[Federal Register Volume 62, Number 229 (Friday, November 28, 1997)]
[Proposed Rules]
[Pages 63304-63306]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-31171]
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DEPARTMENT OF TRANSPORTATION
Office of the Secretary
49 CFR Part 10
[Docket No. OST-97-1472; Notice 97-12]
RIN: 2105-AC68
Privacy Act Implementation: Coast Guard's Marine Safety
Information System
AGENCY: Office of the Secretary, DOT.
ACTION: Notice of proposed rulemaking.
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SUMMARY: DOT proposes to amend its rules implementing the Privacy Act
of 1974 to exempt from certain provisions of the Act the Coast Guard's
Marine Safety Information System. Public comment is invited.
DATES: Comments are due December 29, 1997.
ADDRESSES: Comments should be addressed to Documentary Services
Division, Attention: Docket Section, Room PL401, Docket OST-97-1472,
Department of Transportation, C-55, Washington, DC 20590. Any person
wishing acknowledgment that his/her comments have been received should
include a self-addressed stamped postcard. Comments received will be
available for public inspection and copying in the Documentary Services
Division, Room PL401, Department of Transportation Building, 400
Seventh Street, SW., Washington, DC, from 9:00 AM to 5:00 PM ET Monday
through Friday except Federal holidays.
FOR FURTHER INFORMATION CONTACT: Robert I. Ross, Office of the General
Counsel, C-10, Department of Transportation, Washington, DC 20590,
telephone (202) 366-9156. Fax (202) 366-9170.
SUPPLEMENTARY INFORMATION:
Background
The Coast Guard's Marine Safety Information System (MSIS) collects
selected information on commercial and/or documented vessels operating
in US waters, and collects and manages the data needed to monitor the
safety performance of maritime vessels and facilities, with which the
Coast Guard comes into contact while performing its marine safety
functions. It also monitors the identities of individuals and
corporations that own or operate these
[[Page 63305]]
vessels, and, if appropriate, aids the Coast Guard to develop law
enforcement actions against such vessels, facilities, individuals, and
corporations.
MSIS consolidates information from two other Coast Guard Privacy
Act record systems: DOT/CG 561, Port Safety Reporting System
(Individual Violation Histories), and DOT/CG 587, Investigation of
Marine Safety Laws or Regulations. It also encompasses the automated,
but not the manual, portions of DOT/C 591, Merchant Vessel
Documentation System.
Because of the capability to retrieve information by the names or
other unique identifiers of individuals, MSIS is subject to the Privacy
Act, which imposes many restrictions on the use and dissemination of
information in the system. However, because MSIS can be used for law
enforcement purposes, it is exempted from some of these restrictions.
Privacy Act Exemption
All records in this system that fall within 5 U.S.C. 552a(k)(2) are
exempt from the provisions of 5 U.S.C. 552a, subsections (c)(3), (d),
(e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f). However, should at
any time Exemption (j)(2) be deemed inapplicable, then under Exemption
(k)(2), if a person is denied any right, privilege, or benefit to which
he or she would otherwise be entitled to by Federal law as a result of
keeping this material, the material must be released to the subject of
the record, unless doing so would reveal the identity of a confidential
source.
These records are exempt from subsection (c)(3) because the release
of the accounting for disclosures made pursuant to subsection (b),
including those permitted under the routine uses published for this
system of records, would permit the subject of an investigation of an
actual or potential criminal, civil, or regulatory violation to
determine whether he or she is the subject or investigation, or to
obtain valuable information concerning the nature of that
investigation, and the information obtained, or the identity of
witnesses and informants and would therefore present a serious
impediment to law enforcement.
These records are exempt from subsection (d) because access to
information contained in this records system would inform the subject
of an investigation of an actual or potential criminal, civil, or
regulatory violation of the existence of that investigation, or the
nature and scope of the information and evidence obtained as to his
activities, or the identity of witnesses and informants. These factors
would present a serious impediment to effective law enforcement because
they could prevent the successful completion of an investigation, lead
to the improper influencing of witnesses, the destruction of evidence,
or disclose information which would constitute an unwarranted invasion
of another individual's personal privacy.
To require the Coast Guard to amend information thought to be
incorrect, irrelevant or untimely, because of the nature of the
information collected and the essential length of time it is
maintained, would create an impossible administrative and investigative
burden by forcing the agency to continuously retrograde its
investigations attempting to resolve questions of accuracy, etc.
