Privacy Act of 1974: Implementation of Exemptions; Department of Homeland Security, U.S. Customs and Border Protection, DHS/CBP-017 Analytical Framework for Intelligence (AFI) System of Records, 33683-33685 [2012-13815]
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Federal Register / Vol. 77, No. 110 / Thursday, June 7, 2012 / Proposed Rules
mismanagement, gross waste of funds,
abuse of authority, or substantial and
specific danger to public health or
safety. It does not include a disclosure
that is specifically prohibited by law or
required by Executive order to be kept
secret in the interest of national defense
or foreign affairs, unless such
information is disclosed to the Special
Counsel, the Inspector General of an
agency, or an employee designated by
the head of the agency to receive it.
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67. In § 1209.5 revise paragraphs (a)
and (b) as follows:
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§ 1209.5
Time of filing.
(a) General rule. The appellant must
seek corrective action from the Special
Counsel before appealing to the Board
unless the action being appealed is
otherwise appealable directly to the
Board and the appellant has elected a
direct appeal. (See § 1209.2(d) regarding
election of remedies under 5 U.S.C.
7121(g)). Where the appellant has
sought corrective action, the time limit
for filing an appeal with the Board is
governed by 5 U.S.C. 1214(a)(3). Under
that section, an appeal must be filed:
(1) No later than 65 days after the date
of issuance of the Special Counsel’s
written notification to the appellant that
it was terminating its investigation of
the appellant’s allegations or, if the
appellant shows that the Special
Counsel’s notification was received
more than 5 days after the date of
issuance, within 60 days after the date
the appellant received the Special
Counsel’s notification; or
(2) At any time after the expiration of
120 days, if the Special Counsel has not
notified the appellant that it will seek
corrective action on the appellant’s
behalf within 120 days of the date of
filing of the request for corrective
action.
(b) Equitable tolling; extension of
filing deadline. The appellant’s deadline
for filing an individual right of action
appeal with the Board after receiving
written notification from the Special
Counsel that it was terminating its
investigation of his or her allegations is
subject to the doctrine of equitable
tolling, which permits the Board to
extend the deadline where the
appellant, despite having diligently
pursued his or her rights, was unable to
make a timely filing. Examples include
cases involving deception or in which
the appellant filed a defective pleading
during the statutory period.
(c) * * *
68. In § 1209.6 revise paragraph (b) to
read as follows:
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§ 1209.6 Content of appeal; right to
hearing.
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(b) Right to hearing. An appellant
generally has a right to a hearing if the
appeal has been timely filed and the
Board has jurisdiction over the appeal.
*
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William D. Spencer,
Clerk of the Board.
[FR Doc. 2012–13655 Filed 6–6–12; 8:45 am]
BILLING CODE 7400–01–P
DEPARTMENT OF HOMELAND
SECURITY
Office of the Secretary
6 CFR Part 5
[Docket No. DHS–2011–0114]
Privacy Act of 1974: Implementation of
Exemptions; Department of Homeland
Security, U.S. Customs and Border
Protection, DHS/CBP—017 Analytical
Framework for Intelligence (AFI)
System of Records
Privacy Office, DHS.
Notice of proposed rulemaking.
AGENCY:
ACTION:
The Department of Homeland
Security is giving concurrent notice of a
newly established system of records
pursuant to the Privacy Act of 1974 for
the ‘‘Department of Homeland Security/
U.S. Customs and Border Protection—
017 Analytical Framework for
Intelligence (AFI) System of Records’’
and this proposed rulemaking. In this
proposed rulemaking, the Department
proposes to exempt the system of
records from one or more provisions of
the Privacy Act because of criminal,
civil, and administrative enforcement
requirements.
DATES: Comments must be received on
or before July 9, 2012.
ADDRESSES: You may submit comments,
identified by docket number DHS–
2012–0114, by one of the following
methods:
• Federal e-Rulemaking Portal:
https://www.regulations.gov. Follow the
instructions for submitting comments.
• Fax: 703–483–2999.
• Mail: Mary Ellen Callahan, 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 notice. All
comments received will be posted
without change to https://
www.regulations.gov, including any
personal information provided.
SUMMARY:
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33683
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),
CBP Privacy Officer, Office of
International Trade, U.S. Customs and
Border Protection, Mint Annex, 799
Ninth Street NW., Washington, DC
20229. For privacy issues please
contact: Mary Ellen Callahan (703–235–
0780), Chief Privacy Officer, Privacy
Office, Department of Homeland
Security, Washington, DC 20528.
