Privacy Act of 1974: Implementation of Exemptions; Department of Homeland Security; U.S. Customs and Border Protection; DHS/CBP-004-Intellectual Property Rights e-Recordation and Search Systems, System of Records, 4347-4349 [2013-01049]
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4347
Proposed Rules
Federal Register
Vol. 78, No. 14
Tuesday, January 22, 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.
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
general questions please contact:
Laurence E. Castelli (202–325–0280),
CBP Privacy Officer, Office of
International Trade/Regulations and
Rulings, U.S. Customs and Border
Protection, Mint Annex, 799 9th Street
NW., Washington, DC 20229–1177. 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:
DEPARTMENT OF HOMELAND
SECURITY
Office of the Secretary
6 CFR Part 5
[Docket No. DHS–2012–0035]
Privacy Act of 1974: Implementation of
Exemptions; Department of Homeland
Security; U.S. Customs and Border
Protection; DHS/CBP–004-Intellectual
Property Rights e-Recordation and
Search Systems, System of Records
Privacy Office, DHS.
ACTION: Notice of proposed rulemaking.
AGENCY:
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;
DHS/CBP–004-Intellectual Property
Rights e-Recordation and Search
Systems (IPRRSS), 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 21, 2013.
ADDRESSES: You may submit comments,
identified by docket number DHS–
2012–0035, 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://
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SUMMARY:
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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/CBP–004-Intellectual
Property Rights e-Recordation and
Search Systems System of Records.’’
The Intellectual Property Rights eRecordation and Search Systems
(IPRRSS) collect, use, and maintain
records related to intellectual property
rights recordations and their owners.
The purpose of IPRRSS is to aid in the
enforcement of intellectual property
rights by making intellectual property
recordations available to the public and
to CBP officials.
IPRRSS collectively encompasses
three separate systems. The first system
is the online Intellectual Property Rights
e-Recordation (IPRR) system, which
allows intellectual property owners to
submit applications for trademark and
copyright recordations. The IPRR
system shares information with the
public Intellectual Property Rights
Search (IPRS) system and the CBP
Intellectual Property Rights Internal
Search (IPRiS) system. Because CBP
may collect personally identifiable
information (PII) about intellectual
property rights holders, their agents, or
their licensees in IPRR, IPRS, and IPRiS
(collectively IPRRSS), CBP is providing
the public notice about how CBP
collects, uses, and maintains records
related to intellectual property rights
recordations.
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The authority for this system derives
from Section 42 of the Lanham Act
(Trademark Act of 1946), as amended,
15 U.S.C. 1124; Sections 101 and 602
through 603 of the Copyright Act of
1976, as amended, 17 U.S.C. 101, 602–
603; and Sections 526, 595a, and 624 of
the Tariff Act of 1930, as amended, 19
U.S.C. 1526, 1595a, and 1624. The cited
sections provide that intellectual
property rights owners may submit
information to CBP to enable CBP
officials to identify infringing articles at
the borders and prevent the importation
of counterfeit or pirated merchandise.
Owners seeking to have merchandise
excluded from entry must provide proof
to CBP of the validity of the intellectual
property rights they seek to protect.
Pursuant to the Independent Offices
Appropriations Act of 1952, 31 U.S.C.
9701, and regulations at 19 CFR 133.3,
133.13, and 133.33, intellectual property
rights owners or their agents must pay
a fee when they apply for the
recordation with CBP of their
trademark, trade name, or copyright.
Through IPRR’s web-based interface, the
user will be prompted through several
steps that capture the user’s required
application information. Once the
applicant has entered all required
application information, IPRR will
guide the applicant through a series of
prompts seeking his/her billing name,
billing address, and credit card
information. IPRR forwards this
payment information to Pay.gov for
payment processing, and the applicant
name and an IPRR tracking number to
the DHS/CBP–003 Credit/Debit Card
Data System (CDCDS) System of
Records for payment reconciliation.
