Privacy Act of 1974: Implementation of Exemptions; Department of Homeland Security U.S. Customs and Border Protection-002 Global Enrollment System (GES), System of Records, 4079-4081 [2013-00800]
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4079
Proposed Rules
Federal Register
Vol. 78, No. 13
Friday, January 18, 2013
This section of the FEDERAL REGISTER
contains notices to the public of the proposed
issuance of rules and regulations. The
purpose of these notices is to give interested
persons an opportunity to participate in the
rule making prior to the adoption of the final
rules.
DEPARTMENT OF HOMELAND
SECURITY
Office of the Secretary
6 CFR Part 5
[Docket No. DHS 2012–0076]
Privacy Act of 1974: Implementation of
Exemptions; Department of Homeland
Security U.S. Customs and Border
Protection—002 Global Enrollment
System (GES), System of Records
Privacy Office, DHS.
Notice of proposed rulemaking.
AGENCY:
ACTION:
The Department of Homeland
Security is giving concurrent notice of
an updated and reissued system of
records pursuant to the Privacy Act of
1974 for the ‘‘Department of Homeland
Security/U.S. Customs and Border
Protection—002 Global Enrollment
System (GES), System of Records’’ and
this proposed rulemaking. In this
proposed rulemaking, the Department
proposes to exempt portions of 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 February 19, 2013.
ADDRESSES: You may submit comments,
identified by docket number DHS 2012–
0076, by one of the following methods:
• Federal e-Rulemaking Portal:
https://www.regulations.gov. Follow the
instructions for submitting comments.
• Fax: 202–343–4010.
• Mail: Jonathan R. Cantor, Acting
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
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comments received, go to https://
www.regulations.gov.
For
general questions please contact:
Laurence Castelli, (202) 325–0280, CBP
Privacy Officer, U.S. Customs and
Border Protection, Mint Annex, 799
Ninth Street NW., Washington, DC
20229. For privacy issues please
contact: Jonathan R. Cantor (202–343–
1717), Acting Chief Privacy Officer,
Privacy Office, Department of Homeland
Security, Washington, DC 20528.
SUPPLEMENTARY INFORMATION:
FOR FURTHER INFORMATION CONTACT:
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
exempt portions of a current DHS
system of records titled, ‘‘DHS/CBP–002
Global Enrollment System (GES)’’
system of records.
Global Entry (GE) is the DHS/CBP
program that enables CBP to expedite
the inspection and security process for
lower risk travelers and allows more
scrutiny for those travelers who present
an unknown risk. GE, previously a pilot
program, is now a permanent trusted
traveler program (77 FR 5681 (Feb. 6,
2012)). Under GE, expedited processing
into the United States and certain
foreign countries will be expanded
through a growing number of
participating U.S. and foreign
international airports and foreign
partnerships. Through such
partnerships, U.S. citizens and citizens
of certain foreign countries will be able
to apply for expedited processing at
their respective airports.
CBP has signed a number of joint
statements with foreign partners that
provide the basic framework for
allowing U.S. citizens and citizens of
the applicable foreign countries to apply
for expedited processing at their
respective airports. The general purpose
of the joint statement is to offer
expedited processing to U.S. citizens
and the citizens of the foreign country
that is party to that joint statement,
based on a mutually determined set of
vetting criteria and standards. CBP
continues to work with government
border authorities in various countries
to create this growing international
network in which, once individuals are
screened and deemed trusted by the
authorities in their own country, the
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Sfmt 4702
other country in the alliance will accept
them in their respective national trusted
traveler programs.
In addition to new foreign partners,
CBP has consolidated the registered
traveler programs under GES to include
the Small Vessel Reporting System
(SVRS) and the Decal and Transponder
Online Procurement System (DTOPS).
SVRS, as an enhancement to the Local
Boater Option (LBO) pilot program,
allows individuals with advance
submission and CBP approval of float
plans to use a designated telephone line
to notify a CBP officer of their arrival to
the United States. DTOPS is a registered
traveler program that allows individuals
to purchase, renew, or transfer user fees
related to the transponders/Radio
Frequency Identification (RFID) tags for
their commercial vehicles or to the
decals for their private aircraft or vessels
in advance of crossing a U.S. border.
