.
    3. A record in this system of records may be disclosed to the 
Department of Justice in connection with determining whether the 
Freedom of Information Act (5 U.S.C. 552) requires disclosure thereof.
    4. A record from this system of records may be disclosed, as a 
routine use, to a Federal, state, local, or international agency, in 
response to its request, in connection with the assignment, hiring or 
retention of an individual, the issuance of a security clearance, the 
reporting of an investigation of an individual, the letting of a 
contract, or the issuance of a license, grant, or other benefit by the 
requesting agency, to the extent that the information is relevant and 
necessary to the requesting agency's decision on the matter.
    5. A record in this system will be disclosed to the Department of 
Treasury for the purpose of reporting and recouping delinquent debts 
owed to the United States pursuant to the Debt Collection Improvement 
Act of 1996.
    6. A record in this system of records may be disclosed to a 
contractor of the Department having need for the information in the 
performance of the contract but not operating a system of records 
within the meaning of 5 U.S.C. 552a(m).
    7. A record in this system of records may be disclosed to 
appropriate agencies, entities, and persons when: (1) It is suspected 
or confirmed that the security of confidentiality of information in the 
system of records has been compromised; (2) the Department has 
determined that, as a result of the suspected or confirmed compromise, 
there is a risk of harm to economic or property interests, identity 
theft or fraud, or harm to the security or integrity of this system or 
other systems or programs (whether maintained by the Department or 
another agency or entity) that rely upon the compromised information; 
and (3) the disclosure made to such agencies, entities and persons is 
reasonably necessary to assist in connection with the Department's 
efforts to respond to the suspected or confirmed compromise and 
prevent, minimize, or remedy such harm.
    8. A record or information in this system of records may be 
disclosed to private sector appraisers, marine architects, attorneys, 
accountants, banks, lending institutions, real estate agents, brokers, 
title companies, state or local agencies, commercial registries, credit 
bureaus, rating agencies, and/or other persons and entities for the 
purpose of making credit and eligibility evaluations; lender due 
diligence investigations; CCF account validations; FCF claim 
adjustments; and/or the creation, attachment, perfection, maintenance, 
realization, or foreclosure of security interests.
    9. A record in this system of records may be disclosed, as a 
routine use, to a Member of Congress submitting a request involving an 
individual when the individual has requested assistance from the Member 
with respect to the subject matter of the record.
    10. A record in this system of records may be disclosed, as a 
routine use, to the Office of Management and Budget in connection with 
the review of private relief legislation as set forth in OMB Circular 
No. A-19 at any stage of the legislative coordination and clearance 
process as set forth in that Circular.
    11. A record from this system of records may be disclosed, as a 
routine use, to the Administrator, General Services Administration 
(GSA), or his designee, during an inspection of records conducted by 
GSA as part of that agency's responsibility to recommend improvements 
in records management practices and programs, under authority of 44 
U.S.C. 2904 and 2906. Such disclosure shall be made in accordance with 
the GSA regulations governing inspection of records for this purpose, 
and any other relevant (i.e. GSA or Commerce) directive. Such 
disclosure shall not be used to make determinations about individuals.

Disclosure to Consumer Reporting Agencies:
    Disclosure pursuant to 5 U.S.C. 552a(b)(12) may be made from this 
system to ``consumer reporting agencies'' as defined in the Fair Credit 
Reporting Act (15 U.S.C. 1681a(f)) and the Federal Claims Collection 
Act of 1966 (31 U.S.C. 3701(a)(3)).

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System:
    Storage: Financial Services Divisions applications and related 
information are stored in a computerized database; CDs or DVDs; paper 
records stored in file folders in locked metal cabinets and/or locked 
rooms.
    Retrievability: Records are organized and retrieved by an NMFS 
internal identification number, name of entity, case number, vessel 
name or identification number, plant name, processor number, or claim 
number. Records can be accessed by any file element or any combination 
thereof.
    Safeguards: The system of records is stored in a building with 
doors that are locked during and after business hours. Visitors to the 
facility must register with security guards and must be accompanied by 
Federal personnel at all times. Paper records are stored in a locked 
room and/or a locked file cabinet. Electronic records containing 
Privacy Act information are protected by a user identification/
password, and reside on an internal computer system protected by an 
electronic ``firewall'' to prevent access from outside the Federal 
facility. The user identification/password is issued to individuals by 
authorized personnel.
    All electronic information disseminated by NOAA adheres to the 
standards set out in Appendix III, Security of Automated Information 
Resources, OMB Circular A-130; the Computer Security Act (15 U.S.C. 
278g-3 and 278g-4); and the Government Information Security Reform Act, 
Public Law 106-398; and follows NIST SP 800-18, Guide for Developing 
Security Plans for Federal Information Systems; NIST SP 800-26, 
Security Self-Assessment Guide for Information Technology Systems; and 
NITS SP 800-53, Recommended Security Controls for Federal Information 
Systems.
    Retention and Disposal: All records are retained and disposed of in 
accordance with National Archives and Records Administration 
regulations (35 CFR chapter XII, subchapter B--Records Management); 
Departmental directives and comprehensive records schedules; NOAA 
Administrative Order 205-01; and the NMFS Records Disposition Schedule, 
Chapter 1500.

System Managers and Addresses:
    For records at location a.: Chief, Northeast Financial Services 
Branch, 55 Great Republic Drive, Suite 02-700, Gloucester, MA 01930-
2209.
    For records at location b.: Chief, Southeast Financial Services 
Branch, 263 13th Avenue, South, St. Petersburg, FL 33702-2432.
    For records at location c.: Chief, Northwest Financial Services 
Branch, 7600 Sand Point Way NW., (Bin C15700) Bldg. #1, Seattle, WA 
98115.
    For records at location d.: Chief, Financial Services Division, 
1315 East West Highway, Silver Spring, MD 20910.

Notification Procedure:
    Individuals or businesses seeking to determine whether information 
about themselves is contained in this system should address written 
inquiries to the NOAA Privacy Act Officer: Privacy Act Officer, NOAA, 
1315 East West

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Highway, Room 10641, Silver Spring, MD 20910.
    Written requests must be signed by the requesting individual. 
Requestor must make the request in writing and provide his/her name, 
address, and date of the request and the nature of the record sought. 
All such requests must comply with the inquiry provisions of the 
Department's Privacy Act rules which appear at 15 CFR part 4, Appendix 
A.

Record Access Procedures:
    Requests for access to records maintained in this system of records 
should be addressed to the same address given in the Notification 
section above.

Contesting Record Procedures:
    The Department's rules for access, for contesting content, and for 
appealing initial determinations by the individual or business 
concerned are provided for in 15 CFR part 4, Appendix A.

Record Source Categories:
    Information in this system will be collected from individuals and 
businesses applying for Financial Systems Division financial 
assistance.

Exemption Claims for System:
    None.

    Dated: July 5, 2016.
Michael J. Toland,
Department of Commerce, Freedom of Information/Privacy Act Officer.
[FR Doc. 2016-16171 Filed 7-7-16; 8:45 am]
 BILLING CODE 3510-22-P