Pay.gov sends a nightly activity file,
including the last four digits of the
credit card, authorization number,
billing name, billing address, IPRR
tracking number, and Pay.gov tracking
numbers to CDCDS. Pay.gov also sends
a daily batch file with the necessary
payment information to a commercial
bank for settlement processing. After
processing, the commercial bank sends
a settlement file, including the full
credit card number, authorization
number, card type, transaction date,
amount, and IPRR tracking number to
CDCDS. Once IPRR receives
confirmation from Pay.gov that the
payment has been processed
successfully, IPRR will retain the
Pay.gov tracking number for payment
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Federal Register / Vol. 78, No. 14 / Tuesday, January 22, 2013 / Proposed Rules
reconciliation purposes in accordance
with the CDCDS system of records
retention schedule.
When an applicant enters the
registration number of a copyright or
trademark he or she would like to
record with CBP, the IPRR system must
receive a positive match response from
the U.S. Patent and Trademark Office
(USPTO) and U.S. Copyright Office Web
sites in order for the application to
proceed. Only the registration number is
shared with the USPTO and U.S.
Copyright Office Web sites. If the
registration number entered in IPRR
does not match an entry in either of
these Web sites, the applicant cannot
record their trademark or copyright with
CBP. Once a positive match response is
received from these systems, certain
fields in the application are
automatically populated with public
data taken directly from the U.S.
Copyright Office or USPTO Web sites.
All of the information copied from the
U.S. Copyright Office or USPTO Web
sites is publicly available at
www.uspto.gov and www.copyright.gov.
The public may search for trademark,
trade name, and copyright information
in IPRS, the public facing portion of this
system of records. The IPRS database
collects and retains only a portion of the
information entered by the right holder
in IPRR, such as the name, address, and
phone number of the right holder or
representative, along with a text
description of the recorded trademark or
copyright. This information allows
retailers, consumers, and other
businesses to contact the right owner to
ensure that they are not obtaining goods
that infringe on the owner’s intellectual
property rights.
CBP and U.S. Immigration and
Customs Enforcement (ICE) officials
have access to IPRiS to assist in the
enforcement of intellectual property
rights. IPRiS provides a central
searchable database of all trademark,
trade name, and copyright recordation
information. IPRiS contains the same
information as IPRS, but with additional
fields containing confidential
information submitted by the right
holder, including the names of entities
who have used the trademark or
copyright, the country of manufacture of
merchandise, images of the recorded
trademark or copyright, lists of
licensees, and any additional
information relating to enforcement of
the intellectual property right. Only CBP
and ICE officials may search IPRiS.
Only a few users within CBP have
access to an administrative interface to
process IPRR recordations. Those
authorized CBP users with
administrative access process the
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renewals of existing trademark and
copyright recordations, trade name
recordations, and information about
ownership changes or cancellations.
Consistent with DHS’ informationsharing mission, information stored in
the DHS/CBP–004-Intellectual Property
Rights e-Recordation and Intellectual
Property Rights Search Systems may be
shared with other DHS components
with a need to know the information. In
addition, these records may be shared
with appropriate federal, state, local,
tribal, territorial, foreign, or
international government agencies so
long as the recipient has a need to know
the information to carry out functions
consistent with the routine uses set
forth in the system of records notice
(SORN).
The Department of Homeland
Security is issuing this Notice of
Proposed rulemaking to exempt this
system of records from certain
provisions of the Privacy Act,
concurrent with the system of records
notice. DHS is not exempting any data
in the system regarding an individual’s
application for recordation of his or her
trademark, trade name, or copyright.
This system, however, may contain
records or information pertaining to the
accounting of disclosures of records
pertaining to persons or entities, who
are alleged to have made an infringing
use of a recorded intellectual property
right, made from this system to other
national security, law enforcement, or
intelligence agencies (federal, state,
local, foreign, international or tribal) in
accordance with the published routine
uses or statutory basis for disclosure
under 5 U.S.C. 552a(b). For the
accounting of these disclosures only, in
accordance with 5 U.S.C. 552a (j)(2) and
(k)(2), DHS will claim exemptions for
these records or information.