The system of records notice is being
re-published to update the categories of
records, authorities, purposes, routine
uses, retrievability, retention and
disposal, notification procedures, record
sources, and Privacy Act exemptions for
the system of records. Specifically, DHS
is updating the category of records to
clarify that GES maintains limited law
enforcement information, consisting of
the case number references to law
enforcement databases used to support
or deny the membership decision for
GES trusted traveler programs, as well
as the membership decision for trusted
traveler programs with foreign partners.
These results were previously covered
by the DHS/CBP–011 TECS SORN (73
FR 77778 (Dec. 19, 2008.) DHS/CBP is
also retaining the fact of the other
foreign governments’ decisions either to
approve or deny an application,
pursuant to the applicable joint
statements.
Participation in these programs is
entirely voluntary. Joint statements with
foreign partners establish that each
country’s use of GES information for
vetting will be consistent with
applicable domestic laws and policies.
Participants should be aware that when
they submit their information to a
foreign country, or agree to share their
information with a foreign partner, the
foreign country uses, maintains, retains,
or disseminates their information in
accordance with that foreign country’s
laws and privacy protections.
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Federal Register / Vol. 78, No. 13 / Friday, January 18, 2013 / Proposed Rules
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The Secretary of Homeland Security,
pursuant to 5 U.S.C. 552a(j)(2), has
exempted the law enforcement related
records, including the pointer
information to other law enforcement
databases that support the DHS/CBP
membership decision, and the law
enforcement risk assessment worksheet
that have been created during the
background check and vetting process,
from the following provisions of the
Privacy Act: 5 U.S.C. 552a(c)(3) and (4);
(d); (e)(1), (e)(2), (e)(3), (e)(4)(G),
(e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f);
and (g)(1). Additionally, the Secretary of
Homeland Security, pursuant to 5
U.S.C. 552a(k)(2), has exempted records
created during the background check
and vetting process from the following
provisions of the Privacy Act: 5 U.S.C.
552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H),
(e)(4)(I); and (f). In addition, when a
record contains information from other
exempt systems of records, DHS/CBP
will claim the same exemptions for that
record as are claimed for the original
systems of records, and will claim any
additional exemptions provided here.
CBP will not assert any exemptions
with regard to accessing or amending an
individual’s application data and final
membership determination in the
trusted traveler program. However, this
data may be shared with law
enforcement and/or intelligence
agencies pursuant to the routine uses
identified in this SORN. The Privacy
Act requires DHS maintain an
accounting of such disclosures made
pursuant to all routine uses. Disclosing
the fact that a law enforcement and/or
intelligence agency has sought
particular records may affect ongoing
law enforcement activity. As such, the
Secretary of Homeland Security
pursuant to 5 U.S.C. 552a (j)(2) and
(k)(2), will claim an exemption from
(c)(3), (e)(8), and (g)(1) of the Privacy
Act, as is necessary and appropriate to
protect this information. The updated
system will be included in DHS’s
inventory of record systems.
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 when systems of records
maintain information on U.S. citizens,
lawful permanent residents, and
visitors.
The Privacy Act allows government
agencies to exempt certain records from
the access and amendment provisions. If
an agency claims an exemption,
however, it must issue a Notice of
Proposed Rulemaking to make clear to
the public the reasons why a particular
exemption is claimed.
DHS is claiming exemptions from
certain requirements of the Privacy Act
for DHS/CBP—002 GES. Some
information in DHS/CBP—002 GES
System of Records relates to official
DHS national security, law enforcement,
and immigration activities. These
exemptions are needed to protect
information relating to DHS activities
from disclosure to subjects or others
related to these activities. Specifically,
the exemptions are required to preclude
subjects of these activities from
frustrating these processes or to avoid
disclosure of activity techniques.
Disclosure of information to the subject
of the inquiry could also permit the
subject to avoid detection or
apprehension.
In appropriate circumstances, when
compliance would not appear to
interfere with or adversely affect the law
enforcement purposes of this system
and 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—002 GES System of Records 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 federal government
agencies collect, maintain, use, and
disseminate 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
For the reasons stated in the
preamble, DHS proposes to amend
Chapter I of Title 6, Code of Federal
Regulations, as follows:
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List of Subjects in 6 CFR Part 5
Freedom of information; Privacy.