SUPPLEMENTARY INFORMATION:
I. Background
In accordance with the Privacy Act of
1974, 5 U.S.C. 552a, the Department of
Homeland Security (DHS) U.S. Customs
and Border Protection (CBP) proposes to
establish a new DHS system of records
titled, ‘‘DHS/U.S. Customs and Border
Protection, DHS/CBP—017 Analytical
Framework for Intelligence (AFI)
System of Records.’’
AFI enhances DHS’s ability to
identify, apprehend, and prosecute
individuals who pose a potential law
enforcement or security risk; and aids in
the enforcement of customs and
immigration laws, and other laws
enforced by DHS at the border. AFI is
used for the purposes of: (1) Identifying
individuals, associations, or
relationships that may pose a potential
law enforcement or security risk,
targeting cargo that may present a threat,
and assisting intelligence product users
in the field in preventing the illegal
entry of people and goods, or
identifying other violations of law; (2)
conducting additional research on
persons and/or cargo to understand
whether there are patterns or trends that
could assist in the identification of
potential law enforcement or security
risks; and (3) sharing finished
intelligence products developed in
connection with the above purposes
with DHS employees who have a need
to know in the performance of their
official duties and who have appropriate
clearances or permissions. Finished
intelligence products are tactical,
operational, and strategic law
enforcement intelligence products that
have been reviewed and approved for
sharing with finished intelligence
product users and authorities outside of
DHS, pursuant to routine uses.
To support its capability to query,
efficiently, multiple data sources, AFI
creates and maintains an index, which
is a portion of the necessary and
relevant data in existing operational
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Federal Register / Vol. 77, No. 110 / Thursday, June 7, 2012 / Proposed Rules
DHS source systems, by ingesting this
data through and from the Automated
Targeting System (ATS) and those
source systems. In addition to the index,
AFI provides AFI analysts with different
tools that assist in detecting trends,
patterns, and emerging threats, and in
identifying non-obvious relationships.
AFI improves the efficiency and
effectiveness of CBP’s research and
analysis process by providing a platform
for the research, collaboration, approval,
and publication of finished intelligence
products.
AFI provides a platform for preparing
responses to requests for information
(RFIs). AFI will centrally maintain the
requests, the research based on those
requests, and the response to those
requests. AFI allows analysts to perform
federated queries against external data
sources, including the Department of
State, the Department of Justice/FBI, as
well as publicly and commercially
available data sources and, eventually,
classified data. AFI also enables an
authorized user to search the Internet
for additional information that may
contribute to an intelligence gathering
and analysis effort. AFI facilitates the
sharing of finished intelligence products
within DHS and tracks sharing outside
of DHS.
Two principal types of users will
access AFI: DHS analysts and DHS
finished intelligence product users.
Analysts will use the system to obtain
a more comprehensive view of data
available to CBP, and then analyze and
interpret that data using the
visualization and collaboration tools
accessible in AFI. If an analyst finds
actionable terrorist, law enforcement, or
intelligence information, he may use
relevant information to produce a
report, create an alert, or take some
other appropriate action within DHS’s
mission and authorities. In addition to
using AFI as a workspace to analyze and
interpret data, analysts may submit or
respond to RFIs, assign tasks, or create
finished intelligence products based on
their research or in response to an RFI.
Finished intelligence product users are
officers, agents, and employees of DHS
who have been determined to have a
need to know in the performance of
their official duties and who have
appropriate clearances or permissions.
Finished intelligence product users will
have more limited access to AFI, will
not have access to the research space or
tools, and will only view finished
intelligence products that analysts
published in AFI. Finished intelligence
product users are not able to query the
data from the source systems through
AFI.
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AFI performs extensive auditing that
records the search activities of all users
to mitigate any risk of authorized users
conducting searches for inappropriate
purposes. AFI also requires that analysts
re-certify annually any user-provided
information marked as containing PII to
ensure its continued relevance and
accuracy. Analysts will be prompted to
re-certify any documents that maintain
PII which are not related to a finished
intelligence product. Information that is
not re-certified is automatically purged
from AFI. Account access is controlled
by AFI passing individual user
credentials to the originating system or
through a previously approved
certification process in another system
in order to minimize the risk of
unauthorized access. When an analyst
conducts a search for products, AFI will
only display those results that an
individual user has permission to view.