II. Privacy Act
The Privacy Act embodies fair
information practice principles in a
statutory framework governing the
means by which the federal 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,
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regardless of citizenship, where 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–004-Intellectual Property
Rights e-Recordation and Intellectual
Property Rights Search Systems System
of Records. Some information in DHS/
CBP–004-Intellectual Property Rights eRecordation and Intellectual Property
Rights Search Systems System of
Records relates to official DHS national
security, law enforcement or
intelligence activities, and that
information includes records or
information pertaining to the accounting
of disclosures made from this system to
other law enforcement or intelligence
agencies (federal, state, local, foreign,
international, or tribal) in accordance
with the published routine uses or
statutory basis for disclosure pursuant
to 5 U.S.C. 552a(b). In addition, some
information in DHS/CBP–004Intellectual Property Rights eRecordation and Intellectual Property
Rights Search Systems System of
Records relates to information or
records about individuals who may
have used an intellectual property right
without the intellectual property right
owner’s authorization. These
exemptions are needed to protect
information relating to DHS national
security, law enforcement, or
intelligence 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 and 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.
The exemptions proposed here are
standard intelligence, law enforcement,
and national security exemptions
exercised by a large number of federal
law enforcement and intelligence
agencies. 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–004-Intellectual Property Rights e-
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Federal Register / Vol. 78, No. 14 / Tuesday, January 22, 2013 / Proposed Rules
Recordation and Search Systems 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
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. Add at the end of Appendix C to
Part 5, the following new paragraph
‘‘69’’:
■
Appendix C to Part 5—DHS Systems of
Records Exempt From the Privacy Act
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*
*
*
*
*
69. The DHS/CBP–004 Intellectual
Property Rights e-Recordation and Search
Systems System of Records consists of
electronic and paper records and will be used
by DHS and its components. The DHS/CBP–
004-Intellectual Property Rights eRecordation and Search Systems System of
Records is a repository of information held
by DHS in connection with its several and
varied missions and functions, including, but
not limited to, the enforcement of civil and
criminal laws; investigations, inquiries, and
proceedings; national security; and
intelligence activities. The DHS/CBP–004Intellectual Property Rights e-Recordation
and Search Systems 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,
territorial, foreign, or international
government agencies. CBP will not assert any
exemptions with respect to information in
the systems submitted by the intellectual
property right owner or the owner’s
representative. Information in the system
pertaining to persons alleged to have
infringed on an intellectual property right
may be shared with national security, law
enforcement, or intelligence agencies
pursuant to the published routine uses. The
Privacy Act requires DHS to maintain an
accounting of the disclosures made pursuant
to all routines uses. Disclosing the fact that
national security, law enforcement or
intelligence agencies have sought particular
records may affect ongoing national security,
law enforcement, or intelligence activity. As
such, pursuant to 5 U.S.C. 552a(j)(2), DHS
will claim exemption from subsections (c)(3),
(e)(8), and (g) of the Privacy Act of 1974, as
amended, as necessary and appropriate to
protect this information. In addition, because
the system may contain information or
records about the unauthorized use of
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intellectual property rights and disclosure of
that information could impede law
enforcement investigations, DHS will claim,
pursuant to 5 U.S.C. 552a(k)(2), exemption
from subsections (c)(3), (d), (e)(1), (e)(4)(G),
(e)(4)(H), (e)(4)(I), and (f) of the Privacy Act
of 1974, as necessary and appropriate to
protect this information.
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) (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 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
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4349
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.
(e) 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.
(f) From subsection (g)(1) (Civil Remedies)
to the extent that the system is exempt from
other specific subsections of the Privacy Act.
Jonathan R. Cantor,
Acting Chief Privacy Officer, Department of
Homeland Security.
[FR Doc. 2013–01049 Filed 1–18–13; 8:45 am]
BILLING CODE 9110–06–P
FEDERAL DEPOSIT INSURANCE
CORPORATION
12 CFR Part 360
RIN 3064–AD99
Records of Failed Insured Depository
Institutions
Federal Deposit Insurance
Corporation (FDIC).
ACTION: Notice of proposed rulemaking.
