Privacy Act of 1974; Department of Homeland Security, U.S. Customs and Border Protection-DHS/CBP-018-Customs-Trade Partnership Against Terrorism (C-TPAT) System, System of Records, 15962-15968 [2013-05674]

Download as PDF mstockstill on DSK4VPTVN1PROD with NOTICES 15962 Federal Register / Vol. 78, No. 49 / Wednesday, March 13, 2013 / Notices advise the SAMHSA Administrator and the Associate Administrator for Women’s Services on appropriate activities to be undertaken by SAMHSA and its Centers with respect to women’s substance abuse and mental health services. Pursuant to Presidential Executive Order No. 13175, November 6, 2000, and the Presidential Memorandum of September 23, 2004, SAMHSA established the Tribal Technical Advisory Committee (TTAC) for working with Federally-recognized Tribes to enhance the government-togovernment relationship, honor Federal trust responsibilities and obligations to Tribes and American Indian and Alaska Natives. The SAMHSA TTAC serves as an advisory body to SAMHSA. The April 11 combined meeting will include a report from the SAMHSA Administrator, an update on SAMHSA’s Budget, and discussions related to the Newtown initiatives, evidence based practices, disparities and faith based iniatitives. The meeting will also include updates on international activities, disaster response and health reform. The meeting is open to the public and will be held at the SAMHSA building, 1 Choke Cherry Road, Rockville, MD 20857 in the 1st floor Conference Rooms. Attendance by the public will be limited to space available. Interested persons may present data, information, or views, orally or in writing, on issues pending before the committee. Written submissions should be forwarded to the contact person on or before one week prior to the meeting. Oral presentations from the public will be scheduled at the conclusion of the meeting. Individuals interested in making oral presentations are encouraged to notify the contact on or before one week prior to the meeting. Five minutes will be allotted for each presentation. The meeting may be accessed via teleconference. To attend on site, obtain the call-in number and access code, submit written or brief oral comments, or request special accommodations for persons with disabilities, please register on-line at http://nac.samhsa.gov/ Registration/meetingsRegistration.aspx, or communicate with SAMHSA’s Committee Management Officer, Ms. Geretta Wood (see contact information below). Substantive meeting information and a roster of Committee members may be obtained either by accessing the SAMHSA Committees’ Web site at https://nac.samhsa.gov/ WomenServices/index.aspx, or by contacting Ms. Wood. The transcript for the meeting will be available on the VerDate Mar<15>2010 17:11 Mar 12, 2013 Jkt 229001 SAMHSA Committees’ Web site within three weeks after the meeting. Committee Names: Substance Abuse and Mental Health Services Administration National Advisory Council, Center for Mental Health Services National Advisory Council, Center for Substance Abuse Prevention National Advisory Council, Center for Substance Abuse Treatment National Advisory Council, SAMHSA’s Advisory Committee for Women’s Services, SAMHSA Tribal Technical Advisory Committee. Date/Time/Type: Thursday, April 11, 2013 from 9 a.m. to 5:30 EDT: Open. Place: SAMHSA, 1 Choke Cherry Road, SAMHSA 1st floor Conference Rooms, Rockville, Maryland 20857. Contact: Geretta Wood, Committee Management Officer and Designated Federal Official of the SAMHSA National Advisory Council and SAMHSA’s Advisory Committee for Women’s Services, 1 Choke Cherry Road, Rockville, Maryland 20857, Telephone: (240) 276–2326, Fax: (240) 276–2252 and Email: geretta.wood@samhsa.hhs.gov. Cathy J. Friedman, Public Health Analyst, SAMHSA. [FR Doc. 2013–05756 Filed 3–12–13; 8:45 am] BILLING CODE 4162–20–P DEPARTMENT OF HEALTH AND HUMAN SERVICES Substance Abuse and Mental Health Services Administration Advisory Committee for Women’s Services; Notice of Meeting Pursuant to Public Law 92–463, notice is hereby given of a meeting of the Substance Abuse and Mental Health Services Administration’s (SAMHSA) Advisory Committee for Women’s Services (ACWS) on April 10, 2013. The meeting is open to the public. It will include a report from the Associate Administrator for Women’s Services and Chair of the ACWS, an update from the SAMHSA Women’s Coordinating Committee and an update from the Office of Behavioral Health Equity on Trauma. The meeting will also include discussions of Girls in Transition and Disparities in the Criminal Justice System. The meeting is open to the public and will be held at the SAMHSA building, 1 Choke Cherry Road, Rockville, MD 20857 in Conference Room 8–1070. Attendance by the public will be limited to space available. Interested persons may present data, information, or views, orally or in writing, on issues pending before the committee. Written submissions should be forwarded to the contact person on or before one week prior to the meeting. Oral presentations from the public will be scheduled at the conclusion of the meeting. Individuals PO 00000 Frm 00035 Fmt 4703 Sfmt 4703 interested in making oral presentations are encouraged to notify the contact on or before one week prior to the meeting. Five minutes will be allotted for each presentation. The meeting may be accessed via teleconference. To attend on site, obtain the call-in number and access code, submit written or brief oral comments, or request special accommodations for persons with disabilities, please register on-line at http://nac.samhsa.gov/ Registration/meetingsRegistration.aspx, or communicate with SAMHSA’s Committee Management Officer, Ms. Geretta Wood (see contact information below). Substantive meeting information and a roster of Committee members may be obtained either by accessing the SAMHSA Committees’ Web site at https://nac.samhsa.gov/ WomenServices/index.aspx, or by contacting Ms. Wood. The transcript for the meeting will be available on the SAMHSA Committees’ Web site within three weeks after the meeting. Committee Name: SAMHSA’s Advisory Committee for Women’s Services. Date/Time/Type: Wednesday, April 10, 2013 from 9 a.m. to 5:30 EDT: OPEN. Place: SAMHSA, 1 Choke Cherry Road, SAMHSA Conference Room 8–1070, Rockville, Maryland 20857. Contact: Geretta Wood, Committee Management Officer and Designated Federal Official, SAMHSA National Advisory Council and SAMHSA’s Advisory Committee for Women’s Services, 1 Choke Cherry Road, Rockville, Maryland 20857, Telephone: (240) 276–2326, Fax: (240) 276–2252 and Email: geretta.wood@samhsa.hhs.gov. Cathy J. Friedman, Public Health Analyst, SAMHSA. [FR Doc. 2013–05755 Filed 3–12–13; 8:45 am] BILLING CODE 4162–20–P DEPARTMENT OF HOMELAND SECURITY Office of the Secretary [Docket No. DHS–2012–0073] Privacy Act of 1974; Department of Homeland Security, U.S. Customs and Border Protection—DHS/CBP–018— Customs—Trade Partnership Against Terrorism (C–TPAT) System, System of Records Privacy Office, Department of Homeland Security. ACTION: Notice of Privacy Act system of records. AGENCY: In accordance with the Privacy Act of 1974, the Department of Homeland Security proposes to SUMMARY: E:\FR\FM\13MRN1.SGM 13MRN1 mstockstill on DSK4VPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 49 / Wednesday, March 13, 2013 / Notices establish a new system of records titled, ‘‘Department of Homeland Security, U.S. Customs and Border Protection, DHS/CBP–018 Customs—Trade Partnership Against Terrorism System of Records.’’ This system of records allows the Department of Homeland Security/U.S. Customs and Border Protection, DHS/CBP–018, CustomsTrade Partnership Against Terrorism to collect and maintain records about members of the trade community related to Customs and Border Protection’s Customs-Trade Partnership Against Terrorism program. Businesses accepted into the program, called partners, agree to analyze, measure, monitor, report, and enhance their supply chains in exchange for greater security and facilitated processing offered by Customs and Border Protection. The Customs-Trade Partnership Against Terrorism program allows Customs and Border Protection to focus its resources on higher risk businesses and thereby assists the agency in achieving its mission to secure the border and facilitate the movement of legitimate international trade. This new system of records collects and manages information, including personally identifiable information, about prospective, ineligible, current, or former trade partners in Customs-Trade Partnership Against Terrorism, and other entities and individuals in their supply chains. This system also collects and maintains information, including personally identifiable information, regarding members of a foreign government secure supply chain program that have been recognized by Customs and Border Protection, through a mutual recognition arrangement or comparable arrangement, as being