Consistent with DHS’s information
sharing mission, information stored in
AFI may be shared consistent with the
Privacy Act, including in accordance
with the routine uses, and applicable
laws as described below including
sharing with other DHS components
and appropriate federal, state, local,
tribal, territorial, foreign, multilateral, or
international government agencies. This
sharing will only take place after DHS
determines that the receiving
component or agency has a need to
know the information and the
information will be used consistent with
the Privacy Act, including the routine
uses set forth in the SORN, in order to
carry out national security, law
enforcement, customs, immigration,
intelligence, or other authorized
functions.
DHS is claiming exemptions from
certain requirements of the Privacy Act
for DHS/CBP—017 Analytical
Framework for Intelligence (AFI)
System of Records. Some information in
AFI relates to official DHS national
security, law enforcement, and
immigration activities. The exemptions
are required to preclude subjects from
compromising an ongoing law
enforcement, national security or fraud
investigation; to avoid disclosure of
investigative techniques; to protect the
identities and physical safety of
confidential informants and law
enforcement personnel; and to ensure
DHS’s ability to obtain information from
third parties and other sources.
Pursuant to 5 U.S.C. 552a(j)(2), this
system is exempted from the following
provisions of the Privacy Act: 5 U.S.C.
552a(c)(3) and (c)(4); (d); (e)(1), (e)(2),
(e)(3), (e)(4)(G), (e)(4)(H), (e)(5), (e)(8);
(f); and (g). Additionally, pursuant to 5
U.S.C. 552a(k)(1) and (2) this system is
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exempted from the following provisions
of the Privacy Act: 5 U.S.C 552a(c)(3);
(d); (e)(1), (e)(4)(G), (e)(4)(H); and (f).
Many of the functions in this system
require retrieving records from law
enforcement systems. Where a record
received from another system has been
exempted in that source system under 5
U.S.C. 552a(j)(2), (k)(1) and/or (k)(2),
DHS will claim the same exemptions for
those records that are claimed for the
original primary systems of records from
which they originated and claims any
additional exemptions in accordance
with this rule.
The exemptions proposed here are
standard for agencies where the
information may contain investigatory
materials compiled for law enforcement
purposes. These exemptions are
exercised by executive federal agencies.
In appropriate circumstances, where
compliance would not appear to
interfere with or adversely affect the
overall law enforcement process, the
applicable exemptions may be waived
on a case-by-case basis.
A notice of system of records for DHS/
CBP—017 Analytical Framework for
Intelligence (AFI) is also published in
this issue of the Federal Register.
II. Privacy Act
The Privacy Act embodies fair
information practice principles in a
statutory framework governing the
means by which the U.S. Government
collects, maintains, uses, and
disseminates personally identifiable
information. 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 from which
information is retrieved by the name of
the 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 persons,
regardless of citizenship, where a
system of records maintains information
on both U.S. citizens and lawful
permanent residents, as well as visitors.
The Privacy Act allows government
agencies to exempt systems of records
from certain provisions of the Act. If an
agency claims an exemption, however,
it must issue a Notice of Proposed
Rulemaking and a Final Rule to make
clear to the public the reasons why a
particular exemption is claimed.
List of Subjects in 6 CFR Part 5
Freedom of information; Privacy.
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Federal Register / Vol. 77, No. 110 / Thursday, June 7, 2012 / Proposed Rules
For the reasons stated in the
preamble, DHS proposes to amend
Chapter I of Title 6, Code of Federal
Regulations, as follows:
PART 5—DISCLOSURE OF RECORDS
AND INFORMATION
1. The authority citation for Part 5
continues to read as follows:
Authority: Public Law 107–296, 116 Stat.
2135; (6 U.S.C. 101 et seq.); 5 U.S.C. 301.
Subpart A also issued under 5 U.S.C. 552.
Subpart B also issued under 5 U.S.C. 552a.