AGENCY:
The FDIC is proposing a rule,
with request for comments, that would
implement section 11(d)(15)(D) of the
Federal Deposit Insurance Act (12
U.S.C. 1821(d)(15)(D)). This statutory
provision provides time frames for the
retention of records of a failed insured
depository institution. The proposed
rule incorporates the statutory time
frames and defines the term ‘‘records.’’
DATES: Written comments on the Rule
must be received by the FDIC no later
than March 25, 2013.
ADDRESSES: You may submit comments
by any of the following methods:
• Agency Web Site: https://
www.fdic.gov/regulations/laws/federal.
Follow instructions for Submitting
comments on the Agency Web Site.
• Email: Comments@FDIC.gov.
Include ‘‘RIN 3064–AD99’’ in the
subject line of the message.
• Mail: Robert E. Feldman, Executive
Secretary, Attention: Comments, Federal
Deposit Insurance Corporation, 550 17th
Street, NW., Washington, DC 20429
• Hand Delivery/Courier: Guard
station at the rear of the 550 17th Street
Building (located on F Street) on
business days between 7 a.m. and 5 p.m.
(EST).
• Federal eRulemaking Portal: https://
www.regulations.gov. Follow the
instructions for submitting comments.
SUMMARY:
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]]>Agencies
[Federal Register Volume 78, Number 14 (Tuesday, January 22, 2013)]
[Proposed Rules]
[Pages 4347-4349]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-01049]
========================================================================
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. 14 / Tuesday, January 22, 2013 /
Proposed Rules
[[Page 4347]]
DEPARTMENT OF HOMELAND SECURITY
Office of the Secretary
6 CFR Part 5
[Docket No. DHS-2012-0035]
Privacy Act of 1974: Implementation of Exemptions; Department of
Homeland Security; U.S. Customs and Border Protection; DHS/CBP-004-
Intellectual Property Rights e-Recordation and Search Systems, 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; DHS/CBP-004-Intellectual Property Rights e-
Recordation and Search Systems (IPRRSS), 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 21, 2013.
ADDRESSES: You may submit comments, identified by docket number DHS-
2012-0035, 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 E. Castelli (202-325-0280), CBP Privacy Officer, Office of
International Trade/Regulations and Rulings, U.S. Customs and Border
Protection, Mint Annex, 799 9th Street NW., Washington, DC 20229-1177.
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 establish a new DHS system of records
titled, ``DHS/CBP-004-Intellectual Property Rights e-Recordation and
Search Systems System of Records.''
The Intellectual Property Rights e-Recordation and Search Systems
(IPRRSS) collect, use, and maintain records related to intellectual
property rights recordations and their owners. The purpose of IPRRSS is
to aid in the enforcement of intellectual property rights by making
intellectual property recordations available to the public and to CBP
officials.
IPRRSS collectively encompasses three separate systems. The first
system is the online Intellectual Property Rights e-Recordation (IPRR)
system, which allows intellectual property owners to submit
applications for trademark and copyright recordations. The IPRR system
shares information with the public Intellectual Property Rights Search
(IPRS) system and the CBP Intellectual Property Rights Internal Search
(IPRiS) system. Because CBP may collect personally identifiable
information (PII) about intellectual property rights holders, their
agents, or their licensees in IPRR, IPRS, and IPRiS (collectively
IPRRSS), CBP is providing the public notice about how CBP collects,
uses, and maintains records related to intellectual property rights
recordations.
The authority for this system derives from Section 42 of the Lanham
Act (Trademark Act of 1946), as amended, 15 U.S.C. 1124; Sections 101
and 602 through 603 of the Copyright Act of 1976, as amended, 17 U.S.C.
101, 602-603; and Sections 526, 595a, and 624 of the Tariff Act of
1930, as amended, 19 U.S.C. 1526, 1595a, and 1624. The cited sections
provide that intellectual property rights owners may submit information
to CBP to enable CBP officials to identify infringing articles at the
borders and prevent the importation of counterfeit or pirated
merchandise. Owners seeking to have merchandise excluded from entry
must provide proof to CBP of the validity of the intellectual property
rights they seek to protect.