PART 5—DISCLOSURE OF RECORDS
AND INFORMATION
1. The authority citation for Part 5
continues to read as follows:
■
Authority: Pub. L. 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. In Appendix C to Part 5, revise
paragraph ‘‘68’’, to read as follows:
■
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Appendix C to Part 5—DHS Systems of
Records Exempt From the Privacy Act
*
*
*
*
*
68. The DHS/U.S. Customs and Border
Protection (CBP)—002 Global Enrollment
System (GES) system of records consists of
electronic and paper records and will be used
by DHS and its components. The DHS/CBP–
002 GES system of records collects and
maintains records on individuals who
voluntarily provide personally identifiable
information to U.S. Customs and Border
Protection in return for enrollment in a
program that will make them eligible for
expedited processing at designated U.S.
border ports of entry. The DHS/CBP–002 GES
system of records contains personally
identifiable information in biographic
application data, biometric information,
conveyance information, pointer information
to other law enforcement databases that
support the DHS/CBP membership decision,
Law Enforcement risk assessment
worksheets, payment tracking numbers, and
U.S. or foreign trusted traveler membership
decisions in the form of a ‘‘pass/fail.’’
The Secretary of Homeland Security,
pursuant to 5 U.S.C. 552a(j)(2), has exempted
the law enforcement related records,
including the pointer information to other
law enforcement databases that support the
DHS/CBP membership decision, and the law
enforcement risk assessment worksheet that
have been created during the background
check and vetting process from the following
provisions of the Privacy Act: 5 U.S.C.
552a(c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3),
(e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (f),
and (g)(1). Additionally, the Secretary of
Homeland Security, pursuant to 5 U.S.C.
552a(k)(2), has exempted records created
during the background check and vetting
process from the following provisions of the
Privacy Act: 5 U.S.C. 552a(c)(3), (d), (e)(1),
(e)(4)(G), (e)(4)(H), (e)(4)(I), and (f).
CBP will not assert any exemptions with
regard to accessing or amending an
individual’s application data in a trusted or
registered traveler program and/or final
membership determination in the trusted
traveler programs. However, this data may be
shared with law enforcement and/or
intelligence agencies pursuant to the
published routine uses in the system of
records notice, DHS/CBP–002 GES. The
Privacy Act requires DHS maintain an
accounting of such disclosures made
pursuant to all routine uses. Disclosing the
fact that a law enforcement and/or
intelligence agency has sought particular
records may affect ongoing law enforcement
activity. As such, the Secretary of Homeland
Security, pursuant to 5 U.S.C. 552a(j)(2) and
(k)(2) has exempted these records from (c)(3),
(e)(8), and (g)(1) of the Privacy Act, as is
necessary and appropriate to protect this
information. When a record received from
another system has been exempted in that
source system, 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 set forth here.
Exemptions from these particular
subsections are justified, on a case-by-case
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Federal Register / Vol. 78, No. 13 / Friday, January 18, 2013 / Proposed Rules
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, 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
activities.
(e) From subsection (e)(3) (Notice to
Subjects) because providing such detailed
information could impede law enforcement
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
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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.
(j) From subsection (g)(1) (Civil Remedies)
to the extent that the system is exempt from
other specific subsections of the Privacy Act.
4081
FEDERAL ELECTION COMMISSION
implementing regulations; and the
Commission’s authority under 2 U.S.C.
437g(a)(5) to seek civil penalties from
respondents pursuant to a finding of
‘‘probable cause to believe’’ that a
respondent has violated the Act and/or
Commission regulations, as well as the
Commission’s practice of seeking civil
penalties prior to a finding of probable
cause.
DATES: Comments must be received on
or before Friday, April 19, 2013. The
Commission will determine at a later
date whether to hold a hearing.
ADDRESSES: All comments must be in
writing. Comments may be submitted
electronically via email to
process@fec.gov. Commenters are
encouraged to submit comments
electronically to ensure timely receipt
and consideration. Alternatively,
comments may be submitted in paper
form. Paper comments must be sent to
the Federal Election Commission, Attn.:
Commission Secretary, 999 E Street
NW., Washington, DC 20463. All
comments must include the full name
and postal service address of the
commenter, and of each commenter if
filed jointly, or they will not be
considered. The Commission will post
comments on its Web site at the
conclusion of the comment period.
FOR FURTHER INFORMATION CONTACT: Mr.
Stephen A. Gura, Deputy Associate
General Counsel for Enforcement, 999 E
Street NW., Washington, DC 20463,
(202) 694–1650 or (800) 424–9530.