compatible with the program. The Customs-Trade Partnership Against Terrorism program provides a Security Link Portal, which allows partners and applicants to access and manage their information. Customs and Border Protection is publishing this new system of records notice in order to notify the public about the system, permit trade partners access to the information they provide, and offer a description of how and where information is collected and maintained. Additionally, the Department of Homeland Security is issuing a Notice of Proposed Rulemaking elsewhere in the Federal Register, to exempt this system of records from certain provisions of the Privacy Act. This newly established system will be included in the Department of Homeland Security’s inventory of record systems. VerDate Mar<15>2010 17:11 Mar 12, 2013 Jkt 229001 The new system of records will be effective April 12, 2013, unless comments are received that result in a contrary determination. ADDRESSES: You may submit comments, identified by docket number DHS– 2012–0073 by one of the following methods: • Federal e-Rulemaking Portal: http://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 rulemaking. All comments received will be posted without change to http:// www.regulations.gov, including any personal information provided. Docket: For access to the docket to read background documents or comments received go to http:// www.regulations.gov. DATES: For general questions please contact: Laurence E. Castelli (202–325–0280), CBP Privacy Officer, U.S. Customs and Border Protection, 90 K Street NE. 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), US Customs and Border Protection (CBP) proposes to establish a new DHS system of records titled, ‘‘DHS/CBP–018–C–TPAT System of Records.’’ CBP is publishing this new system of records notice to notify the public about the system and offer a description of how CBP collects and maintains information pertaining to prospective, ineligible, current, or former trade partners in C–TPAT; other entities and individuals in their supply chains; and members of foreign governments’ secure supply chain programs that have been recognized by CBP, through a mutual recognition arrangement or comparable arrangement, as being compatible with C–TPAT. CBP will use the information collected and maintained through the C–TPAT program to carry out its trade facilitation, law enforcement, and national security missions. In direct response to 9/11, CBP challenged the PO 00000 Frm 00036 Fmt 4703 Sfmt 4703 15963 trade community to partner with the government to design a new approach to supply chain security—one that protects the United States from acts of terrorism by improving security while facilitating the flow of compliant cargo and conveyances. The result was the Customs-Trade Partnership Against Terrorism (C–TPAT)—an innovative, voluntary government/private sector partnership program. C–TPAT is a voluntary program in which certain types of businesses agree to cooperate with CBP in the analysis, measurement, monitoring, reporting, and enhancement of their supply chains. Businesses accepted in to C–TPAT are called partners and agree to take actions to protect their supply chain, identify security gaps, and implement specific security measures and best practices in return for facilitated processing of their shipments by CBP. The program focuses on improving security from the point of origin (including manufacturer, supplier, or vendor) through a point of distribution to the destination. The current security guidelines for C–TPAT program members address a broad range of topics including personnel, physical and procedural security; access controls; education, training and awareness; manifest procedures; conveyance security; threat awareness; and documentation processing. These guidelines offer a customized solution for the members, while providing a clear minimum standard that approved companies must meet. Businesses eligible to fully participate in C–TPAT include U.S. importers; U.S./Canada highway carriers; U.S./ Mexico highway carriers; rail and sea carriers; licensed U.S. Customs brokers; U.S. marine port authority/terminal operators; U.S. freight consolidators; ocean transportation intermediaries and non-operating common carriers; Mexican and Canadian manufacturers; and Mexican long-haul carriers. As part of its development, CBP plans to include exporters from the United States in C–TPAT. There are three tiers of C–TPAT partnership, with each tier having its own set of requirements and corresponding facilitated processing. In general, businesses are considered applicants until CBP has vetted the information in the application and accepted the business into the program. Once accepted, the business is designated as a Tier One certified partner, and a site visit is arranged. The site visit is used to validate the partner’s supply chain security and leads to importers becoming Tier Two validated partners. As C–TPAT has incorporated other eligible business types, it has led E:\FR\FM\13MRN1.SGM 13MRN1 mstockstill on DSK4VPTVN1PROD with NOTICES 15964 Federal Register / Vol. 78, No. 49 / Wednesday, March 13, 2013 / Notices to those businesses becoming certified, validated non-importers. If an importer with Tier Two validated partner status exemplifies best practices in its supply chain security, it may attain Tier Three validated partner status. As a business progresses up the tiers, it receives more facilitated processing at ports of entry. Information is collected directly from C–TPAT partners or applicant businesses seeking membership in C– TPAT and indirectly from trade partners or through Mutual Recognition Arrangements (MRA) or memoranda of understanding relating to harmonization efforts between CBP and the foreign secured supply chain program. In the course of enrolling, certifying, and validating C–TPAT trade partners and their supply chains, the C–TPAT system will receive personally identifiable information (PII) and confidential business information from trade entities and their representatives. To participate in the C–TPAT program, a company is required to submit a confidential, on-line application using the C–TPAT Security Link Portal, https://ctpat.cbp.dhs.gov. The C–TPAT Security Link Portal is the public-facing portion of the C–TPAT system used by applicants to submit the information in their company and supply chain security profiles. Initially, the applicant business provides basic business-identifying information in the company profile using the online application form. This businessidentifying information is used to verify the identity and actual existence of the applicant business and may include basic identifying elements and/or PII used in the importation of cargo, such as U.S. Social Security Numbers (SSN) for sole proprietors, Internal Revenue Service Business Identification Numbers, and Customs assigned identification numbers (such as Manufacturer Identification numbers and Broker/Filer codes, etc.). Point of contact information is collected for the business, as well as owner information. Additionally, the applicant business must complete a Supply Chain Security Profile (SCSP). The information provided in the SCSP is a narrative description of the procedures the applicant business uses to adhere to each C–TPAT Security Criteria or Guideline articulated for their particular business type (importer, customs broker, freight forwarder, air, sea, and land carriers, contract logistics providers, etc.) together with any supporting documentation. Data elements entered by the applicant business are accessible for update or revision through the C– TPAT Security Link Portal. An applicant’s SCSP must provide supply VerDate Mar<15>2010 17:11 Mar 12, 2013 Jkt 229001 chain security procedures for each business in the applicant’s supply chain, even if those businesses are not, or do not desire to become partners of C–TPAT separately. This information is focused on the security procedures of those businesses (e.g., whether the business conducts background investigations on employees), rather than the individuals related to those businesses (e.g., a list of employee names). A CBP Supply Chain Security Specialist (SCSS) vets the SCSP information provided by the applicant by querying that information through various information sources and systems, and queries of publicly available data (e.g., through Google). The SCSS will then evaluate the SCSP information against the results provided by such system vetting, derogatory or otherwise, and indicate whether the applicant is fit for the program in the Security Link Portal. Derogatory vetting results are incorporated into an issue paper for a C–TPAT supervisor’s approval, and the issue paper is stored separately from the Security Link Portal on an internal C–TPAT SharePoint, which is only accessible by appropriate CBP employees and supervisors. Vetting results containing PII