Privacy Act of 1974; U.S. Customs and Border Protection-014 Regulatory Audit Archive System (RAAS) System of Records, 77807-77810 [E8-29846]

Agencies

• Office of the Secretary
• DEPARTMENT OF HOMELAND SECURITY

[Federal Register Volume 73, Number 245 (Friday, December 19, 2008)]
[Notices]
[Pages 77807-77810]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-29846]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2008-0156]


Privacy Act of 1974; U.S. Customs and Border Protection-014 
Regulatory Audit Archive System (RAAS) System of Records

AGENCY: Privacy Office; DHS.

ACTION: Notice of Privacy Act system of records.

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SUMMARY: In accordance with the Privacy Act of 1974 and as part of the 
Department of Homeland Security's ongoing effort to review and update 
legacy system of record notices, the Department of Homeland Security/
U.S. Customs and Border Protection proposes to update and reissue the 
following legacy record system, Treasury/CS.206 Regulatory Audits of 
Customhouse Brokers, October 18, 2001, as a U.S. Customs and Border 
Protection system of records notice titled, U.S. Customs and Border 
Protection Regulatory Audits of Customs Brokers. Categories of 
individuals, categories of records, and the routine uses of this legacy 
system of records notice have been reviewed and updated to better 
reflect the Department of Homeland Security/U.S. Customs and Border 
Protection Regulatory Audit Archive System (RAAS). Additionally, the 
Department of Homeland Security is issuing a notice of proposed 
rulemaking concurrent with this system of records notice in the Federal 
Register. The exemptions for the legacy system of records notices will 
continue to be applicable until the final rule for this system of 
records notice is completed. This reissued system will be included in 
the Department of Homeland Security's inventory of record systems.

DATES: Written comments must be submitted on or before January 20, 
2009.

ADDRESSES: You may submit comments, identified by docket number DHS-
2008-0156 by one of the following methods:
     Federal e-Rulemaking Portal: https://www.regulations.gov. 
Follow the instructions for submitting comments.
     Fax: 1-866-466-5370.
     Mail: Hugo Teufel III, Chief Privacy Officer, Privacy 
Office, Department of Homeland Security, Washington, DC 20528.
     Instructions: All submissions received must include the 
agency name and docket number for this rulemaking. All comments 
received will be posted without change to https://www.regulations.gov, 
including any personal information provided.
     Docket: For access to the docket, to read background 
documents, or comments received go to https://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: For general questions please contact: 
Laurence E. Castelli (202-325-0280), Chief, Privacy Act Policy and 
Procedures Branch, U.S. Customs and Border Protection, Office of 
International Trade, Regulations & Rulings, Mint Annex, 1300 
Pennsylvania Ave., NW., Washington, DC 20229. For privacy issues 
contact: Hugo Teufel III (703-235-0780), Chief Privacy Officer, Privacy 
Office, U.S. Department of Homeland Security, Washington, DC 20528.

SUPPLEMENTARY INFORMATION:

I. Background

    Pursuant to the savings clause in the Homeland Security Act of 
2002, Public Law 107-296, Section 1512, 116 Stat. 2310 (November 25, 
2002), the Department of Homeland Security (DHS)/U.S. Customs and 
Border Protection (CBP) have relied on preexisting Privacy Act system 
of records notices for the collection and maintenance of records that 
concern records on regulatory audits of customs brokers.
    As part of its efforts to streamline and consolidate its record 
systems, DHS is updating and reissuing a DHS/CBP system of records 
under the Privacy Act (5 U.S.C. 552a) that deals with

[[Page 77808]]

regulatory audits of customs brokers. These audits are part of CBP's 
continuing oversight of Customs Brokers, who are licensed by CBP, 
pursuant to 19 U.S.C. 1641, to act as agents for importers in the entry 
of merchandise and payment of duties and fees. This SORN also covers 
information maintained with respect to other persons, engaged in 
international trade, who are the subject of a regulatory audit or are 
identified in and related to the scope of an audit report.
    In accordance with the Privacy Act of 1974 and as part of DHS's 
ongoing effort to review and update legacy system of record notices, 
DHS proposes to update and reissue the following legacy record system, 
Treasury/CS.206 Regulatory Audits of Customhouse Brokers (66 FR 52984 
October 18, 2001), as a DHS/CBP system of records notice titled, U.S. 
Customs and Border Protection--014 Regulatory Audit Archive System 
(RAAS). Categories of individuals and categories of records have been 
reviewed, and the routine uses of this legacy system of records notice 
have been updated to better reflect the DHS/CBP--014 Regulatory Audit 
Archive System (RAAS) record system. Additionally, DHS is issuing a 
notice of proposed rulemaking (NPRM) concurrent with this system of 
records notice (SORN) in the Federal Register. The exemptions for the 
legacy SORN will continue to be applicable until the final rule for 
this SORN is completed. This reissued system will be included in DHS's 
inventory of record systems.