2. Add at the end of Appendix C to
Part 5, the following new paragraph
‘‘68’’:
Appendix C to Part 5—DHS Systems of
Records Exempt From the Privacy Act
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68. The DHS/CBP—017 Analytical
Framework for Intelligence (AFI) System of
Records consists of electronic and paper
records and will be used by DHS and its
components. The DHS/CBP—017 Analytical
Framework for Intelligence (AFI) System of
Records is a repository of information held
by DHS to enhance DHS’s ability to: identify,
apprehend, and/or prosecute individuals
who pose a potential law enforcement or
security risk; aid in the enforcement of the
customs and immigration laws, and other
laws enforced by DHS at the border; and
enhance United States security. This system
also supports certain other DHS programs
whose functions include, but are not limited
to, the enforcement of civil and criminal
laws; investigations, inquiries, and
proceedings there under; and national
security and intelligence activities. The DHS/
CBP—017 Analytical Framework for
Intelligence (AFI) System of Records contains
information that is collected by, on behalf of,
in support of, or in cooperation with DHS
and its components and may contain
personally identifiable information collected
by other federal, state, local, tribal, foreign,
or international government agencies. The
Secretary of Homeland Security has
exempted this system from certain provisions
of the Privacy Act as follows:
• Pursuant to 5 U.S.C. 552a(j)(2), the
system is exempt from 5 U.S.C. 552a(c)(3)
and (c)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G),
(e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (f), and (g).
• Pursuant to 5 U.S.C. 552a(j)(2), the
system (except for any records that were
ingested by AFI where the source system of
records already provides access and/or
amendment under the Privacy Act) is exempt
from 5 U.S.C. 552a(d)(1), (d)(2), (d)(3), and
(d)(4).
• Pursuant to 5 U.S.C. 552a(k)(1), the
system is exempt from 5 U.S.C. 552a(c)(3);
(e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f).
• Pursuant to 5 U.S.C. 552a(k)(1), the
system is exempt from (d)(1), (d)(2), (d)(3),
and (d)(4).
• Pursuant to 5 U.S.C. 552a(k)(2), the
system is exempt from 5 U.S.C. 552a(c)(3);
(e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f).
• Pursuant to 5 U.S.C. 552a(k)(2), the
system (except for any records that were
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ingested by AFI where the source system of
records already provides access and/or
amendment under the Privacy Act) is exempt
from (d)(1), (d)(2), (d)(3), and (d)(4).
Exemptions from these particular subsections
are justified, on a case-by-case basis to be
determined at the time a request is made, for
the following reasons:
(a) From subsection (c)(3) and (4)
(Accounting for Disclosures) because release
of the accounting of disclosures could alert
the subject of an investigation of an actual or
potential criminal, civil, or regulatory
violation to the existence of that investigation
and reveal investigative interest on the part
of DHS as well as the recipient agency.
Disclosure of the accounting would therefore
present a serious impediment to law
enforcement efforts and/or efforts to preserve
national security. Disclosure of the
accounting would also permit the individual
who is the subject of a record to impede the
investigation, to tamper with witnesses or
evidence, and to avoid detection or
apprehension, which would undermine the
entire investigative process.
(b) From subsection (d) (Access to Records)
because access to the records contained in
this system of records could inform the
subject of an investigation of an actual or
potential criminal, civil, or regulatory
violation to the existence of that investigation
and reveal investigative interest on the part
of DHS or another agency. Access to the
records could permit the individual who is
the subject of a record to impede the
investigation, to tamper with witnesses or
evidence, and to avoid detection or
apprehension. Amendment of the records
could interfere with ongoing investigations
and law enforcement activities and would
impose an unreasonable administrative
burden by requiring investigations to be
continually reinvestigated. In addition,
permitting access and amendment to such
information could disclose security-sensitive
information that could be detrimental to
homeland security.
(c) From subsection (e)(1) (Relevancy and
Necessity of Information) because in the
course of investigations into potential
violations of federal law, the accuracy of
information obtained or introduced
occasionally may be unclear, or the
information may not be strictly relevant or
necessary to a specific investigation. In the
interests of effective law enforcement and
national security, it is appropriate to retain
all information that may aid in establishing
patterns of unlawful activity.
(d) From subsection (e)(2) (Collection of
Information from Individuals) because
requiring that information be collected from
the subject of an investigation would alert the
subject to the nature or existence of the
investigation, thereby interfering with that
investigation and related law enforcement
and national security activities.
(e) From subsection (e)(3) (Notice to
Individuals) because providing such detailed
information could impede law enforcement
and national security by compromising the
existence of a confidential investigation or
reveal the identity of witnesses or
confidential informants.