are not stored in the C–TPAT Security Link Portal. When a query reveals derogatory information about a business applicant or partner, the SCSS makes a notation on the internal portion of the C–TPAT Security Link Portal indicating the existence of derogatory information and a citation to the appropriate records. For instance, if a query of an applicant in TECS results in derogatory information, the TECS ID is used as an identifier for the record in the C–TPAT Security Link Portal, rather than the contents of the TECS record. However, specific details regarding the incident or violation giving rise to the unfavorable analysis will be maintained within the C–TPAT SharePoint site and the relevant source system. The SCSS is responsible for vetting all C–TPAT applicants, and conducts this vetting of business entities every 6–12 months to ensure continued compliance. Consistent with DHS’s information sharing mission, information stored in DHS/CBP–018 Customs—Trade Partnership Against Terrorism (C– TPAT) System may be shared with other DHS components that have a need to know the information to carry out their national security, law enforcement, immigration, intelligence, or other homeland security functions. In addition, information may be shared with appropriate federal, state, local, tribal, territorial, foreign, or PO 00000 Frm 00037 Fmt 4703 Sfmt 4703 international government agencies consistent with the routine uses set forth in this system of records notice. Additionally, DHS is issuing a Notice of Proposed Rulemaking to exempt this system of records from certain provisions of the Privacy Act, elsewhere in the Federal Register. This newly established 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 individuals’ records. The Privacy Act applies to information that is maintained in a ‘‘system of records.’’ A ‘‘system of records’’ is a group of any records under the control of an agency for which information is retrieved by the name of an individual or by some identifying number, symbol, or other identifying particular assigned to the individual. In the Privacy Act, an individual is defined to encompass U.S. citizens and lawful permanent residents. As a matter of policy, DHS extends administrative Privacy Act protections to all individuals where systems of records maintain information on U.S. citizens, lawful permanent residents, and visitors. Below is the description of the DHS/ CBP–018 Customs—Trade Partnership Against Terrorism (C–TPAT) System of Records. In accordance with 5 U.S.C. 552a(r), DHS has provided a report of this system of records to the Office of Management and Budget and to Congress. SYSTEM OF RECORDS: Department of Homeland Security (DHS)/U.S. Customs and Border Protection (CBP)–018. SYSTEM NAME: DHS/CBP–018 Customs—Trade Partnership Against Terrorism (C– TPAT) SECURITY CLASSIFICATION: Unclassified, for official use only, law enforcement sensitive. SYSTEM LOCATION: Records are maintained at CBP Headquarters, Washington, DC and field offices in C–TPAT’s Security Link Portal and a CBP collaborative intranet. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Individuals, including Points of Contact (POC), owners, and others associated with prospective, ineligible, current, or former C–TPAT business E:\FR\FM\13MRN1.SGM 13MRN1 Federal Register / Vol. 78, No. 49 / Wednesday, March 13, 2013 / Notices entities; individuals associated with the supply chain of such C–TPAT business entities; and individuals associated with business entities in foreign governments secure supply chain programs that have been recognized by CBP, through harmonization, a mutual recognition arrangement, or comparable arrangement, as being compatible with C–TPAT. mstockstill on DSK4VPTVN1PROD with NOTICES CATEGORIES OF RECORDS IN THE SYSTEM: At the Application level, information is collected from the applicant about itself and those members of its international supply chain. Pre-set fields of business-identifying information within the company profile portion of the online application include: • Business Entity Type; • Application Exception Token; • Legal Business Name; • Other Name(s) by which the Business is known (i.e., ‘‘Doing Business As’’), if applicable; • Business Telephone; • Business Fax; • Business Web site address; • Business history; • Physical Address(es); • Mailing Address(es); • Owner Type: (e.g., Corporation\ Partnership\Sole Proprietor, etc.); • Years in Business; • Number of Employees; • Business Points of Contacts; • First Name; • Last Name; • Title; • Email Address (also used to log in to the Security Link Portal); • Password; • Telephone Number; • Contact Type; • U.S. Social Security Numbers (as volunteered by sole proprietors as their tax identification number); • Internal Revenue Service Business Identification Numbers; • Customs assigned identification numbers (Importers of Record (IOR) number; Manufacturer Identification Numbers (MID) and Broker/Filer codes, etc.); • Issue Papers, including information regarding whether the applicant is eligible for C–TPAT membership or source record numbers for such information; • Narrative description of supply chain security procedures for applicant and other entities in applicant’s supply chain; • Validation supporting documentation (e.g., bills of lading; audits—internal & external; proof of background checks; contractual obligations; via a letter from a senior VerDate Mar<15>2010 17:11 Mar 12, 2013 Jkt 229001 business partner officer attesting to compliance; statements demonstrating compliance with C–TPAT security criteria or an equivalent World Customs Organization accredited security program administered by a foreign customs authority; importer security questionnaire); and • Account Status. Information received from and confirmed to countries with which CBP has a Mutual Recognition Arrangement (MRA) includes: • Legal Business Name; • Other Name(s) by which the Business is known (i.e., ‘‘Doing Business As’’), if applicable; • Company Type; • Date Partner Certified; • Account Status; • Vetting Status; • Date Validation Completed; • SCSS Name; • Office Assigned Name; • Mutual Recognition Country; • Business identifying numbers, e.g.: Æ Standard Carrier Alpha Code (SCAC); Æ IOR; Æ MID; By Applicant request, information received from, and forwarded to, foreign secure supply chain programs pursuant to a harmonization program may include, but is not limited to: • Legal Name; • Doing Business As; • Telephone Number; • Fax Number; • Web site; • Owner Type; • Business Start Date; • Number of Employees; • Brief Company History; • Primary Address, Type; • Primary Address, Name; • Primary Address, Country; • Primary Address, Street Address; • Primary Address, City; • Primary Address, State/Province; • Primary Address, Zip/Postal Code; • Mailing Address: Æ Type; Æ Name; Æ Country; Æ Street Address; Æ City; Æ State/Province; and Æ Zip/Postal Code. • Primary Contact: Æ Email Address; Æ Type; Æ Salutation; Æ First Name; Æ Last Name; Æ Title; and Æ Telephone Number. • Partner Notifications; • Number of Entries; PO 00000 Frm 00038 Fmt 4703 Sfmt 4703 15965 • U.S. Department of Transportation (DOT) Issued Number; • U.S. National Motor Freight Traffic Association Issued; • SCAC; • Dun & Bradstreet Number; • Services Offered; • Driver Sources; • Entries related to harmonization country; • The entire Security Profile (Upon Request): Æ Account Number; Æ Risking Status; Æ MSR Status; Æ Validation Type; Æ Validation Closed Date; Æ Validation Status; Æ Validation Type Verification (Government Contact); Æ Verification Type Start Date; Æ Verification Type: (phone, visit, mutual recognition); Æ Verification Visit address; Æ Business Type; and Æ Harmonization Host Program. • Account Status; • Vetting Status; • Minimum Security Requirements/ Security Profile Status; • Validation Status; and • Harmonization Status. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: This system and program are authorized by 6 U.S.C. 901 note (Security and Accountability for Every Port Act of 2006 (SAFE Port Act), including 6 U.S.C. 961–973. Pilot programs enhancing secure supply chain practices related to C–TPAT are also authorized by Homeland Security Presidential Directive/HSPD–8, ‘‘National Preparedness’’ Section 22 (December 17, 2003). PURPOSE(S): The purpose of this system is to verify the identity of C–TPAT partners, determine enrollment level, and provide identifiable ‘‘low risk’’ entities with fewer random checks and facilitated processing. The information will be cross-referenced with data maintained in CBP’s other cargo and enforcement databases and will be shared with other law enforcement systems, agencies or foreign entities, as appropriate, when related to ongoing investigations or operations. Information will be used to analyze, measure, monitor, report, and enhance business supply chains to permit facilitated processing of C–TPAT partner shipments by CBP. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: In addition to those disclosures generally permitted under 5 U.S.C. E:\FR\FM\13MRN1.SGM 13MRN1 mstockstill on DSK4VPTVN1PROD with NOTICES 15966 Federal Register / Vol. 78, No. 49 / Wednesday, March 13, 2013 / Notices 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3). Any disclosure of information must be made consistent with the official duties of the person making the disclosure. The routine uses are as follows: A. To the Department of Justice (DOJ), including the United States Attorneys Offices, or other federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is relevant or necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation: 1. DHS or any component thereof; 2. Any employee of DHS in his/her official capacity; 3. Any employee of DHS in his/her individual capacity when DOJ or DHS has agreed to represent the employee; or 4. The United States or any agency thereof. B. To a congressional office from the record of an individual in response to an inquiry from that congressional office made at the request of the individual to whom the record pertains. C. To the National Archives and Records Administration (NARA) or General Services Administration pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906. D. To an agency or organization for the purpose of performing audit or oversight operations as authorized by law, but only such information as is necessary and relevant to such audit or oversight function. E. To appropriate agencies, entities, and persons when: 1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; 2. DHS has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individuals that rely upon the compromised information; and 3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm. F. To contractors and their agents, grantees, experts, consultants, and others performing or working on a VerDate Mar<15>2010 17:11 Mar 12, 2013 Jkt 229001 contract, service, grant, cooperative agreement, or other assignment for DHS, when necessary to accomplish an agency function related to this system of records. Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on disclosure as are applicable to DHS officers and employees. G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, when a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations. H. To appropriate foreign governmental agencies or multilateral governmental organizations pursuant to an arrangement between CBP and a foreign government or multilateral governmental organization regarding supply chain security. I. To an appropriate federal, state, local, territorial, tribal, or foreign governmental agencies or multilateral governmental organizations or other appropriate authority or entity when necessary to vet a C–TPAT applicant or validate a C–TPAT partner. J. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental organizations when DHS reasonably believes there to be a threat or potential threat to national or international security for which the information may be relevant in countering the threat or potential threat. K. To a federal, state, tribal, or local agency, or other appropriate entity or individual, or foreign governments, in order to provide relevant information related to intelligence, counterintelligence, or antiterrorism activities authorized by U.S. law, Executive Order, or other applicable national security directive. L. To an organization or individual in either the public or private sector, either foreign or domestic, when there is a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, or when the information is relevant and necessary to the protection of life or property. M. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information pertinent to the investigation. PO 00000 Frm 00039 Fmt 4703 Sfmt 4703 N. To an appropriate federal, state, local, tribal, foreign, or international agency, if the information is relevant to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit, or if the information is relevant to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit. O. To a federal, state, local, tribal, or foreign governmental agency or multilateral governmental organization for the purpose of consulting with that agency or entity: (1) To assist in making a determination regarding redress for an individual in connection with the operations of a DHS component or program; (2) for the purpose of verifying the identity of an individual seeking redress in connection with the operations of a DHS component or program; or (3) for the purpose of verifying the accuracy of information submitted by an individual who has requested such redress on behalf of another individual. P. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental organizations for the purpose of protecting the vital health interests of a data subject or other persons (e.g., to assist such agencies or organizations in preventing exposure to or transmission of a communicable or quarantinable disease or to combat other significant public health threats; appropriate notice will be provided of any identified health threat or risk). Q. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy. DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. E:\FR\FM\13MRN1.SGM 13MRN1 Federal Register / Vol. 78, No. 49 / Wednesday, March 13, 2013 / Notices POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD–ROM. RETRIEVABILITY: Records may be retrieved by any of the information listed in the categories of records above. SAFEGUARDS: Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions. RETENTION AND DISPOSAL: CBP is proposing the following retention schedule to the National Archives and Records Administration (NARA): Information stored in C–TPAT will be retained for the period during which the application is pending decision by CBP and for the period of active membership of the business entity, plus five years. Where information regarding the possible ineligibility of an applicant for C–TPAT membership is found, it will be retained in the C–TPAT system for an additional 25 years to assist with future vetting, or consistent with the applicable retention period for the System of Records from which such information was derived, whichever is longer. SYSTEM MANAGER AND ADDRESS: C–TPAT Director, U.S. Customs and Border Protection, 1300 Pennsylvania Avenue NW., Washington, DC 20229; (202) 344–2619. mstockstill on DSK4VPTVN1PROD with NOTICES NOTIFICATION PROCEDURE: The C–TPAT Security Link Portal provides access to the information an applicant or partner submitted. The C– TPAT partner interface allows participants to access and change the information they have provided at any time by accessing their business identifying information and C–TPAT profile through secure login procedures. C–TPAT Partners access the C–TPAT VerDate Mar<15>2010 17:11 Mar 12, 2013 Jkt 229001 Security Link Portal via https:// ctpat.cbp.dhs.gov. Through the Security Link Portal, C– TPAT partners have a direct messaging option where they may communicate with their assigned SCSS if they believe CBP has acted upon inaccurate or erroneously provided information. If this method is unsuccessful and C– TPAT facilitated processing is denied or removed, within 30 days of notification the entity may make written inquiry regarding such denial or removal. The applicant should provide as much identifying information as possible regarding the business, in order to identify the record at issue. C–TPAT participants may provide CBP with additional information to ensure that the information maintained by CBP is accurate and complete. The submitter will receive a written response to each inquiry. If C–TPAT partnership is suspended or removed, the business may appeal this decision to CBP HQ, to the attention of the Executive Director, C–TPAT Program Division: Executive Director, Cargo and Conveyance Security, U.S. Customs and Border Protection, 1300 Pennsylvania Avenue NW., Room 2.2A, Washington, DC 20229. The Secretary of Homeland Security has exempted portions of this system from the notification, access, and amendment procedures of the Privacy Act because it is a law enforcement system. However, DHS/CBP will consider individual requests to determine whether or not information may be released. Thus, individuals seeking notification of and access to any record contained in this system of records, or seeking to contest its content, may submit a request in writing to the Headquarters or component’s FOIA Officer, whose contact information can be found at http:// www.dhs.gov/foia under ‘‘contacts.’’ If an individual believes more than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief Privacy Officer and Chief Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Drive SW., Building 410, STOP– 0655, Washington, DC 20528. When seeking records about yourself from this system of records or any other Departmental system of records your request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you must provide your full name, current address, and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 PO 00000 Frm 00040 Fmt 4703 Sfmt 4703 15967 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, http://www.dhs.gov or 1–866–431–0486. In addition you should provide the following: • An explanation of why you believe the Department would have information on you; • Identify which component(s) of the Department you believe may have the information about you; • Specify when you believe the records would have been created; and • Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records. If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records. Without this bulleted information the component(s) may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations. RECORD ACCESS PROCEDURES: See ‘‘Notification procedure’’ above. CONTESTING RECORD PROCEDURES: See ‘‘Notification procedure’’ above. RECORD SOURCE CATEGORIES: Records are obtained from the business; from CBP systems including, but not limited to, TECS, the Automated Targeting System (ATS), the Automated Commercial System (ACS); and from public sources. Information is also collected by the SCSS from the C–TPAT applicant and other businesses during the course of validating the business’s supply chain and from foreign governments and multilateral governmental organizations with which CBP has entered into MRAs or other arrangements. EXEMPTIONS CLAIMED FOR THE SYSTEM: No exemption shall be asserted with respect to information requested from and provided by the C–TPAT applicant including, but not limited to, company profile, supply chain information, and other information provided during the application and validation process. CBP will not assert any exemptions for an individual’s application data and final membership determination in response to a request from that individual. However, the Privacy Act requires DHS E:\FR\FM\13MRN1.SGM 13MRN1 15968 Federal Register / Vol. 78, No. 49 / Wednesday, March 13, 2013 / Notices to maintain an accounting of the disclosures made pursuant to all routines uses. Disclosing the fact that a law enforcement agency has sought particular records may affect ongoing law enforcement activities. As such, pursuant to 5 U.S.C. 552a(j)(2), DHS will claim exemption from sections (c)(3), (e)(8), and (g) of the Privacy Act of 1974, as amended, as is necessary and appropriate to protect this information. Further, DHS will claim exemption from section (c)(3) of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a(k)(2) as is necessary and appropriate to protect this information. Pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act, all other C–TPAT data, including information regarding the possible ineligibility of an applicant for C–TPAT membership discovered during the vetting process and any resulting issue papers, are exempt from 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). Pursuant to 5 U.S.C. 552a(k)(2), information regarding the possible ineligibility of an applicant for C–TPAT membership discovered during the vetting process and any resulting issue papers are exempt from 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H),(e)(4)(I); and (f). In addition, to the extent a record contains information from other exempt systems of records, CBP will rely on the exemptions claimed for those systems. Dated: February 21, 2013. Jonathan R. Cantor, Acting Chief Privacy Officer, Department of Homeland Security. [FR Doc. 2013–05674 Filed 3–12–13; 8:45 am] BILLING CODE 9111–14–P DEPARTMENT OF HOMELAND SECURITY Federal Emergency Management Agency [Docket ID: FEMA–2007–0008] National Advisory Council Federal Emergency Management Agency, DHS. ACTION: Committee Management; Request for Applicants for Appointment to the National Advisory Council. mstockstill on DSK4VPTVN1PROD with NOTICES AGENCY: The Federal Emergency Management Agency (FEMA) is requesting individuals who are interested in serving on the National Advisory Council (NAC) to apply for appointment as identified in this notice. As provided for in the Post-Katrina Emergency Management Reform Act of SUMMARY: VerDate Mar<15>2010 17:11 Mar 12, 2013 Jkt 229001 2006 (PKEMRA), the NAC shall advise the Administrator of FEMA on all aspects of emergency management. The NAC shall incorporate State, local and Tribal government and private sector input in the development and revision of the national preparedness goal, the national preparedness system, the National Incident Management System, the National Response Framework, and other related plans and strategies. The NAC consists of up to 35 members, all of whom are experts and leaders in their respective fields. FEMA seeks to appoint individuals to nine positions on the Council that are open due to vacancy or term expiration on June 15, 2013. DATES: Applications and nominations will be accepted until Friday, March 22, 2013, 5:00 p.m. EST. ADDRESSES: Applications for membership should be submitted by: • Email: FEMA-NAC@fema.dhs.gov. • Fax: (540) 504–2331. • Mail: Office of the National Advisory Council, Federal Emergency Management Agency (Room 722F), 500 C Street SW., Washington, DC 20472– 3100. FOR FURTHER INFORMATION CONTACT: Alexandra Woodruff, Alternate Designated Federal Officer, The Office of the National Advisory Council, Federal Emergency Management Agency (Room 722F), 500 C Street SW., Washington, DC 20472–3100; telephone (202) 646–3746; fax (540) 504–2331; and email FEMA-NAC@fema.dhs.gov. For more information on the NAC, please visit http://www.fema.gov/about/ national-advisory-council. SUPPLEMENTARY INFORMATION: The NAC is an advisory committee established in accordance with the provisions of the Federal Advisory Committee Act (FACA), 5 U.S.C. App. (Pub. L. 92–463). As required by PKEMRA, the Secretary of Homeland Security established the NAC to ensure effective and ongoing coordination of Federal preparedness, protection, response, recovery, and mitigation for natural disasters, acts of terrorism, and other man-made disasters. FEMA is requesting individuals who are interested in serving on the NAC to apply for appointment. The terms for seven positions on the Council will expire June 15, 2013 in the following discipline areas: Emergency Management Field (one representative appointment), State Non-Elected Officials (one representative appointment), Standards Setting and Accrediting (one representative appointment), Public Health (one Special Government Employee (SGE) PO 00000 Frm 00041 Fmt 4703 Sfmt 4703 appointment), Functional Accessibility (one representative appointment), Emergency Medical Providers (one SGE appointment), and Tribal Non-Elected Officials (one representative appointment). FEMA seeks to appoint individuals to these positions for threeyear terms. There are two vacancies with terms ending June 15, 2014 in the disciplines of Tribal Elected Officials (one representative appointment) and Emergency Response (one representative appointment). FEMA seeks to appoint individuals to serve the remainder of these terms. The position for Tribal Elected Officials (one representative appointment) is currently vacant with a term ending June 15, 2014. FEMA seeks to appoint an individual to serve the remainder of this term. The Administrator may appoint additional candidates to serve as FEMA Administrator Selection (either representative or SGE) for three-year terms. Additionally, there is an Ex Officio position for a representative from the U.S. Department of Defense. Individuals interested in serving on the NAC are invited to apply for appointment by submitting a Resume or Curriculum Vitae (CV) to the Office of the NAC as listed in the ADDRESSES section of this notice. Letters of recommendation may also be provided, but are not required. There is no application form. However, applications/nominations must include the following information: The applicant’s full name, home and business phone numbers, preferred email address, home and business mailing addresses, current position title & organization, and the discipline area of interest (i.e., Emergency Management). Current Council members whose terms are ending should notify the Office of the NAC of their interest in reappointment in lieu of submitting a new application, and if desired, provide updated application materials for consideration. Appointees may be designated as a SGE as defined in section 202(a) of title 18, United States Code, or as a Representative appointment. Candidates selected for appointment as SGEs are required to complete a Confidential Financial Disclosure Form (Office of Government Ethics (OGE) Form 450). This form can be obtained by visiting the Web Site of the Office of Government Ethics (http:// www.oge.gov), or by contacting the Office of the NAC. Please do not submit this form with your application. Contact information is provided in the FOR FURTHER INFORMATION CONTACT section of this notice. E:\FR\FM\13MRN1.SGM 13MRN1