II. Privacy Act

    The Privacy Act embodies fair information principles in a statutory 
framework governing the means by which the U.S. Government collects, 
maintains, uses, and disseminates individuals' records. The Privacy Act 
applies to information that is maintained in a ``system of records.'' A 
``system of records'' is a group of any records under the control of an 
agency for which information is retrieved by the name of an individual 
or by some identifying number, symbol, or other identifying particular 
assigned to the individual. In the Privacy Act, an individual is 
defined to encompass U.S. citizens and lawful permanent residents. As a 
matter of policy, DHS extends administrative Privacy Act protections to 
all individuals where systems of records maintain information on U.S. 
citizens, lawful permanent residents, and visitors. Individuals may 
request access to their own records that are maintained in a system of 
records in the possession or under the control of DHS by complying with 
DHS Privacy Act regulations, 6 CFR part 5.
    The Privacy Act requires that each agency publish in the Federal 
Register a description denoting the type and character of each system 
of records in order to make agency recordkeeping practices transparent, 
to notify individuals about the use of their records, and to assist the 
individual to more easily find files within the agency. Below is a 
description of the Regulatory Audits of Customs Brokers System of 
Records.
    In accordance with 5 U.S.C. 552a(r), DHS has provided a report of 
this revised system of records to the Office of Management and Budget 
and to the Congress.
System of Records:
    DHS/CBP-014.

System name:
    U.S. Customs and Border Protection--014 Regulatory Audit Archive 
System (RAAS).

Security classification:
    Unclassified.

System location:
    Records are maintained at the U.S. Customs and Border Protection 
Headquarters in Washington, DC and in field offices.

Categories of individuals covered by the system:
    Categories of individuals covered by this system include persons 
licensed as a customs broker, employees of a customs broker, clients, 
and other persons engaged in international trade who are identified in 
an audit report. Additionally, individuals who have been given access 
to RAAS for authorized purposes.

Categories of records in the system:
    Categories of records in this system include:
     Individual's name, including names of officers of customs 
broker firms or other business entities engaged in international trade 
and identified as a subject of an audit or related to the scope of an 
audit;
     Audit reports of subject accounts and records;
     Correspondence with the subject of the audits and such 
audit reports;
     Congressional inquiries concerning customs brokers or 
other audit subjects and disposition made of such inquiries; and
     License and permit numbers and dates issued and district 
or port covered.

Authority for maintenance of the system:
    5 U.S.C. 301; the Federal Records Act, 44 U.S.C. 3101; 19 U.S.C. 
1508, 1509, 1641; and 19 CFR parts 111, 143, and 163.

Purpose(s):
    The purpose of this system is to collect and maintain records on 
the regulatory audits of customs brokers. These audits are part of 
CBP's continuing oversight of Customs Brokers, who are licensed by CBP, 
pursuant to 19 U.S.C. 1641, to act as agents for importers in the entry 
of merchandise and payment of duties and fees. The system also 
maintains the records of audits conducted on other persons or business 
entities engaged in international trade.

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, all or a portion of the records of 
information contained in this system may be disclosed outside DHS as a 
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
    A. To the Department of Justice or other Federal agency conducting 
litigation or in proceedings before any court, adjudicative or 
administrative body, when it is necessary to the litigation and one of 
the following is a party to the litigation or has an interest in such 
litigation:
    1. DHS or any component thereof;
    2. Any employee of DHS or any component in his/her official 
capacity;
    3. Any employee of DHS or any component in his/her individual 
capacity where DOJ or DHS has agreed to represent the employee; or
    4. The U.S. or any agency thereof, is a party to the litigation or 
has an interest in such litigation, and DHS or CBP determines that the 
records are both relevant and necessary to the litigation and the use 
of such records is compatible with the purpose for which DHS or CBP 
collected the records.
    B. To a congressional office in response to an inquiry from that 
congressional office made at the request of the individual to whom the 
record pertains.
    C. To the National Archives and Records Administration or other 
Federal government agencies pursuant to records management inspections 
being conducted under the authority of 44 U.S.C. 2904 and 2906.
    D. To an agency, organization, or individual for the purpose of 
performing audit or oversight operations as

[[Page 77809]]