SUPPLEMENTARY INFORMATION:
11 CFR Part 111
Background
[Notice 2013–01]
I. Past Commission Hearings and
Enforcement Process Reforms
The Commission is currently
reviewing, and seeks public comment
on, certain enforcement policies,
practices, and procedures. The
Commission will use the comments
received to determine whether its
policies, practices, or procedures should
be adjusted, and whether rulemaking in
these areas is advised. The Commission
has made no decisions in these areas
and may choose to take no action. The
Commission last conducted a
comprehensive review of its
enforcement policies, practices, and
procedures, among other issues, in late
2008 and early 2009. See Agency
Procedures, 73 FR 74494 (Dec. 8, 2008).
Comments filed in the 2008/2009
review, as well as a transcript of the
public hearing, are available on the
Commission’s Web site at https://
www.fec.gov/law/policy/enforcement/
publichearing011409.shtml. Subsequent
to that review, the Commission adopted
or formalized several procedures
*
*
*
*
*
Dated: December 31, 2012.
Jonathan R. Cantor,
Acting Chief Privacy Officer, Department of
Homeland Security.
[FR Doc. 2013–00800 Filed 1–17–13; 8:45 am]
BILLING CODE 9111–14–P
Request for Comment on Enforcement
Process
Federal Election Commission.
Request for comments.
AGENCY:
ACTION:
The Federal Election
Commission is requesting comment on
certain aspects of its enforcement
process. First and foremost, the
Commission welcomes public comment
on whether this agency is doing an
effective job in enforcing the Act and
Commission regulations. Additionally,
the Commission is currently reviewing
and seeks public comment on: Its
policies, practices, and procedures
during the enforcement process stage set
forth in 2 U.S.C. 437g(a)(1), prior to the
Commission’s determination of whether
there is ‘‘reason to believe’’ that a
person has committed, or is about to
commit, a violation of the Federal
Election Campaign Act of 1971, as
amended, 2 U.S.C. 431 et seq. (‘‘FECA’’
or ‘‘the Act’’) and/or the Commission’s
SUMMARY:
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Agencies
[Federal Register Volume 78, Number 13 (Friday, January 18, 2013)]
[Proposed Rules]
[Pages 4079-4081]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-00800]
========================================================================
Proposed Rules
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains notices to the public of
the proposed issuance of rules and regulations. The purpose of these
notices is to give interested persons an opportunity to participate in
the rule making prior to the adoption of the final rules.
========================================================================
Federal Register / Vol. 78, No. 13 / Friday, January 18, 2013 /
Proposed Rules
[[Page 4079]]
DEPARTMENT OF HOMELAND SECURITY
Office of the Secretary
6 CFR Part 5
[Docket No. DHS 2012-0076]
Privacy Act of 1974: Implementation of Exemptions; Department of
Homeland Security U.S. Customs and Border Protection--002 Global
Enrollment System (GES), System of Records
AGENCY: Privacy Office, DHS.
ACTION: Notice of proposed rulemaking.
-----------------------------------------------------------------------
SUMMARY: The Department of Homeland Security is giving concurrent
notice of an updated and reissued system of records pursuant to the
Privacy Act of 1974 for the ``Department of Homeland Security/U.S.
Customs and Border Protection--002 Global Enrollment System (GES),
System of Records'' and this proposed rulemaking. In this proposed
rulemaking, the Department proposes to exempt portions of 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 February 19, 2013.
ADDRESSES: You may submit comments, identified by docket number DHS
2012-0076, by one of the following methods:
Federal e-Rulemaking Portal: https://www.regulations.gov.
Follow the instructions for submitting comments.
Fax: 202-343-4010.
Mail: Jonathan R. Cantor, Acting 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 Castelli, (202) 325-0280, CBP Privacy Officer, U.S. Customs
and Border Protection, Mint Annex, 799 Ninth Street NW., Washington, DC
20229. For privacy issues please contact: Jonathan R. Cantor (202-343-
1717), Acting 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 exempt portions of a current DHS system of
records titled, ``DHS/CBP-002 Global Enrollment System (GES)'' system
of records.