Agencies

[Federal Register Volume 78, Number 49 (Wednesday, March 13, 2013)]
[Notices]
[Pages 15962-15968]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-05674]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2012-0073]


Privacy Act of 1974; Department of Homeland Security, U.S. 
Customs and Border Protection--DHS/CBP-018--Customs--Trade Partnership 
Against Terrorism (C-TPAT) System, System of Records

AGENCY: Privacy Office, Department of Homeland Security.

ACTION: Notice of Privacy Act system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, the Department of 
Homeland Security proposes to

[[Page 15963]]

establish a new system of records titled, ``Department of Homeland 
Security, U.S. Customs and Border Protection, DHS/CBP-018 Customs--
Trade Partnership Against Terrorism System of Records.'' This system of 
records allows the Department of Homeland Security/U.S. Customs and 
Border Protection, DHS/CBP-018, Customs-Trade Partnership Against 
Terrorism to collect and maintain records about members of the trade 
community related to Customs and Border Protection's Customs-Trade 
Partnership Against Terrorism program. Businesses accepted into the 
program, called partners, agree to analyze, measure, monitor, report, 
and enhance their supply chains in exchange for greater security and 
facilitated processing offered by Customs and Border Protection. The 
Customs-Trade Partnership Against Terrorism program allows Customs and 
Border Protection to focus its resources on higher risk businesses and 
thereby assists the agency in achieving its mission to secure the 
border and facilitate the movement of legitimate international trade. 
This new system of records collects and manages information, including 
personally identifiable information, about prospective, ineligible, 
current, or former trade partners in Customs-Trade Partnership Against 
Terrorism, and other entities and individuals in their supply chains. 
This system also collects and maintains information, including 
personally identifiable information, regarding members of a foreign 
government secure supply chain program that have been recognized by 
Customs and Border Protection, through a mutual recognition arrangement 
or comparable arrangement, as being compatible with the program. The 
Customs-Trade Partnership Against Terrorism program provides a Security 
Link Portal, which allows partners and applicants to access and manage 
their information. Customs and Border Protection is publishing this new 
system of records notice in order to notify the public about the 
system, permit trade partners access to the information they provide, 
and offer a description of how and where information is collected and 
maintained. Additionally, the Department of Homeland Security is 
issuing a Notice of Proposed Rulemaking elsewhere in the Federal 
Register, to exempt this system of records from certain provisions of 
the Privacy Act. This newly established system will be included in the 
Department of Homeland Security's inventory of record systems.

DATES: The new system of records will be effective April 12, 2013, 
unless comments are received that result in a contrary determination.

ADDRESSES: You may submit comments, identified by docket number DHS-
2012-0073 by one of the following methods:
     Federal e-Rulemaking Portal: http://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 rulemaking. All comments received will be 
posted without change to http://www.regulations.gov, including any 
personal information provided.
    Docket: For access to the docket to read background documents or 
comments received go to http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: For general questions please contact: 
Laurence E. Castelli (202-325-0280), CBP Privacy Officer, U.S. Customs 
and Border Protection, 90 K Street NE. 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), US Customs and Border Protection 
(CBP) proposes to establish a new DHS system of records titled, ``DHS/
CBP-018-C-TPAT System of Records.''
    CBP is publishing this new system of records notice to notify the 
public about the system and offer a description of how CBP collects and 
maintains information pertaining to prospective, ineligible, current, 
or former trade partners in C-TPAT; other entities and individuals in 
their supply chains; and members of foreign governments' secure supply 
chain programs that have been recognized by CBP, through a mutual 
recognition arrangement or comparable arrangement, as being compatible 
with C-TPAT.
    CBP will use the information collected and maintained through the 
C-TPAT program to carry out its trade facilitation, law enforcement, 
and national security missions. In direct response to 9/11, CBP 
challenged the trade community to partner with the government to design 
a new approach to supply chain security--one that protects the United 
States from acts of terrorism by improving security while facilitating 
the flow of compliant cargo and conveyances. The result was the 
Customs-Trade Partnership Against Terrorism (C-TPAT)--an innovative, 
voluntary government/private sector partnership program. C-TPAT is a 
voluntary program in which certain types of businesses agree to 
cooperate with CBP in the analysis, measurement, monitoring, reporting, 
and enhancement of their supply chains.
    Businesses accepted in to C-TPAT are called partners and agree to 
take actions to protect their supply chain, identify security gaps, and 
implement specific security measures and best practices in return for 
facilitated processing of their shipments by CBP. The program focuses 
on improving security from the point of origin (including manufacturer, 
supplier, or vendor) through a point of distribution to the 
destination. The current security guidelines for C-TPAT program members 
address a broad range of topics including personnel, physical and 
procedural security; access controls; education, training and 
awareness; manifest procedures; conveyance security; threat awareness; 
and documentation processing. These guidelines offer a customized 
solution for the members, while providing a clear minimum standard that 
approved companies must meet.
    Businesses eligible to fully participate in C-TPAT include U.S. 
importers; U.S./Canada highway carriers; U.S./Mexico highway carriers; 
rail and sea carriers; licensed U.S. Customs brokers; U.S. marine port 
authority/terminal operators; U.S. freight consolidators; ocean 
transportation intermediaries and non-operating common carriers; 
Mexican and Canadian manufacturers; and Mexican long-haul carriers. As 
part of its development, CBP plans to include exporters from the United 
States in C-TPAT.
    There are three tiers of C-TPAT partnership, with each tier having 
its own set of requirements and corresponding facilitated processing. 
In general, businesses are considered applicants until CBP has vetted 
the information in the application and accepted the business into the 
program. Once accepted, the business is designated as a Tier One 
certified partner, and a site visit is arranged. The site visit is used 
to validate the partner's supply chain security and leads to importers 
becoming Tier Two validated partners. As C-TPAT has incorporated other 
eligible business types, it has led

