Privacy Impact Assessment and Privacy Policy, 17857-17861 [05-6522]

Agencies

• Office of the Secretary
• DEPARTMENT OF HOMELAND SECURITY

[Federal Register Volume 70, Number 66 (Thursday, April 7, 2005)]
[Notices]
[Pages 17857-17861]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 05-6522]



Federal Register / Vol. 70, No. 66 / Thursday, April 7, 2005 / 
Notices

[[Page 17857]]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[DHS-2005-0005]


Privacy Impact Assessment and Privacy Policy

AGENCY: Department of Homeland Security.

ACTION: Notice.

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SUMMARY: Pursuant to the E-Government Act of 2002, the Department of 
Homeland Security, Bureau of Customs and Border Protection, is 
publishing a privacy impact assessment and privacy policy concerning 
the Advanced Passenger Information System.

DATES: Written comments must be received on or before May 9, 2005.

ADDRESSES: You may submit comments, identified by Docket Number DHS-
2005-0005, by one of the following methods:
     EPA Federal Partner EDOCKET Web site: https://www.epa.gov/
feddocket. Follow the instructions for submitting comments on the Web 
site.
     Federal eRulemaking Portal: https://www.regulations.gov. 
Follow the instructions for submitting comments.
     Mail: Comments by mail are to be addressed to the Bureau 
of Customs and Border Protection, Office of Regulations and Rulings, 
1300 Pennsylvania Avenue, NW. (Mint Annex), Washington, DC 20229. 
Comments submitted by mail may be inspected at the Bureau of Customs 
and Border Protection at 799 9th Street, Washington, DC. To inspect 
comments, please call (202) 572-8768 to arrange for an appointment.
    Instructions: All submissions received must include the agency name 
and docket number for this privacy impact assessment. All comments 
received, including any personal information, will be posted without 
change to https://www.epa.gov/feddocket.
    Docket: For access to the docket to read background documents or 
comments received, go to https://www.epa.gov/feddocket. You may also 
access the Federal eRulemaking Portal at https://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Charles Perez, Program Manager, Office 
of Field Operations, Bureau of Customs and Border Protection at (202) 
344-2605 or Nuala O'Connor Kelly, Chief Privacy Officer, Department of 
Homeland Security at (202) 772-9848.

SUPPLEMENTARY INFORMATION: Elsewhere in the Federal Register today, the 
Department of Homeland Security, Bureau of Customs and Border 
Protection (CBP), is publishing a final rule concerning the Advanced 
Passenger Information System (APIS). The rule requires that all 
commercial inbound and outbound air and sea carriers submit certain 
data on all passengers and crew members prior to entry to or departure 
from the United States. The data that must be provided includes the 
following: the country that issued the passport or alien registration 
number; the passenger or crew member's full name, date of birth, 
passport or alien registration number, country of residence, and U.S. 
destination address (foreign nationals only); and the locator number 
for the passenger's airline reservation data. For crew members and non-
crew members,\1\ the address of permanent residence and the pilot 
certificate number are also required.
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    \1\ ``Non-crew member'' means air carrier employees and their 
family members and persons traveling onboard a commercial aircraft 
for the safety of the flight (such as an animal handler when animals 
are onboard). The definition of ``non-crew member'' is limited to 
all-cargo flights. (On a passenger or dual flight (passengers and 
cargo), air carrier employees, their family members, and persons 
onboard for the safety of the flight are considered passengers).
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    Pursuant to the CBP Final Rule, the APIS data must be submitted to 
CBP by the carrier: (i) For passenger flights into the United States, 
15 minutes after departure from a foreign port or place; (ii) for 
passenger flights departing the United States, 15 minutes prior to 
departure from the United States; (iii) for crew members (on passenger 
and all-cargo flights) and non-crew members (limited to all-cargo 
flights), 60 minutes prior to the departure of any covered flight \2\ 
from a foreign port, the U.S. port of departure, or the U.S. port of 
arrival en route to a second U.S. port, as applicable; (iv) for vessel 
arrivals, no later than 24 hours and up to 96 hours prior to the 
vessel's entry at a U.S. port, depending on the length of the voyage; 
and (v) for vessel departures, no later than 15 minutes prior to the 
vessel's departure from a U.S. port. The CBP Final Rule also requires 
the carrier industry to submit APIS data in an electronic interchange 
approved by CBP.
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    \2\ A ``covered flight'' is one to, from, continuing within, or 
overflying the United States.
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    In connection with this final rule, and in accordance with Section 
208 of the E-Government Act of 2002, which requires federal agencies to 
conduct a privacy impact assessment when they use information 
technology to collect new information or make significant changes in 
existing information technology collections, the Department of Homeland 
Security conducted a Privacy Impact Assessment of APIS, and developed a 
privacy policy for this program. The privacy impact assessment and 
privacy policy are attached as appendix 1 to this notice, in keeping 
with the statutory requirement that such documents be published.