Global Entry (GE) is the DHS/CBP program that enables CBP to
expedite the inspection and security process for lower risk travelers
and allows more scrutiny for those travelers who present an unknown
risk. GE, previously a pilot program, is now a permanent trusted
traveler program (77 FR 5681 (Feb. 6, 2012)). Under GE, expedited
processing into the United States and certain foreign countries will be
expanded through a growing number of participating U.S. and foreign
international airports and foreign partnerships. Through such
partnerships, U.S. citizens and citizens of certain foreign countries
will be able to apply for expedited processing at their respective
airports.
CBP has signed a number of joint statements with foreign partners
that provide the basic framework for allowing U.S. citizens and
citizens of the applicable foreign countries to apply for expedited
processing at their respective airports. The general purpose of the
joint statement is to offer expedited processing to U.S. citizens and
the citizens of the foreign country that is party to that joint
statement, based on a mutually determined set of vetting criteria and
standards. CBP continues to work with government border authorities in
various countries to create this growing international network in
which, once individuals are screened and deemed trusted by the
authorities in their own country, the other country in the alliance
will accept them in their respective national trusted traveler
programs.
In addition to new foreign partners, CBP has consolidated the
registered traveler programs under GES to include the Small Vessel
Reporting System (SVRS) and the Decal and Transponder Online
Procurement System (DTOPS). SVRS, as an enhancement to the Local Boater
Option (LBO) pilot program, allows individuals with advance submission
and CBP approval of float plans to use a designated telephone line to
notify a CBP officer of their arrival to the United States. DTOPS is a
registered traveler program that allows individuals to purchase, renew,
or transfer user fees related to the transponders/Radio Frequency
Identification (RFID) tags for their commercial vehicles or to the
decals for their private aircraft or vessels in advance of crossing a
U.S. border.
The system of records notice is being re-published to update the
categories of records, authorities, purposes, routine uses,
retrievability, retention and disposal, notification procedures, record
sources, and Privacy Act exemptions for the system of records.
Specifically, DHS is updating the category of records to clarify that
GES maintains limited law enforcement information, consisting of the
case number references to law enforcement databases used to support or
deny the membership decision for GES trusted traveler programs, as well
as the membership decision for trusted traveler programs with foreign
partners. These results were previously covered by the DHS/CBP-011 TECS
SORN (73 FR 77778 (Dec. 19, 2008.) DHS/CBP is also retaining the fact
of the other foreign governments' decisions either to approve or deny
an application, pursuant to the applicable joint statements.
Participation in these programs is entirely voluntary. Joint
statements with foreign partners establish that each country's use of
GES information for vetting will be consistent with applicable domestic
laws and policies. Participants should be aware that when they submit
their information to a foreign country, or agree to share their
information with a foreign partner, the foreign country uses,
maintains, retains, or disseminates their information in accordance
with that foreign country's laws and privacy protections.
[[Page 4080]]
The Secretary of Homeland Security, pursuant to 5 U.S.C.
552a(j)(2), has exempted the law enforcement related records, including
the pointer information to other law enforcement databases that support
the DHS/CBP membership decision, and the law enforcement risk
assessment worksheet that have been created during the background check
and vetting process, from the following provisions of the Privacy Act:
5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G),
(e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f); and (g)(1). Additionally,
the Secretary of Homeland Security, pursuant to 5 U.S.C. 552a(k)(2),
has exempted records created during the background check and vetting
process from the following provisions of the Privacy Act: 5 U.S.C.
552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f). In
addition, when a record contains information from other exempt systems
of records, DHS/CBP will claim the same exemptions for that record as
are claimed for the original systems of records, and will claim any
additional exemptions provided here.
CBP will not assert any exemptions with regard to accessing or
amending an individual's application data and final membership
determination in the trusted traveler program. However, this data may
be shared with law enforcement and/or intelligence agencies pursuant to
the routine uses identified in this SORN. The Privacy Act requires DHS
maintain an accounting of such disclosures made pursuant to all routine
uses. Disclosing the fact that a law enforcement and/or intelligence
agency has sought particular records may affect ongoing law enforcement
activity. As such, the Secretary of Homeland Security pursuant to 5
U.S.C. 552a (j)(2) and (k)(2), will claim an exemption from (c)(3),
(e)(8), and (g)(1) of the Privacy Act, as is necessary and appropriate
to protect this information. The updated system will be included in
DHS's inventory of record systems.