[[Page 15964]]

to those businesses becoming certified, validated non-importers. If an 
importer with Tier Two validated partner status exemplifies best 
practices in its supply chain security, it may attain Tier Three 
validated partner status. As a business progresses up the tiers, it 
receives more facilitated processing at ports of entry.
    Information is collected directly from C-TPAT partners or applicant 
businesses seeking membership in C-TPAT and indirectly from trade 
partners or through Mutual Recognition Arrangements (MRA) or memoranda 
of understanding relating to harmonization efforts between CBP and the 
foreign secured supply chain program. In the course of enrolling, 
certifying, and validating C-TPAT trade partners and their supply 
chains, the C-TPAT system will receive personally identifiable 
information (PII) and confidential business information from trade 
entities and their representatives.
    To participate in the C-TPAT program, a company is required to 
submit a confidential, on-line application using the C-TPAT Security 
Link Portal, https://ctpat.cbp.dhs.gov. The C-TPAT Security Link Portal 
is the public-facing portion of the C-TPAT system used by applicants to 
submit the information in their company and supply chain security 
profiles. Initially, the applicant business provides basic business-
identifying information in the company profile using the online 
application form. This business-identifying information is used to 
verify the identity and actual existence of the applicant business and 
may include basic identifying elements and/or PII used in the 
importation of cargo, such as U.S. Social Security Numbers (SSN) for 
sole proprietors, Internal Revenue Service Business Identification 
Numbers, and Customs assigned identification numbers (such as 
Manufacturer Identification numbers and Broker/Filer codes, etc.). 
Point of contact information is collected for the business, as well as 
owner information.
    Additionally, the applicant business must complete a Supply Chain 
Security Profile (SCSP). The information provided in the SCSP is a 
narrative description of the procedures the applicant business uses to 
adhere to each C-TPAT Security Criteria or Guideline articulated for 
their particular business type (importer, customs broker, freight 
forwarder, air, sea, and land carriers, contract logistics providers, 
etc.) together with any supporting documentation. Data elements entered 
by the applicant business are accessible for update or revision through 
the C-TPAT Security Link Portal. An applicant's SCSP must provide 
supply chain security procedures for each business in the applicant's 
supply chain, even if those businesses are not, or do not desire to 
become partners of C-TPAT separately. This information is focused on 
the security procedures of those businesses (e.g., whether the business 
conducts background investigations on employees), rather than the 
individuals related to those businesses (e.g., a list of employee 
names).
    A CBP Supply Chain Security Specialist (SCSS) vets the SCSP 
information provided by the applicant by querying that information 
through various information sources and systems, and queries of 
publicly available data (e.g., through Google). The SCSS will then 
evaluate the SCSP information against the results provided by such 
system vetting, derogatory or otherwise, and indicate whether the 
applicant is fit for the program in the Security Link Portal. 
Derogatory vetting results are incorporated into an issue paper for a 
C-TPAT supervisor's approval, and the issue paper is stored separately 
from the Security Link Portal on an internal C-TPAT SharePoint, which 
is only accessible by appropriate CBP employees and supervisors.
    Vetting results containing PII are not stored in the C-TPAT 
Security Link Portal. When a query reveals derogatory information about 
a business applicant or partner, the SCSS makes a notation on the 
internal portion of the C-TPAT Security Link Portal indicating the 
existence of derogatory information and a citation to the appropriate 
records. For instance, if a query of an applicant in TECS results in 
derogatory information, the TECS ID is used as an identifier for the 
record in the C-TPAT Security Link Portal, rather than the contents of 
the TECS record. However, specific details regarding the incident or 
violation giving rise to the unfavorable analysis will be maintained 
within the C-TPAT SharePoint site and the relevant source system. The 
SCSS is responsible for vetting all C-TPAT applicants, and conducts 
this vetting of business entities every 6-12 months to ensure continued 
compliance.
    Consistent with DHS's information sharing mission, information 
stored in DHS/CBP-018 Customs--Trade Partnership Against Terrorism (C-
TPAT) System may be shared with other DHS components that have a need 
to know the information to carry out their national security, law 
enforcement, immigration, intelligence, or other homeland security 
functions. In addition, information may be shared with appropriate 
federal, state, local, tribal, territorial, foreign, or international 
government agencies consistent with the routine uses set forth in this 
system of records notice.
    Additionally, DHS is issuing a Notice of Proposed Rulemaking to 
exempt this system of records from certain provisions of the Privacy 
Act, elsewhere in the Federal Register. This newly established 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 individuals' records. 
The Privacy Act applies to information that is maintained in a ``system 
of records.'' A ``system of records'' is a group of any records under 
the control of an agency for which information is retrieved by the name 
of an individual or by some identifying number, symbol, or other 
identifying particular assigned to the individual. In the Privacy Act, 
an individual is defined to encompass U.S. citizens and lawful 
permanent residents. As a matter of policy, DHS extends administrative 
Privacy Act protections to all individuals where systems of records 
maintain information on U.S. citizens, lawful permanent residents, and 
visitors.
    Below is the description of the DHS/CBP-018 Customs--Trade 
Partnership Against Terrorism (C-TPAT) System of Records. In accordance 
with 5 U.S.C. 552a(r), DHS has provided a report of this system of 
records to the Office of Management and Budget and to Congress.

System of records:
    Department of Homeland Security (DHS)/U.S. Customs and Border 
Protection (CBP)-018.

System name:
    DHS/CBP-018 Customs--Trade Partnership Against Terrorism (C-TPAT)

Security classification:
    Unclassified, for official use only, law enforcement sensitive.

System location:
    Records are maintained at CBP Headquarters, Washington, DC and 
field offices in C-TPAT's Security Link Portal and a CBP collaborative 
intranet.

Categories of individuals covered by the system:
    Individuals, including Points of Contact (POC), owners, and others 
associated with prospective, ineligible, current, or former C-TPAT 
business

[[Page 15965]]

entities; individuals associated with the supply chain of such C-TPAT 
business entities; and individuals associated with business entities in 
foreign governments secure supply chain programs that have been 
recognized by CBP, through harmonization, a mutual recognition 
arrangement, or comparable arrangement, as being compatible with C-
TPAT.