    Dated: March 21, 2005.
Nuala O'Connor Kelly,
Chief Privacy Officer, Department of Homeland Security.

Appendix 1--Privacy Impact Assessment and Privacy Policy; Advance 
Passenger Information System (APIS) Program

    The Aviation and Transportation Security Act of 2001 and the 
Enhanced Border Security and Visa Reform Act of 2002 together 
mandated the collection of certain information on all passenger and 
crew members who arrive in or depart from the United States on a 
commercial air or sea carrier. The information required to be 
collected and submitted to the Advance Passenger Information System 
(APIS) can be found on routine entry documents that passenger and 
crew members must provide when processed into or out of the United 
States. The APIS information includes full name, date of birth, 
citizenship, passport/alien registration card number, passport/alien 
registration card country of issuance, passport expiration date 
country of residence and U.S. destination address (where 
applicable). The APIS information is collected in advance of a 
passenger's arrival or departure from the United States in order to 
perform law enforcement queries to identify security risks to the 
aircraft or vessel, to its occupants, or to the United States and in 
order to expedite CBP processing.

Advance Passenger Information System (APIS)--Privacy Impact Assessment

I. Introduction

    The Advance Passenger Information System (APIS) was developed as 
a voluntary program by the former United States Customs Service 
(Customs Service) in 1989 in cooperation with the former United 
States Immigration and Naturalization Service (INS) and the airline 
industry. Air carriers and sea vessels collected passengers' 
biographical data and transmitted the data to the Customs Service 
while the flight or the vessel was en route. The Customs Service 
Data Center used APIS data to perform a check against the combined 
Federal law enforcement database known as the Interagency Border 
Inspection System (IBIS). Through the voluntary APIS program, these 
checks were performed in advance of arrival and quickly referenced 
once the passengers arrived. This resulted in a significant time 
savings for the passengers and carriers.
    In the Aviation and Transportation Security Act of 2001 (ATSA) 
and the Enhanced Border Security and Visa Reform Act of 2002 (EBSA), 
Congress made mandatory the collection of certain information on all 
passenger and crew

[[Page 17858]]

members who arrive in, depart from, or transit through the United 
States on a commercial air or sea carrier, and, in the case of 
foreign crew members, those who continue domestically on a foreign 
carrier. The purpose of this collection is to identify high risk 
passengers and crew members who may pose a risk or threat to vessel 
or aircraft safety or to national security, while simultaneously 
facilitating the travel of legitimate passengers and crew members. 
As mentioned above, this information collection also assists in 
immigration processing at ports of entry, resulting in a significant 
time savings.
    To implement the mandatory collection of APIS information under 
ATSA and EBSA, the Customs Service issued an interim regulation (see 
19 CFR 122.49a), 66 FR 67484 (December 31, 2001), as amended 67 FR 
42712 (June 25, 2002) (Interim Regulation), mandating the 
transmission of APIS data for all inbound commercial air carriers. 
The INS issued a Notice of Proposed Rulemaking (NPRM) on January 3, 
2003, expanding these requirements to outbound commercial air 
carriers and inbound and outbound commercial sea carriers. (See 68 
FR 292.) With the creation of the Department of Homeland Security 
(DHS), the inspection and patrol functions of the former INS were 
incorporated in the U.S. Customs Service which was renamed United 
States Customs and Border Protection (CBP) under DHS. CBP is now 
responsible for border enforcement activities, including the 
collection of APIS information.
    To carry out its statutory responsibilities, CBP is now issuing 
a final rule to require the submission of certain biographical data 
to CBP through APIS prior to a passenger's or crew member's entry 
into and exit from the United States. CBP's final rule also provides 
small air and sea carriers, which do not have the means to transmit 
data through APIS, a web site to collect this information in the 
required timeframe. In keeping with the requirements of Section 208 
of the E-Government Act of 2002 and Section 222 of the Homeland 
Security Act, the mandatory collection of information required by 
APIS is the subject of this Privacy Impact Assessment.