(f) From subsections (e)(4)(G), (e)(4)(H),
and (e)(4)(I) (Agency Requirements) and (f)
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33685
(Agency Rules), because portions of this
system are exempt from the individual access
provisions of subsection (d) for the reasons
noted above, and therefore DHS is not
required to establish requirements, rules, or
procedures with respect to such access.
Providing notice to individuals with respect
to existence of records pertaining to them in
the system of records or otherwise setting up
procedures pursuant to which individuals
may access and view records pertaining to
themselves in the system would undermine
investigative efforts and reveal the identities
of witnesses, and potential witnesses, and
confidential informants.
(g) From subsection (e)(5) (Collection of
Information) because with the collection of
information for law enforcement purposes, it
is impossible to determine in advance what
information is accurate, relevant, timely, and
complete. Compliance with subsection (e)(5)
would preclude DHS agents from using their
investigative training and exercise of good
judgment to both conduct and report on
investigations.
(h) From subsection (e)(8) (Notice on
Individuals) because compliance would
interfere with DHS’s ability to obtain, serve,
and issue subpoenas, warrants, and other law
enforcement mechanisms that may be filed
under seal and could result in disclosure of
investigative techniques, procedures, and
evidence.
(i) From subsection (g)(1) (Civil Remedies)
to the extent that the system is exempt from
other specific subsections of the Privacy Act.
Dated: June 4, 2012.
Mary Ellen Callahan,
Chief Privacy Officer, Department of
Homeland Security.
[FR Doc. 2012–13815 Filed 6–6–12; 8:45 am]
BILLING CODE 9110–06–P
DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Part 71
[Docket No. FAA–2012–0365; Airspace
Docket No. 12–ASO–22]
Proposed Establishment of Class E
Airspace; Arcadia, FL
Federal Aviation
Administration (FAA), DOT.
ACTION: Notice of proposed rulemaking
(NPRM).
AGENCY:
This action proposes to
establish Class E Airspace at Arcadia,
FL, to accommodate the Area
Navigation (RNAV) Global Positioning
System (GPS) Standard Instrument
Approach Procedures at Arcadia
Municipal Airport. This action would
enhance the safety and airspace
management of Instrument Flight Rules
(IFR) operations at the airport.
DATES: Comments must be received on
or before July 23, 2012. The Director of
SUMMARY:
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]]>Agencies
[Federal Register Volume 77, Number 110 (Thursday, June 7, 2012)]
[Proposed Rules]
[Pages 33683-33685]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-13815]
=======================================================================
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DEPARTMENT OF HOMELAND SECURITY
Office of the Secretary
6 CFR Part 5
[Docket No. DHS-2011-0114]
Privacy Act of 1974: Implementation of Exemptions; Department of
Homeland Security, U.S. Customs and Border Protection, DHS/CBP--017
Analytical Framework for Intelligence (AFI) System of Records
AGENCY: Privacy Office, DHS.
ACTION: Notice of proposed rulemaking.
-----------------------------------------------------------------------
SUMMARY: The Department of Homeland Security is giving concurrent
notice of a newly established system of records pursuant to the Privacy
Act of 1974 for the ``Department of Homeland Security/U.S. Customs and
Border Protection--017 Analytical Framework for Intelligence (AFI)
System of Records'' and this proposed rulemaking. In this proposed
rulemaking, the Department proposes to exempt the system of records
from one or more provisions of the Privacy Act because of criminal,
civil, and administrative enforcement requirements.
DATES: Comments must be received on or before July 9, 2012.
ADDRESSES: You may submit comments, identified by docket number DHS-
2012-0114, by one of the following methods:
Federal e-Rulemaking Portal: https://www.regulations.gov.
Follow the instructions for submitting comments.
Fax: 703-483-2999.
Mail: Mary Ellen Callahan, 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 notice. 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), CBP Privacy Officer, Office of
International Trade, U.S. Customs and Border Protection, Mint Annex,
799 Ninth Street NW., Washington, DC 20229. For privacy issues please
contact: Mary Ellen Callahan (703-235-0780), Chief Privacy Officer,
Privacy Office, Department of Homeland Security, Washington, DC 20528.
SUPPLEMENTARY INFORMATION:
I. Background
In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, the
Department of Homeland Security (DHS) U.S. Customs and Border
Protection (CBP) proposes to establish a new DHS system of records
titled, ``DHS/U.S. Customs and Border Protection, DHS/CBP--017
Analytical Framework for Intelligence (AFI) System of Records.''