These records are also exempt from subsections (e)(1), (e)(4)(G),
(H), and (I) because of and to the extent that the records are exempt
from the individual access provisions of subsection (d). The nature of
the investigative activities is such that vital information about an
individual can only be obtained from other persons who are familiar
with such individual and his activities. In such investigations, it is
not feasible to rely upon information furnished by the individual
concerning his or her own activities.
In a criminal investigation, the requirement that information be
collected to the greatest extent practicable from the subject
individual would present a serious impediment to law enforcement
because the subject of the investigation would be placed on notice as
to the existence of the investigation and would be able to avoid
detection, influence witnesses improperly, destroy evidence, or
fabricate testimony.
In the collection of information for criminal law enforcement
purposes it is impossible to determine in advance 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 often only be determined in a
court of law. The restriction of subsection (e)(5) would restrict the
ability of trained investigators, intelligence analysts, and government
attorneys in exercising their judgment in reporting on information and
investigations and impede the development of criminal or other
intelligence necessary for effective law enforcement.
In the course of criminal and other law enforcement investigations,
cases and matters, the Coast Guard will occasionally obtain information
concerning actual or potential violations of law which are not strictly
within its statutory or other authority or may compile information in
the course of an investigation which may not be relevant to a specific
inquiry. In the interests of effective law enforcement, it is necessary
to retain such information in this system of records since it can aid
in establishing pattern of criminal activity and can provide valuable
leads for other law enforcement agencies.
These records are exempt from subsection (f) because procedures for
notice to an individual pursuant to subsection (f)(1) as to the
existence of records pertaining to him or her dealing with an actual or
potential criminal, civil, or regulatory investigation must be exempted
because such notice to an individual would be detrimental to the
successful conduction and/or completion of an investigation, pending or
future. In addition, mere notice of the fact of an investigation could
inform the subject or others that their activities are under, or may
become the subject of, an investigation and could enable the subjects
to avoid detection, to influence witnesses improperly, to destroy
evidence, or to fabricate testimony.
Since an exemption is being claimed for subsection (d) of the Act
the rules required pursuant to subsection (f)(2) through (5) are
inapplicable to the system of records to the extent that this system of
records is exempted from subsection (d).
Analysis of Regulatory Impacts
This amendment is not a ``significant regulatory action'' within
the meaning of Executive Order 12866. It is also not significant within
the definition in DOT's Regulatory Policies and Procedures, 49 FR 11034
(1979), in part because it does not involve any change in important
Departmental policies. Because the economic impact should be minimal,
further regulatory evaluation is not necessary. Moreover, I certify
that this proposal will not have a significant economic impact on a
substantial number of small entities, because the reporting
requirements, themselves, are not changed.
This proposal does not significantly affect the environment, and
therefore an environmental impact statement is not required under the
National Environmental Policy Act of 1969.
The Department has analyzed this rule under the principles and
criteria contained in Executive Order 12612 (``Federalism'') and has
determined that the rule does not have sufficient federalism
implications to warrant the preparation of a Federalism Assessment.
This rule does not impose any unfunded
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mandates as defined by the Unfunded Mandates Reform Act of 1995.
Finally, the proposal does not contain any collection of
information requirements, requiring review under the Paperwork
Reduction Act of 1995.
List of Subjects in 49 CFR Part 10:
Penalties, Privacy.
Accordingly, DOT proposes to amend 49 CFR part 10 as follows:
PART 10--[AMENDED]
1. The authority citation to part 10 would remain as follows:
Authority: 5 U.S.C. 552a; 49 U.S.C. 322.
2. Part II.A of the appendix to part 10 would be amended by adding
a new paragraph 15, to read as follows:
Appendix to Part 10--Exemptions
* * * * *
Part II. Specific exemptions.
A. * * *
* * * * *
15. Marine Safety Information System, maintained by the
Operations Systems Center, U.S. Coast Guard (DOT/CG 588). The
purpose of this exemption is to prevent persons who are the subjects
of criminal investigations from learning too early in the
investigative process that they are subjects, what information there
is in Coast Guard files that indicates that they may have committed
unlawful conduct, and who provided such information.
* * * * *
Issued in Washington, DC, on November 18, 1997.
Rodney E. Slater,
Secretary of Transportation.
[FR Doc. 97-31171 Filed 11-26-97; 8:45 am]
BILLING CODE 4910-62-P