II. System Overview

What Information Is To Be Collected

    The information to be collected from passengers and crew members 
by the air and sea carrier industry consists of: Complete name, date 
of birth, gender, country of citizenship, passport/alien 
registration number and country of issuance, passport expiration 
date, country of residence, travel document type, U.S. destination 
address for foreign nationals (other than those in transit), and the 
passenger name record locator number.\1\ Most of the information 
collected is contained in the machine-readable zone (MRZ) of an 
official travel document such as a passport or alien registration 
card. When a traveler checks in for an international flight, the 
airline representative will swipe the traveler's travel document 
through a document reader designed to electronically capture 
specific information and populate the carrier's computer screen. The 
carrier will also collect and transmit to CBP the U.S. destination 
address (foreign nationals only, other than those in transit) and 
country of residence, which is not contained in the MRZ.
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    \1\ The Passenger Name Record locator number allows CBP to 
access PNR if necessary, consistent with its regulatory authority 
under 19 CFR 122.49b.
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    In addition to collecting information directly from the 
traveler, the carrier also must transmit to CBP the following 
supplementary information: Foreign airport/port where the passengers 
and crew members began their air transportation to the United 
States; for passengers and crew member destined for the U.S. the 
location where the passenger will be processed through customs and 
immigration formalities; and for passengers and crew members that 
are transiting through the U.S. and not clearing customs and 
immigration formalities, the foreign airport of ultimate 
destination, and status on board (whether an individual is crew or 
non-crew). Finally, information also is collected about the 
particular flight or voyage, such as date of arrival/departure, 
carrier name, flight number, departure location, arrival location, 
country of registry.

Why the Information Is Being Collected and Intended Use of the 
Information

    The information is being collected pursuant to the ATSA and the 
EBSA. The purpose of the collection is to screen passengers arriving 
from foreign travel points and departing the United States to 
identify those passengers who (1) may pose a risk to the 
transportation industry, to other travelers and to the United 
States, (2) are identified as or suspected of being a terrorist or 
having affiliations to terrorist organizations, (3) have active 
wants and warrants for criminal activity, (4) are currently 
inadmissible, or have been previously deported from the United 
States, or (5) are subject to other intelligence that may identify 
them as a security risk.
    At the same time, the system allows CBP to facilitate 
effectively and efficiently the entry of legitimate travelers into 
the United States. As travelers arrive into the United States, 
through APIS, CBP officers can quickly reference the results of the 
advanced research that has been conducted through CBP's law 
enforcement databases, confirm the accuracy of that information by 
comparison of it with information obtained from the traveler and 
from the carriers, and make immediate determinations as to a 
traveler's security risk and admissibility.

How Will Information Be Checked for Accuracy?

    Upon a traveler's arrival into the United States, a CBP officer 
verifies that the data transmitted by the carrier is the same as 
that on the traveler's travel documents. If discrepancies are found, 
a CBP officer can correct the data at the point of entry and update 
the information. Additionally, CBP audits and tracks the sufficiency 
and error rates of individual carrier transmissions to APIS and may 
assess penalties against carriers that fail to transmit APIS data 
within system parameters on a recurring basis or incur large error 
rates in the review of their transmissions. CBP also performs 
periodic audits and routine maintenance on its Information 
Technology Systems to ensure that system protocols and programming 
remain intact and operational.

Will the System Derive New Data or Create Previously Unavailable Data 
About an Individual Through Aggregation From the Information Collected?