authorized by law, but only such information as is necessary and 
relevant to such audit or oversight function.
    E. To appropriate agencies, entities, and persons when:
    1. DHS or CBP suspects or has confirmed that the security or 
confidentiality of information in the system of records has been 
compromised;
    2. DHS or CBP 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 DHS, CBP, or another agency or entity) or harm to the 
individual who relies upon the compromised information; and
    3. The disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with DHS or CBP's efforts 
to respond to the suspected or confirmed compromise and prevent, 
minimize, or remedy such harm.
    F. To contractors and their agents, grantees, experts, consultants, 
and others performing or working on a contract, service, grant, 
cooperative agreement, or other assignment for DHS or CBP, when 
necessary to accomplish an agency function related to this system of 
records. Individuals provided information under this routine use are 
subject to the same Privacy Act requirements and limitations on 
disclosure as are applicable to DHS/CBP officers and employees.
    G. To appropriate Federal, State, local, tribal, or foreign 
governmental agencies or multilateral governmental organizations 
responsible for investigating or prosecuting the violations of, or for 
enforcing or implementing, a statute, rule, regulation, order, license, 
or treaty where DHS determines that the information would assist in the 
enforcement of civil or criminal laws.
    H. To an appropriate Federal, State, local, tribal, foreign, or 
international agency, if the information is relevant and necessary to a 
requesting agency's decision concerning the hiring or retention of an 
individual, or issuance of a security clearance, license, contract, 
grant, or other benefit, or if the information is relevant and 
necessary to a DHS decision concerning the hiring or retention of an 
employee, the issuance of a security clearance, the reporting of an 
investigation of an employee, the letting of a contract, or the 
issuance of a license, grant or other benefit and disclosure is 
appropriate to the proper performance of the official duties of the 
person making the request.
    I. To a court, magistrate, or administrative tribunal in the course 
of presenting evidence, including disclosures to opposing counsel or 
witnesses in the course of civil discovery, litigation, or settlement 
negotiations or in connection with criminal law proceedings or in 
response to a subpoena from a court of competent jurisdiction.
    J. To third parties during the course of a law enforcement 
investigation to the extent necessary to obtain information pertinent 
to the investigation, provided disclosure is appropriate to the proper 
performance of the official duties of the officer making the 
disclosure.
    K. To the news media and the public, with the approval of the Chief 
Privacy Officer in consultation with counsel, when there exists a 
legitimate public interest in the disclosure of the information or when 
disclosure is necessary to preserve confidence in the integrity of DHS 
or is necessary to demonstrate the accountability of DHS's officers, 
employees, or individuals covered by the system, except to the extent 
it is determined that release of the specific information in the 
context of a particular case would constitute an unwarranted invasion 
of personal privacy.

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records in this system are stored electronically or on paper in 
secure facilities in a locked drawer behind a locked door. The records 
are stored on magnetic disc, tape, digital media, and CD-ROM.

Retrievability:
    Individual's name or audit report file number.

Safeguards:
    Records in this system are safeguarded in accordance with 
applicable rules and policies, including all applicable DHS automated 
systems security and access policies. Strict controls have been imposed 
to minimize the risk of compromising the information that is being 
stored. Access to this computer system containing the records in this 
system is limited to those individuals who have a need to know the 
information for the performance of their official duties and who have 
appropriate clearances or permissions.

Retention and disposal:
    Regulatory Audit files are retained for 10 years, and then placed 
in General Service Administration long-term archival storage.

System Manager and address:
    Executive Director, Office of Regulatory Audit, Customs and Border 
Protection Headquarters, 1300 Pennsylvania Avenue, NW., Mint Annex, 
Washington, DC 20229.

Notification procedure:
    Individuals seeking notification of and access to any record 
contained in this system of records, or seeking to contest its content, 
may submit a request in writing to CBP's FOIA Officer, 1300 
Pennsylvania Avenue, NW., Mint Annex, Washington, DC 20229.
    When seeking records about yourself from this system of records or 
any other CBP system of records your request must conform with the 
Privacy Act regulations set forth in 6 CFR Part 5. You must first 
verify your identity, meaning that you must provide your full name, 
current address and date and place of birth. You must sign your 
request, and your signature must either be notarized or submitted under 
28 U.S.C. 1746, a law that permits statements to be made under penalty 
of perjury as a substitute for notarization. While no specific form is 
required, you may obtain forms for this purpose from the Director, 
Disclosure and FOIA, https://www.dhs.gov or 1-866-431-0486. In addition 
you should provide the following:
     An explanation of why you believe the Department would 
have information on you,
     Specify when you believe the records would have been 
created,
     If your request is seeking records pertaining to another 
living individual, you must include a statement from that individual 
certifying his/her agreement for you to access his/her records.
    Without this bulleted information CBP may not be able to conduct an 
effective search, and your request may be denied due to lack of 
specificity or lack of compliance with applicable regulations.

Record access procedures:
    See ``Notification procedure'' above.

Contesting record procedures:
    See ``Notification procedure'' above.

Record Source Categories:
    The information contained in these files originates in connection 
with customs broker audits and audits of other persons engaged in 
international

[[Page 77810]]

commerce conducted by the regulatory audit staffs. The audits may be 
supplemented with information furnished by the Office of the Chief 
Counsel or its field offices, Office of International Trade, Office of 
Regulations and Rulings, and the Office of Investigations, U.S. 
Immigration and Customs Enforcement. These audits include examinations 
of brokers, importers, and other persons, who are engaged in 
international trade, business records, including data maintained in 
support of client customs business.

Exemptions claimed for the system:
    This system is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), 
(e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) of the Privacy Act pursuant to 
5 U.S.C. 552a(k)(2).

    Dated: December 10, 2008.
Hugo Teufel III,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. E8-29846 Filed 12-18-08; 8:45 am]
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