AFI enhances DHS's ability to identify, apprehend, and prosecute
individuals who pose a potential law enforcement or security risk; and
aids in the enforcement of customs and immigration laws, and other laws
enforced by DHS at the border. AFI is used for the purposes of: (1)
Identifying individuals, associations, or relationships that may pose a
potential law enforcement or security risk, targeting cargo that may
present a threat, and assisting intelligence product users in the field
in preventing the illegal entry of people and goods, or identifying
other violations of law; (2) conducting additional research on persons
and/or cargo to understand whether there are patterns or trends that
could assist in the identification of potential law enforcement or
security risks; and (3) sharing finished intelligence products
developed in connection with the above purposes with DHS employees who
have a need to know in the performance of their official duties and who
have appropriate clearances or permissions. Finished intelligence
products are tactical, operational, and strategic law enforcement
intelligence products that have been reviewed and approved for sharing
with finished intelligence product users and authorities outside of
DHS, pursuant to routine uses.
To support its capability to query, efficiently, multiple data
sources, AFI creates and maintains an index, which is a portion of the
necessary and relevant data in existing operational
[[Page 33684]]
DHS source systems, by ingesting this data through and from the
Automated Targeting System (ATS) and those source systems. In addition
to the index, AFI provides AFI analysts with different tools that
assist in detecting trends, patterns, and emerging threats, and in
identifying non-obvious relationships.
AFI improves the efficiency and effectiveness of CBP's research and
analysis process by providing a platform for the research,
collaboration, approval, and publication of finished intelligence
products.
AFI provides a platform for preparing responses to requests for
information (RFIs). AFI will centrally maintain the requests, the
research based on those requests, and the response to those requests.
AFI allows analysts to perform federated queries against external data
sources, including the Department of State, the Department of Justice/
FBI, as well as publicly and commercially available data sources and,
eventually, classified data. AFI also enables an authorized user to
search the Internet for additional information that may contribute to
an intelligence gathering and analysis effort. AFI facilitates the
sharing of finished intelligence products within DHS and tracks sharing
outside of DHS.
Two principal types of users will access AFI: DHS analysts and DHS
finished intelligence product users. Analysts will use the system to
obtain a more comprehensive view of data available to CBP, and then
analyze and interpret that data using the visualization and
collaboration tools accessible in AFI. If an analyst finds actionable
terrorist, law enforcement, or intelligence information, he may use
relevant information to produce a report, create an alert, or take some
other appropriate action within DHS's mission and authorities. In
addition to using AFI as a workspace to analyze and interpret data,
analysts may submit or respond to RFIs, assign tasks, or create
finished intelligence products based on their research or in response
to an RFI. Finished intelligence product users are officers, agents,
and employees of DHS who have been determined to have a need to know in
the performance of their official duties and who have appropriate
clearances or permissions. Finished intelligence product users will
have more limited access to AFI, will not have access to the research
space or tools, and will only view finished intelligence products that
analysts published in AFI. Finished intelligence product users are not
able to query the data from the source systems through AFI.
AFI performs extensive auditing that records the search activities
of all users to mitigate any risk of authorized users conducting
searches for inappropriate purposes. AFI also requires that analysts
re-certify annually any user-provided information marked as containing
PII to ensure its continued relevance and accuracy. Analysts will be
prompted to re-certify any documents that maintain PII which are not
related to a finished intelligence product. Information that is not re-
certified is automatically purged from AFI. Account access is
controlled by AFI passing individual user credentials to the
originating system or through a previously approved certification
process in another system in order to minimize the risk of unauthorized
access. When an analyst conducts a search for products, AFI will only
display those results that an individual user has permission to view.
Consistent with DHS's information sharing mission, information
stored in AFI may be shared consistent with the Privacy Act, including
in accordance with the routine uses, and applicable laws as described
below including sharing with other DHS components and appropriate
federal, state, local, tribal, territorial, foreign, multilateral, or
international government agencies. This sharing will only take place
after DHS determines that the receiving component or agency has a need
to know the information and the information will be used consistent
with the Privacy Act, including the routine uses set forth in the SORN,
in order to carry out national security, law enforcement, customs,
immigration, intelligence, or other authorized functions.