    Certain APIS data is maintained and examined in order to view an 
individual's travel history. In addition to maintaining an 
individual's travel record, this data is aggregated with information 
from law enforcement databases to assist CBP employees in making 
determinations as to a traveler's security risk and admissibility 
into the United States.

What Notice Is Given and What Opportunities Does an Individual Have To 
Consent?

    CBP has provided notice through publication of its Interim 
Regulation (see 66 FR 67484; as amended 67 FR 42712), the NPRM (see 
68 FR 292), as well as this privacy impact assessment and its 
privacy policy, which is being published simultaneously.
    Clearance for the arrival or departure of a commercial vessel or 
aircraft may be contingent upon the submission of passenger and crew 
manifest information to CBP through APIS.
    A foreign traveler who declines to provide APIS information to a 
carrier is inadmissible to the United States. Such an individual may 
withdraw his or her application for admission, or be subject to 
removal proceedings.
    United States citizens who refuse to provide the information to 
the air or sea carrier may be subject to action by that particular 
carrier. A carrier may prohibit the person from traveling. However, 
if the carrier allows the passenger to board without providing the 
required information, the person will be subject to security checks 
upon arrival.

III. APIS System Architecture

    APIS is a system that resides within the Treasury Enforcement 
Communications System (TECS), a law enforcement database. (The most 
recent System of Records Notice for TECS can be found at 66 FR 52984 
(October 18, 2001).) APIS comprises a subset of the data collected 
and maintained within TECS. The data particular to APIS is accessed 
through functionality that is separate from data within TECS. 
Certain APIS data (complete name, date of birth, date of arrival, 
date of departure, time arrived, means of arrival (air/sea), 
immigration lane, ID inspector, travel document, departure location, 
airline code and flight number, and result of the CBP processing) is 
moved to the general TECS database once an individual traveler has 
cleared immigration.
    The APIS data is cross-referenced or compared against other law 
enforcement data maintained in TECS. These cross-references and 
comparisons occur through IBIS. IBIS resides in TECS and provides 
access to the National Crime Information Center (NCIC), which allows 
users to interface with all 50 states via the National Law 
Enforcement Telecommunications System (NLETS). IBIS

[[Page 17859]]

also contains the names of individuals on terrorist watch lists.

IV. Maintenance and Administrative Controls on Access to the Data

With Whom the Information Will Be Shared

    The personal information collected and maintained by APIS will 
be accessed by employees of DHS components. Strict security and 
access controls are in place to ensure that only those personnel 
with a need for the information in the performance of their official 
duties will be able to access information in the system.
    Additionally, the information may be shared with other federal, 
state, local or foreign agencies responsible for investigating or 
prosecuting violations of, or for enforcing or implementing a 
statute, rule, regulation, order, or license, where DHS becomes 
aware of an indication of a violation or potential violation of 
civil or criminal law or regulation. The system of records notice 
for TECS, where APIS data reside, provides notice as to the 
conditions of disclosure and routine uses for the information 
collected by APIS, and provides that any dissemination of 
information maintained within APIS be compatible with the purpose 
for which the information originally was collected.
    As discussed previously, certain APIS data are transferred to 
the general TECS database after a traveler has cleared immigration. 
The information transferred to and stored in the general TECS 
database includes: Complete name, date of birth, date of arrival, 
date of departure, time arrived, means of arrival (air/sea), 
immigration lane, ID inspector, travel document, departure location, 
airline code and flight number, and result of the CBP processing. 
APIS is the source data for this travel information stored in the 
general TECS database.
    For individuals subject to US-VISIT requirements, certain APIS 
data also is transferred to the Arrival and Departure Information 
System (ADIS) for effective and efficient tracking of foreign 
nationals. This information includes: Complete name, date of birth, 
gender, nationality, U.S. destination address, passport number, 
country of issuance,\2\ alien registration number, port of entry, 
entry date, port of departure, and departure date.
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    \2\ For non-immigrants authorized to work.
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Retention and Destruction

    APIS information, which is used at the port of entry for 
verification purposes, is retained temporarily in the APIS component 
of the TECS system for no more than 12 months from the date of 
collection at which time the data is erased from the APIS component 
of the TECS system. Information that is transferred to the general 
TECS database (as described above) will be maintained for as long as 
operationally necessary, subject to retention reviews that occur 
both periodically and each time information is accessed, but in no 
case will information be retained longer than fifty years past the 
date of collection. Information that is transferred to ADIS (as 
described above) is maintained for 100 years in accordance with the 
retention period of the ADIS system of records notice.