Pursuant to the Independent Offices Appropriations Act of 1952, 31
U.S.C. 9701, and regulations at 19 CFR 133.3, 133.13, and 133.33,
intellectual property rights owners or their agents must pay a fee when
they apply for the recordation with CBP of their trademark, trade name,
or copyright. Through IPRR's web-based interface, the user will be
prompted through several steps that capture the user's required
application information. Once the applicant has entered all required
application information, IPRR will guide the applicant through a series
of prompts seeking his/her billing name, billing address, and credit
card information. IPRR forwards this payment information to Pay.gov for
payment processing, and the applicant name and an IPRR tracking number
to the DHS/CBP-003 Credit/Debit Card Data System (CDCDS) System of
Records for payment reconciliation. Pay.gov sends a nightly activity
file, including the last four digits of the credit card, authorization
number, billing name, billing address, IPRR tracking number, and
Pay.gov tracking numbers to CDCDS. Pay.gov also sends a daily batch
file with the necessary payment information to a commercial bank for
settlement processing. After processing, the commercial bank sends a
settlement file, including the full credit card number, authorization
number, card type, transaction date, amount, and IPRR tracking number
to CDCDS. Once IPRR receives confirmation from Pay.gov that the payment
has been processed successfully, IPRR will retain the Pay.gov tracking
number for payment
[[Page 4348]]
reconciliation purposes in accordance with the CDCDS system of records
retention schedule.
When an applicant enters the registration number of a copyright or
trademark he or she would like to record with CBP, the IPRR system must
receive a positive match response from the U.S. Patent and Trademark
Office (USPTO) and U.S. Copyright Office Web sites in order for the
application to proceed. Only the registration number is shared with the
USPTO and U.S. Copyright Office Web sites. If the registration number
entered in IPRR does not match an entry in either of these Web sites,
the applicant cannot record their trademark or copyright with CBP. Once
a positive match response is received from these systems, certain
fields in the application are automatically populated with public data
taken directly from the U.S. Copyright Office or USPTO Web sites. All
of the information copied from the U.S. Copyright Office or USPTO Web
sites is publicly available at www.uspto.gov and www.copyright.gov.
The public may search for trademark, trade name, and copyright
information in IPRS, the public facing portion of this system of
records. The IPRS database collects and retains only a portion of the
information entered by the right holder in IPRR, such as the name,
address, and phone number of the right holder or representative, along
with a text description of the recorded trademark or copyright. This
information allows retailers, consumers, and other businesses to
contact the right owner to ensure that they are not obtaining goods
that infringe on the owner's intellectual property rights.
CBP and U.S. Immigration and Customs Enforcement (ICE) officials
have access to IPRiS to assist in the enforcement of intellectual
property rights. IPRiS provides a central searchable database of all
trademark, trade name, and copyright recordation information. IPRiS
contains the same information as IPRS, but with additional fields
containing confidential information submitted by the right holder,
including the names of entities who have used the trademark or
copyright, the country of manufacture of merchandise, images of the
recorded trademark or copyright, lists of licensees, and any additional
information relating to enforcement of the intellectual property right.
Only CBP and ICE officials may search IPRiS.
Only a few users within CBP have access to an administrative
interface to process IPRR recordations. Those authorized CBP users with
administrative access process the renewals of existing trademark and
copyright recordations, trade name recordations, and information about
ownership changes or cancellations.
Consistent with DHS' information-sharing mission, information
stored in the DHS/CBP-004-Intellectual Property Rights e-Recordation
and Intellectual Property Rights Search Systems may be shared with
other DHS components with a need to know the information. In addition,
these records may be shared with appropriate federal, state, local,
tribal, territorial, foreign, or international government agencies so
long as the recipient has a need to know the information to carry out
functions consistent with the routine uses set forth in the system of
records notice (SORN).