DHS is claiming exemptions from certain requirements of the Privacy
Act for DHS/CBP--017 Analytical Framework for Intelligence (AFI) System
of Records. Some information in AFI relates to official DHS national
security, law enforcement, and immigration activities. The exemptions
are required to preclude subjects from compromising an ongoing law
enforcement, national security or fraud investigation; to avoid
disclosure of investigative techniques; to protect the identities and
physical safety of confidential informants and law enforcement
personnel; and to ensure DHS's ability to obtain information from third
parties and other sources.
Pursuant to 5 U.S.C. 552a(j)(2), this system is exempted from the
following provisions of the Privacy Act: 5 U.S.C. 552a(c)(3) and
(c)(4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5),
(e)(8); (f); and (g). Additionally, pursuant to 5 U.S.C. 552a(k)(1) and
(2) this system is exempted from the following provisions of the
Privacy Act: 5 U.S.C 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H); and
(f). Many of the functions in this system require retrieving records
from law enforcement systems. Where a record received from another
system has been exempted in that source system under 5 U.S.C.
552a(j)(2), (k)(1) and/or (k)(2), DHS will claim the same exemptions
for those records that are claimed for the original primary systems of
records from which they originated and claims any additional exemptions
in accordance with this rule.
The exemptions proposed here are standard for agencies where the
information may contain investigatory materials compiled for law
enforcement purposes. These exemptions are exercised by executive
federal agencies. In appropriate circumstances, where compliance would
not appear to interfere with or adversely affect the overall law
enforcement process, the applicable exemptions may be waived on a case-
by-case basis.
A notice of system of records for DHS/CBP--017 Analytical Framework
for Intelligence (AFI) is also published in this issue of the Federal
Register.
II. Privacy Act
The Privacy Act embodies fair information practice principles in a
statutory framework governing the means by which the U.S. Government
collects, maintains, uses, and disseminates personally identifiable
information. 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 from which information is
retrieved by the name of the 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 persons, regardless of
citizenship, where a system of records maintains information on both
U.S. citizens and lawful permanent residents, as well as visitors.
The Privacy Act allows government agencies to exempt systems of
records from certain provisions of the Act. If an agency claims an
exemption, however, it must issue a Notice of Proposed Rulemaking and a
Final Rule to make clear to the public the reasons why a particular
exemption is claimed.
List of Subjects in 6 CFR Part 5
Freedom of information; Privacy.
[[Page 33685]]
For the reasons stated in the preamble, DHS proposes to amend
Chapter I of Title 6, Code of Federal Regulations, as follows:
PART 5--DISCLOSURE OF RECORDS AND INFORMATION
1. The authority citation for Part 5 continues to read as follows:
Authority: Public Law 107-296, 116 Stat. 2135; (6 U.S.C. 101 et
seq.); 5 U.S.C. 301. Subpart A also issued under 5 U.S.C. 552.
Subpart B also issued under 5 U.S.C. 552a.
2. Add at the end of Appendix C to Part 5, the following new
paragraph ``68'':
Appendix C to Part 5--DHS Systems of Records Exempt From the Privacy
Act
* * * * *
68. The DHS/CBP--017 Analytical Framework for Intelligence (AFI)
System of Records consists of electronic and paper records and will
be used by DHS and its components. The DHS/CBP--017 Analytical
Framework for Intelligence (AFI) System of Records is a repository
of information held by DHS to enhance DHS's ability to: identify,
apprehend, and/or prosecute individuals who pose a potential law
enforcement or security risk; aid in the enforcement of the customs
and immigration laws, and other laws enforced by DHS at the border;
and enhance United States security. This system also supports
certain other DHS programs whose functions include, but are not
limited to, the enforcement of civil and criminal laws;
investigations, inquiries, and proceedings there under; and national
security and intelligence activities. The DHS/CBP--017 Analytical
Framework for Intelligence (AFI) System of Records contains
information that is collected by, on behalf of, in support of, or in
cooperation with DHS and its components and may contain personally
identifiable information collected by other federal, state, local,
tribal, foreign, or international government agencies. The Secretary
of Homeland Security has exempted this system from certain
provisions of the Privacy Act as follows:
Pursuant to 5 U.S.C. 552a(j)(2), the system is exempt
from 5 U.S.C. 552a(c)(3) and (c)(4), (e)(1), (e)(2), (e)(3),
(e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (f), and (g).
Pursuant to 5 U.S.C. 552a(j)(2), the system (except for
any records that were ingested by AFI where the source system of
records already provides access and/or amendment under the Privacy
Act) is exempt from 5 U.S.C. 552a(d)(1), (d)(2), (d)(3), and (d)(4).