How the Information Will Be Secured

    APIS, as a component of TECS, is approved through the TECS 
Certification and Accreditation (C&A) under the National Institute 
of Standards and Technology. The last certification was on February 
23, 2003. Although APIS is currently under the TECS C&A, it will 
have its own certification and accreditation in calendar year 2005, 
to provide specific assurances regarding the safety and security of 
APIS data.
    APIS information is secured in full compliance with the 
requirements of the DHS IT Security Program Handbook. This handbook 
establishes a comprehensive program, consistent with federal law and 
policy, to provide complete information security, including 
directives on roles and responsibilities, management policies, 
operational policies, and application rules, which will be applied 
to component systems, communications between component systems, and 
at interfaces between component systems and external systems.
    One aspect of the DHS comprehensive program to provide 
information security involves the establishment of rules of behavior 
for each major application, including APIS. These rules of behavior 
require users to be adequately trained regarding the security of 
their systems. These rules also require a periodic assessment of 
technical, administrative and managerial controls to enhance data 
integrity and accountability. System users must sign statements 
acknowledging that they have been trained and understand the 
security aspects of their systems. System users must also complete 
annual privacy awareness training to maintain current access.
    APIS transactions are tracked and can be monitored. This allows 
for oversight and audit capabilities to ensure that the data are 
being handled consistent with all applicable federal laws and 
regulations regarding privacy and data integrity.
    Data exchange, which will take place over an encrypted network 
between the carrier industry and CBP and between CBP and other DHS 
components that have access to the APIS data, is limited and 
confined only to those entities that have a need for the data in the 
performance of official duties. These encrypted networks comply with 
standards set forth in the Interconnection Security Agreements 
required to be executed prior to external access to a CBP computer 
system.
    The eAPIS Web based system, which permits submission of manifest 
information over the Internet by carriers who do not have the 
capability to transmit electronic PNR data, is subject to the same 
security precautions, standards, laws, and regulations with respect 
to the collection, retention, and safeguarding of APIS data. 
Exchanges of data submitted via eAPIS will be no different than 
exchanges of APIS data collected by other means. eAPIS submissions 
will be made over an encrypted Internet portal accessed via an 
approved username and password.

V. Redress

    CBP has created a Customer Satisfaction Unit in its Office of 
Field Operations to provide redress with respect to incorrect or 
inaccurate information collected or maintained by its electronic 
systems (including TECS, IBIS, and APIS). If the traveler believes 
that CBP actions are the result of incorrect or inaccurate 
information, then inquiries should be directed to the Customer 
Satisfaction Unit at the following address: Customer Satisfaction 
Unit, Office of Field Operations, U.S. Customs and Border 
Protection, Room 5.5C, 1300 Pennsylvania Avenue, NW., Washington, 
D.C. 20229, fax (202) 344-2791. Individuals making inquiries should 
provide as much identifying information as possible regarding 
themselves, to identify the record at issue. Individuals may provide 
additional information to CBP to ensure that the information 
maintained by CBP is accurate and complete. The Customer 
Satisfaction Unit will respond in writing to each inquiry.
    The DHS Chief Privacy Officer will exercise comprehensive 
oversight of all phases of the program to ensure that privacy 
concerns are respected throughout the process. The DHS Chief Privacy 
Officer will also serve as the final review authority for all 
individual complaints and concerns about the program.

VI. System of Records

    APIS data is a subset of the system data within the Treasury 
Enforcement Communications System (TECS) and is covered by the 
System of Records Notice for TECS. The most recent TECS publication 
can be found at 66 FR 52984 (October 18, 2001). APIS data is also 
contained in the system data for the Arrival and Departure 
Information System (ADIS) and is also covered by the System of 
Records Notice for ADIS. The most recent ADIS publication can be 
found at 68 FR 69412 (December 12, 2003).