The Department of Homeland Security is issuing this Notice of
Proposed rulemaking to exempt this system of records from certain
provisions of the Privacy Act, concurrent with the system of records
notice. DHS is not exempting any data in the system regarding an
individual's application for recordation of his or her trademark, trade
name, or copyright. This system, however, may contain records or
information pertaining to the accounting of disclosures of records
pertaining to persons or entities, who are alleged to have made an
infringing use of a recorded intellectual property right, made from
this system to other national security, law enforcement, or
intelligence agencies (federal, state, local, foreign, international or
tribal) in accordance with the published routine uses or statutory
basis for disclosure under 5 U.S.C. 552a(b). For the accounting of
these disclosures only, in accordance with 5 U.S.C. 552a (j)(2) and
(k)(2), DHS will claim exemptions for these records or information.
II. Privacy Act
The Privacy Act embodies fair information practice principles in a
statutory framework governing the means by which the federal 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 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-004-Intellectual Property Rights e-Recordation and
Intellectual Property Rights Search Systems System of Records. Some
information in DHS/CBP-004-Intellectual Property Rights e-Recordation
and Intellectual Property Rights Search Systems System of Records
relates to official DHS national security, law enforcement or
intelligence activities, and that information includes records or
information pertaining to the accounting of disclosures made from this
system to other law enforcement or intelligence agencies (federal,
state, local, foreign, international, or tribal) in accordance with the
published routine uses or statutory basis for disclosure pursuant to 5
U.S.C. 552a(b). In addition, some information in DHS/CBP-004-
Intellectual Property Rights e-Recordation and Intellectual Property
Rights Search Systems System of Records relates to information or
records about individuals who may have used an intellectual property
right without the intellectual property right owner's authorization.
These exemptions are needed to protect information relating to DHS
national security, law enforcement, or intelligence 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 and 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.
The exemptions proposed here are standard intelligence, law
enforcement, and national security exemptions exercised by a large
number of federal law enforcement and intelligence agencies. 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-004-Intellectual Property
Rights e-
[[Page 4349]]
Recordation and Search Systems 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. Add at the end of Appendix C to Part 5, the following new paragraph
``69'':
Appendix C to Part 5--DHS Systems of Records Exempt From the Privacy
Act
* * * * *
69. The DHS/CBP-004 Intellectual Property Rights e-Recordation
and Search Systems System of Records consists of electronic and
paper records and will be used by DHS and its components. The DHS/
CBP-004-Intellectual Property Rights e-Recordation and Search
Systems System of Records is a repository of information held by DHS
in connection with its several and varied missions and functions,
including, but not limited to, the enforcement of civil and criminal
laws; investigations, inquiries, and proceedings; national security;
and intelligence activities. The DHS/CBP-004-Intellectual Property
Rights e-Recordation and Search Systems 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, territorial, foreign, or international government agencies.
CBP will not assert any exemptions with respect to information in
the systems submitted by the intellectual property right owner or
the owner's representative. Information in the system pertaining to
persons alleged to have infringed on an intellectual property right
may be shared with national security, law enforcement, or
intelligence agencies pursuant to the published routine uses. The
Privacy Act requires DHS to maintain an accounting of the
disclosures made pursuant to all routines uses. Disclosing the fact
that national security, law enforcement or intelligence agencies
have sought particular records may affect ongoing national security,
law enforcement, or intelligence activity. As such, pursuant to 5
U.S.C. 552a(j)(2), DHS will claim exemption from subsections (c)(3),
(e)(8), and (g) of the Privacy Act of 1974, as amended, as necessary
and appropriate to protect this information. In addition, because
the system may contain information or records about the unauthorized
use of intellectual property rights and disclosure of that
information could impede law enforcement investigations, DHS will
claim, pursuant to 5 U.S.C. 552a(k)(2), exemption from subsections
(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) of the
Privacy Act of 1974, as necessary and appropriate to protect this
information.
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) (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 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.
(e) 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.
(f) From subsection (g)(1) (Civil Remedies) to the extent that
the system is exempt from other specific subsections of the Privacy
Act.
Jonathan R. Cantor,
Acting Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2013-01049 Filed 1-18-13; 8:45 am]
BILLING CODE 9110-06-P