II. Privacy Act
The Privacy Act embodies fair information practice principles in a
statutory framework governing the means by which federal government
agencies collect, maintain, use, and disseminate 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
individuals when systems of records maintain information on U.S.
citizens, lawful permanent residents, and visitors.
The Privacy Act allows government agencies to exempt certain
records from the access and amendment provisions. If an agency claims
an exemption, however, it must issue a Notice of Proposed Rulemaking to
make clear to the public the reasons why a particular exemption is
claimed.
DHS is claiming exemptions from certain requirements of the Privacy
Act for DHS/CBP--002 GES. Some information in DHS/CBP--002 GES System
of Records relates to official DHS national security, law enforcement,
and immigration activities. These exemptions are needed to protect
information relating to DHS activities from disclosure to subjects or
others related to these activities. Specifically, the exemptions are
required to preclude subjects of these activities from frustrating
these processes or to avoid disclosure of activity techniques.
Disclosure of information to the subject of the inquiry could also
permit the subject to avoid detection or apprehension.
In appropriate circumstances, when compliance would not appear to
interfere with or adversely affect the law enforcement purposes of this
system and 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--002 GES System of
Records is also published in this issue of the Federal Register.
List of Subjects in 6 CFR Part 5
Freedom of information; Privacy.
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
0
1. The authority citation for Part 5 continues to read as follows:
Authority: Pub. L. 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.
0
2. In Appendix C to Part 5, revise paragraph ``68'', to read as
follows:
Appendix C to Part 5--DHS Systems of Records Exempt From the Privacy
Act
* * * * *
68. The DHS/U.S. Customs and Border Protection (CBP)--002 Global
Enrollment System (GES) system of records consists of electronic and
paper records and will be used by DHS and its components. The DHS/
CBP-002 GES system of records collects and maintains records on
individuals who voluntarily provide personally identifiable
information to U.S. Customs and Border Protection in return for
enrollment in a program that will make them eligible for expedited
processing at designated U.S. border ports of entry. The DHS/CBP-002
GES system of records contains personally identifiable information
in biographic application data, biometric information, conveyance
information, pointer information to other law enforcement databases
that support the DHS/CBP membership decision, Law Enforcement risk
assessment worksheets, payment tracking numbers, and U.S. or foreign
trusted traveler membership decisions in the form of a ``pass/
fail.''
The Secretary of Homeland Security, pursuant to 5 U.S.C.
552a(j)(2), has exempted the law enforcement related records,
including the pointer information to other law enforcement databases
that support the DHS/CBP membership decision, and the law
enforcement risk assessment worksheet that have been created during
the background check and vetting process from the following
provisions of the Privacy Act: 5 U.S.C. 552a(c)(3), (c)(4), (d),
(e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5),
(e)(8), (f), and (g)(1). Additionally, the Secretary of Homeland
Security, pursuant to 5 U.S.C. 552a(k)(2), has exempted records
created during the background check and vetting process from the
following provisions of the Privacy Act: 5 U.S.C. 552a(c)(3), (d),
(e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f).
CBP will not assert any exemptions with regard to accessing or
amending an individual's application data in a trusted or registered
traveler program and/or final membership determination in the
trusted traveler programs. However, this data may be shared with law
enforcement and/or intelligence agencies pursuant to the published
routine uses in the system of records notice, DHS/CBP-002 GES. The
Privacy Act requires DHS maintain an accounting of such disclosures
made pursuant to all routine uses. Disclosing the fact that a law
enforcement and/or intelligence agency has sought particular records
may affect ongoing law enforcement activity. As such, the Secretary
of Homeland Security, pursuant to 5 U.S.C. 552a(j)(2) and (k)(2) has
exempted these records from (c)(3), (e)(8), and (g)(1) of the
Privacy Act, as is necessary and appropriate to protect this
information. When a record received from another system has been
exempted in that source system, 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 set forth here.
Exemptions from these particular subsections are justified, on a
case-by-case
[[Page 4081]]
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, 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 activities.
(e) From subsection (e)(3) (Notice to Subjects) because
providing such detailed information could impede law enforcement 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.
(j) From subsection (g)(1) (Civil Remedies) to the extent that
the system is exempt from other specific subsections of the Privacy
Act.
* * * * *
Dated: December 31, 2012.
Jonathan R. Cantor,
Acting Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2013-00800 Filed 1-17-13; 8:45 am]
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