Privacy Controls

    APIS collects personal information necessary for its purposes. 
While APIS does not constitute a new system of records, the final 
rule requiring submission of data expands the types of data 
collected, the number of travelers from which the data is collected, 
and makes the system mandatory rather than voluntary. These changes 
create a potential privacy risk. This risk is mitigated, however, by 
establishment of the privacy policy supported and enforced by the 
comprehensive privacy program. This program includes mandatory 
privacy training for system operators and appropriate safeguards for 
data handling.
    The APIS system collects data to be compared against an existing 
law enforcement database--TECS--to promote the safety and security 
of sea and air carriers, their passengers and the United States. 
Some data collected via APIS manifests is transferred to TECS and 
may become available for later research of the entry and exit of 
travelers. This presents a potential privacy risk. This risk is 
mitigated in several ways. First, APIS data is controlled by 
separate functionality within the TECS system from other data 
maintained in that system. While the APIS data may be compared 
against other data maintained in TECS, this action requires an 
affirmative act by the user that is subject to regular agency review 
and audit. Second, the TECS system,

[[Page 17860]]

and APIS within TECS, has its own published System of Records Notice 
(SORN), which explains the uses to which the data that is collected 
will be put. This SORN includes the purposes underlying APIS as part 
of its terms. This SORN assists in putting the travelling public on 
notice of the uses of APIS data. Third, Memoranda of Understanding 
and of Agreement with other agencies carefully regulate the uses for 
TECS data. This PIA and APIS Privacy Policy make this use of APIS 
data transparent.
    APIS intends to ensure that the program is as transparent as 
possible. To that end, in addition to publishing this privacy impact 
assessment and the final rule, CBP has developed a comprehensive 
privacy policy, a copy of which is appended to this report and which 
is posted on the DHS Web site.

VII. Summary and Conclusions

    The APIS program is based on Congressional concerns with 
improving the safety and security not only of sea and air carriers 
and their passengers, but also the national security of the United 
States. Requirements for the program, including the implementation 
of an integrated and interoperable passenger manifest screening 
system, are established by various provisions of the Aviation and 
Transportation Security Act of 2001 and the Enhanced Border Security 
and Visa Reform Act of 2002. These requirements include, in 
particular, the integration of arrival, departure, and transit data 
on all passengers and crew members traveling and listed on 
commercial sea or air carrier manifests; and integration of this 
information with other law enforcement and security systems.
    CBP structured the APIS program, as promulgated in the final 
rule, to foster the goals of these statutes, mindful of the need to 
protect the privacy of the individuals whose data is being 
collected. This PIA examines the potential privacy risks and 
describes those actions CBP has taken to mitigate these risks.

Contact Point and Reviewing Official

    Contact Point: Charles Perez, Program Manager, Office of Field 
Operations, U.S. Customs and Border Protection, (202) 344-2605.
    Reviewing Official: Nuala O'Connor Kelly, Chief Privacy Officer, 
DHS, (202) 772-9848.

Advance Passenger Information System (APIS)--Privacy Policy

What Is the Purpose of the APIS Program?

    The Aviation and Transportation Security Act of 2001 and the 
Enhanced Border Security and Visa Reform Act of 2002 together 
mandated the collection of certain information on all passenger and 
crew members who arrive into or depart from the United States on a 
commercial air or sea carrier. The Advance Passenger Information 
System (APIS) information is collected in advance of a passenger's 
arrival into the United States in order to perform law enforcement 
queries to identify security risks to the aircraft/vessel, its 
occupants, and the United States. The information is also used to 
verify departure when the traveler leaves the United States at the 
conclusion of a visit.

Who Is Affected by the Program?

    All travelers and crew members who arrive and depart the United 
States, all crew members on aircraft who fly over the United States, 
and crew members on foreign aircraft who arrive from an 
international departure location and continue domestically within 
the United States are covered by the APIS Program.

What Information Is Collected?