Pursuant to 5 U.S.C. 552a(k)(1), the system is exempt
from 5 U.S.C. 552a(c)(3); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I);
and (f).
Pursuant to 5 U.S.C. 552a(k)(1), the system is exempt
from (d)(1), (d)(2), (d)(3), and (d)(4).
Pursuant to 5 U.S.C. 552a(k)(2), the system is exempt
from 5 U.S.C. 552a(c)(3); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I);
and (f).
Pursuant to 5 U.S.C. 552a(k)(2), the system (except for
any records that were ingested by AFI where the source system of
records already provides access and/or amendment under the Privacy
Act) is exempt from (d)(1), (d)(2), (d)(3), and (d)(4).
Exemptions from these particular subsections are justified, on a
case-by-case basis to be determined at the time a request is made,
for the following reasons:
(a) From subsection (c)(3) and (4) (Accounting for Disclosures)
because release of the accounting of disclosures could alert the
subject of an investigation of an actual or potential criminal,
civil, or regulatory violation to the existence of that
investigation and reveal investigative interest on the part of DHS
as well as the recipient agency. Disclosure of the accounting would
therefore present a serious impediment to law enforcement efforts
and/or efforts to preserve national security. Disclosure of the
accounting would also permit the individual who is the subject of a
record to impede the investigation, to tamper with witnesses or
evidence, and to avoid detection or apprehension, which would
undermine the entire investigative process.
(b) From subsection (d) (Access to Records) because access to
the records contained in this system of records could inform the
subject of an investigation of an actual or potential criminal,
civil, or regulatory violation to the existence of that
investigation and reveal investigative interest on the part of DHS
or another agency. Access to the records could permit the individual
who is the subject of a record to impede the investigation, to
tamper with witnesses or evidence, and to avoid detection or
apprehension. Amendment of the records could interfere with ongoing
investigations and law enforcement activities and would impose an
unreasonable administrative burden by requiring investigations to be
continually reinvestigated. In addition, permitting access and
amendment to such information could disclose security-sensitive
information that could be detrimental to homeland security.
(c) From subsection (e)(1) (Relevancy and Necessity of
Information) because in the course of investigations into potential
violations of federal law, the accuracy of information obtained or
introduced occasionally may be unclear, or the information may not
be strictly relevant or necessary to a specific investigation. In
the interests of effective law enforcement and national security, it
is appropriate to retain all information that may aid in
establishing patterns of unlawful activity.
(d) From subsection (e)(2) (Collection of Information from
Individuals) because requiring that information be collected from
the subject of an investigation would alert the subject to the
nature or existence of the investigation, thereby interfering with
that investigation and related law enforcement and national security
activities.
(e) From subsection (e)(3) (Notice to Individuals) because
providing such detailed information could impede law enforcement and
national security by compromising the existence of a confidential
investigation or reveal the identity of witnesses or confidential
informants.
(f) From subsections (e)(4)(G), (e)(4)(H), and (e)(4)(I) (Agency
Requirements) and (f) (Agency Rules), because portions of this
system are exempt from the individual access provisions of
subsection (d) for the reasons noted above, and therefore DHS is not
required to establish requirements, rules, or procedures with
respect to such access. Providing notice to individuals with respect
to existence of records pertaining to them in the system of records
or otherwise setting up procedures pursuant to which individuals may
access and view records pertaining to themselves in the system would
undermine investigative efforts and reveal the identities of
witnesses, and potential witnesses, and confidential informants.
(g) From subsection (e)(5) (Collection of Information) because
with the collection of information for law enforcement purposes, it
is impossible to determine in advance what information is accurate,
relevant, timely, and complete. Compliance with subsection (e)(5)
would preclude DHS agents from using their investigative training
and exercise of good judgment to both conduct and report on
investigations.
(h) From subsection (e)(8) (Notice on Individuals) because
compliance would interfere with DHS's ability to obtain, serve, and
issue subpoenas, warrants, and other law enforcement mechanisms that
may be filed under seal and could result in disclosure of
investigative techniques, procedures, and evidence.
(i) From subsection (g)(1) (Civil Remedies) to the extent that
the system is exempt from other specific subsections of the Privacy
Act.
Dated: June 4, 2012.
Mary Ellen Callahan,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2012-13815 Filed 6-6-12; 8:45 am]
BILLING CODE 9110-06-P