    The information to be collected from passengers and crew members 
by the air and sea carrier industry consists of: complete name, date 
of birth, gender, country of citizenship, passport/alien 
registration number and country of issuance, passport expiration 
date, country of residence, travel document type, U.S. destination 
address for foreign nationals (other than those in transit), and the 
passenger name record locator number.\3\ Most of the information 
collected is contained in the machine-readable zone (MRZ) of an 
official travel document such as a passport or alien registration 
card. When a traveler checks in for an international flight, the 
airline representative will swipe the traveler's travel document 
through a document reader designed to electronically capture 
specific information and populate the carrier's computer screen. The 
carrier will also collect and transmit to CBP the U.S. destination 
address (foreign nationals only, other than those in transit) and 
country of residence, which is not contained in the MRZ.
---------------------------------------------------------------------------

    \3\ The Passenger Name Record locator number allows CBP to 
access PNR if necessary, consistent with its regulatory authority 
under 19 CFR 122.49b.
---------------------------------------------------------------------------

    In addition to collecting information directly from the 
traveler, the carrier also must transmit to CBP the following 
supplementary information: Foreign airport/port where the passengers 
and crew members began their air transportation to the United 
States; for passengers and crew member destined for the U.S. the 
location where the passenger will be processed through customs and 
immigration formalities; and for passengers and crew members that 
are transiting through the U.S. and not clearing customs and 
immigration formalities, the foreign airport of ultimate 
destination, and status on board (whether an individual is crew or 
non-crew). Finally, information also is collected about the 
particular flight or voyage, such as date of arrival/departure, 
carrier name, flight number, departure location, arrival location, 
country of registry.

How Is the Information Used?

    The purpose of the information collection is to screen 
passengers arriving from foreign travel points and departing the 
United States to identify those passengers who (1) may pose a risk 
to the transportation industry, to other travelers and to the United 
States, (2) are identified as or suspected of being a terrorist or 
having affiliations to terrorist organizations, (3) have active 
warrants for criminal activity, (4) are currently inadmissible, or 
have been previously deported from the United States, or (5) are 
subject to other intelligence that may identify them as a security 
risk.
    At the same time, the system allows CBP to facilitate 
effectively and efficiently the entry of legitimate travelers into 
and through the United States. As travelers arrive into the United 
States, CBP officers can quickly reference the results of the 
advanced research conducted through the law enforcement databases 
and make immediate determinations as to a traveler's security risk 
and admissibility.

Is the Collection of APIS Data Duplicative of Data Collected by the 
US-VISIT?

    No. US-VISIT does not, in itself, collect traveler manifest 
data. US-VISIT coordinates the exchange of data collected by 
existing systems that are utilized by the Department of Homeland 
Security (DHS), such as the APIS system operated by CBP.

Will the Collection of APIS Data Be Duplicative of the Data 
Required by the Secure Flight Program as Proposed by the 
Transportation and Security Administration?

    No. The Secure Flight Program is proposed only for domestic 
carriers transporting travelers within the United States. APIS is 
restricted to passengers entering and exiting the United States and 
crew members entering, exiting, overflying, and continuing 
domestically on a foreign carrier.

Who Will Have Access to the Information?

    The personal information collected and maintained by APIS will 
be accessed by employees of DHS components. Strict security and 
access controls are in place to ensure that only those personnel 
with a need for the information in the performance of their official 
duties will be able to access information in the system.
    Additionally, the information may be shared with other federal, 
state, local, or tribal or foreign agencies responsible for 
investigating or prosecuting violations of, or for enforcing or 
implementing a statute, rule, regulation, order, or license, where 
DHS becomes aware of an indication of a violation or potential 
violation of civil or criminal law or regulation.

How Will the Information Be Protected?

    Personal information will be kept secure and confidential and 
will not be discussed with, nor disclosed to, any person within or 
outside the APIS program other than as authorized by law and as 
required for the performance of official duties. Careful safeguards, 
including appropriate security controls, will ensure that the data 
is not used or accessed improperly. The APIS functionality is a part 
of the Treasury Enforcement Communications System (TECS), a law 
enforcement database. Its accreditation is in accordance with the 
CBP Information Systems Security Policy and Procedures Handbook (CIS 
HB 1400-05A, dated June 22, 2001) and with National Information 
Standards and Technology (NIST) guidance. The TECS system was 
certified and accredited on February 23, 2003. APIS also will have 
individual certification utilizing the NIST guidance in calendar 
year 2005.
    Roles and responsibilities of DHS employees, system owners and 
managers,

[[Page 17861]]

and third parties who manage or access information in the APIS 
program include:

1. DHS Employees and Contractors

    As users of APIS systems and records, DHS employees shall:
     Access records containing personal information only 
when the information is needed to carry out their official duties.
     Disclose personal information only for legitimate 
government purposes and in accordance with applicable laws, 
regulations, and applicable policies and procedures.

2. Owners/Managers of the DHS Systems Storing APIS Data

    System Owners/Managers shall:
     Follow applicable laws, regulations, APIS program 
guidance and DHS policies and procedures in the development, 
implementation, and operation of information systems under their 
control.
     Conduct a risk assessment to identify privacy risks and 
determine whether it is necessary and appropriate to implement 
additional security controls to protect against the risk.
     Ensure that only personal information that is necessary 
and relevant for legally mandated or authorized purposes is 
collected.
     Ensure that all business processes that contain 
personal information have an approved Privacy Impact Assessment, 
which meets appropriate DHS and OMB guidance and which is updated as 
the system progresses through its development stages.
     Ensure that all personal information is protected and 
disposed of in accordance with applicable laws, regulations, APIS 
program guidance and DHS policies and procedures.
     Use personal information collected only for the 
purposes for which it was collected, unless other purposes are 
explicitly mandated or authorized by law.
     Establish and maintain appropriate administrative, 
technical, and physical security safeguards to protect personal 
information.

How Long Is Information Retained?

    APIS data is subject to temporary and permanent retention 
requirements. The information initially collected by APIS is used 
for entry screening purposes and is retained for twelve months. 
Certain data obtained through the APIS transmission (complete name, 
date of birth, date of arrival, date of departure, time arrived, 
means of arrival (air/sea), primary inspection, ID inspector, travel 
document, departure location, airline code and flight number, and 
result of the CBP processing), however, is moved to the general TECS 
database once an individual traveler has cleared primary inspection. 
Other information is transferred to the Arrival and Departure 
Information System (ADIS) for US-VISIT purposes. The transferred 
data is retained in accordance with the retention schedules approved 
for TECS and ADIS, as applicable. In general, information stored in 
the TECS database will be retained for as long as operationally 
necessary, subject to retention reviews that occur both periodically 
and each time information is accessed, but in no case will 
information be retained longer than fifty years past the date of 
collection. Information stored in ADIS will be retained consistent 
with the retention schedule for that records system (100 years).

Is a Form of Redress Available?

    CBP has created a Customer Satisfaction Unit in its Office of 
Field Operations to provide redress with respect to incorrect or 
inaccurate information collected or maintained by its electronic 
systems. Inquiries should be addressed to: Customer Satisfaction 
Unit, Office of Field Operations, U.S. Customs and Border 
Protection, Room 5.5C, 1300 Pennsylvania Avenue, NW., Washington, DC 
20229, fax (202) 344-2791. Individuals making inquiries should 
provide as much identifying information as possible, to identify the 
record at issue.
    The DHS Chief Privacy Officer will exercise comprehensive 
oversight of all phases of the program to ensure that privacy 
concerns are respected throughout the process and will also serve as 
the final review authority for all individual complaints and 
concerns about the program.
    For Further Information Contact:

Charles Perez, Program Manager, APIS, Office of Field Operations, 
U.S. Customs and Border Protection, 1300 Pennsylvania Avenue, NW., 
Washington, DC 20229, Tel: (202) 344-2605.
Nuala O'Connor Kelly, Chief Privacy Officer, Department of Homeland 
Security, Washington, DC 20528, Tel: (202) 772-9848.

[FR Doc. 05-6522 Filed 4-6-05; 8:45 am]
BILLING CODE 4410-10-P