Categories of records in the system:
    At the Application level, information is collected from the 
applicant about itself and those members of its international supply 
chain. Pre-set fields of business-identifying information within the 
company profile portion of the online application include:
     Business Entity Type;
     Application Exception Token;
     Legal Business Name;
     Other Name(s) by which the Business is known (i.e., 
``Doing Business As''), if applicable;
     Business Telephone;
     Business Fax;
     Business Web site address;
     Business history;
     Physical Address(es);
     Mailing Address(es);
     Owner Type: (e.g., Corporation\ Partnership\Sole 
Proprietor, etc.);
     Years in Business;
     Number of Employees;
     Business Points of Contacts;
     First Name;
     Last Name;
     Title;
     Email Address (also used to log in to the Security Link 
Portal);
     Password;
     Telephone Number;
     Contact Type;
     U.S. Social Security Numbers (as volunteered by sole 
proprietors as their tax identification number);
     Internal Revenue Service Business Identification Numbers;
     Customs assigned identification numbers (Importers of 
Record (IOR) number; Manufacturer Identification Numbers (MID) and 
Broker/Filer codes, etc.);
     Issue Papers, including information regarding whether the 
applicant is eligible for C-TPAT membership or source record numbers 
for such information;
     Narrative description of supply chain security procedures 
for applicant and other entities in applicant's supply chain;
     Validation supporting documentation (e.g., bills of 
lading; audits--internal & external; proof of background checks; 
contractual obligations; via a letter from a senior business partner 
officer attesting to compliance; statements demonstrating compliance 
with C-TPAT security criteria or an equivalent World Customs 
Organization accredited security program administered by a foreign 
customs authority; importer security questionnaire); and
     Account Status.
    Information received from and confirmed to countries with which CBP 
has a Mutual Recognition Arrangement (MRA) includes:
     Legal Business Name;
     Other Name(s) by which the Business is known (i.e., 
``Doing Business As''), if applicable;
     Company Type;
     Date Partner Certified;
     Account Status;
     Vetting Status;
     Date Validation Completed;
     SCSS Name;
     Office Assigned Name;
     Mutual Recognition Country;
     Business identifying numbers, e.g.:
    [cir] Standard Carrier Alpha Code (SCAC);
    [cir] IOR;
    [cir] MID;
    By Applicant request, information received from, and forwarded to, 
foreign secure supply chain programs pursuant to a harmonization 
program may include, but is not limited to:
     Legal Name;
     Doing Business As;
     Telephone Number;
     Fax Number;
     Web site;
     Owner Type;
     Business Start Date;
     Number of Employees;
     Brief Company History;
     Primary Address, Type;
     Primary Address, Name;
     Primary Address, Country;
     Primary Address, Street Address;
     Primary Address, City;
     Primary Address, State/Province;
     Primary Address, Zip/Postal Code;
     Mailing Address:
    [cir] Type;
    [cir] Name;
    [cir] Country;
    [cir] Street Address;
    [cir] City;
    [cir] State/Province; and
    [cir] Zip/Postal Code.
     Primary Contact:
    [cir] Email Address;
    [cir] Type;
    [cir] Salutation;
    [cir] First Name;
    [cir] Last Name;
    [cir] Title; and
    [cir] Telephone Number.
     Partner Notifications;
     Number of Entries;
     U.S. Department of Transportation (DOT) Issued Number;
     U.S. National Motor Freight Traffic Association Issued;
     SCAC;
     Dun & Bradstreet Number;
     Services Offered;
     Driver Sources;
     Entries related to harmonization country;
     The entire Security Profile (Upon Request):
    [cir] Account Number;
    [cir] Risking Status;
    [cir] MSR Status;
    [cir] Validation Type;
    [cir] Validation Closed Date;
    [cir] Validation Status;
    [cir] Validation Type Verification (Government Contact);
    [cir] Verification Type Start Date;
    [cir] Verification Type: (phone, visit, mutual recognition);
    [cir] Verification Visit address;
    [cir] Business Type; and
    [cir] Harmonization Host Program.
     Account Status;
     Vetting Status;
     Minimum Security Requirements/Security Profile Status;
     Validation Status; and
     Harmonization Status.

Authority for maintenance of the system:
    This system and program are authorized by 6 U.S.C. 901 note 
(Security and Accountability for Every Port Act of 2006 (SAFE Port 
Act), including 6 U.S.C. 961-973. Pilot programs enhancing secure 
supply chain practices related to C-TPAT are also authorized by 
Homeland Security Presidential Directive/HSPD-8, ``National 
Preparedness'' Section 22 (December 17, 2003).

Purpose(s):
    The purpose of this system is to verify the identity of C-TPAT 
partners, determine enrollment level, and provide identifiable ``low 
risk'' entities with fewer random checks and facilitated processing. 
The information will be cross-referenced with data maintained in CBP's 
other cargo and enforcement databases and will be shared with other law 
enforcement systems, agencies or foreign entities, as appropriate, when 
related to ongoing investigations or operations. Information will be 
used to analyze, measure, monitor, report, and enhance business supply 
chains to permit facilitated processing of C-TPAT partner shipments by 
CBP.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    In addition to those disclosures generally permitted under 5 U.S.C.

[[Page 15966]]

552a(b) of the Privacy Act, all or a portion of the records or 
information contained in this system may be disclosed outside DHS as a 
routine use pursuant to 5 U.S.C. 552a(b)(3). Any disclosure of 
information must be made consistent with the official duties of the 
person making the disclosure. The routine uses are as follows:
    A. To the Department of Justice (DOJ), including the United States 
Attorneys Offices, or other federal agency conducting litigation or in 
proceedings before any court, adjudicative or administrative body, when 
it is relevant or necessary to the litigation and one of the following 
is a party to the litigation or has an interest in such litigation:
    1. DHS or any component thereof;
    2. Any employee of DHS in his/her official capacity;
    3. Any employee of DHS in his/her individual capacity when DOJ or 
DHS has agreed to represent the employee; or
    4. The United States or any agency thereof.
    B. To a congressional office from the record of an individual in 
response to an inquiry from that congressional office made at the 
request of the individual to whom the record pertains.
    C. To the National Archives and Records Administration (NARA) or 
General Services Administration pursuant to records management 
inspections being conducted under the authority of 44 U.S.C. 2904 and 
2906.
    D. To an agency or organization for the purpose of performing audit 
or oversight operations as authorized by law, but only such information 
as is necessary and relevant to such audit or oversight function.
    E. To appropriate agencies, entities, and persons when:
    1. DHS suspects or has confirmed that the security or 
confidentiality of information in the system of records has been 
compromised;
    2. DHS has determined that as a result of the suspected or 
confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of this system or other systems or programs (whether 
maintained by DHS or another agency or entity) or harm to the 
individuals that rely upon the compromised information; and
    3. The disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with DHS's efforts to 
respond to the suspected or confirmed compromise and prevent, minimize, 
or remedy such harm.
    F. To contractors and their agents, grantees, experts, consultants, 
and others performing or working on a contract, service, grant, 
cooperative agreement, or other assignment for DHS, when necessary to 
accomplish an agency function related to this system of records. 
Individuals provided information under this routine use are subject to 
the same Privacy Act requirements and limitations on disclosure as are 
applicable to DHS officers and employees.
    G. To an appropriate federal, state, tribal, local, international, 
or foreign law enforcement agency or other appropriate authority 
charged with investigating or prosecuting a violation or enforcing or 
implementing a law, rule, regulation, or order, when a record, either 
on its face or in conjunction with other information, indicates a 
violation or potential violation of law, which includes criminal, 
civil, or regulatory violations.
    H. To appropriate foreign governmental agencies or multilateral 
governmental organizations pursuant to an arrangement between CBP and a 
foreign government or multilateral governmental organization regarding 
supply chain security.
    I. To an appropriate federal, state, local, territorial, tribal, or 
foreign governmental agencies or multilateral governmental 
organizations or other appropriate authority or entity when necessary 
to vet a C-TPAT applicant or validate a C-TPAT partner.
    J. To appropriate federal, state, local, tribal, or foreign 
governmental agencies or multilateral governmental organizations when 
DHS reasonably believes there to be a threat or potential threat to 
national or international security for which the information may be 
relevant in countering the threat or potential threat.
    K. To a federal, state, tribal, or local agency, or other 
appropriate entity or individual, or foreign governments, in order to 
provide relevant information related to intelligence, 
counterintelligence, or antiterrorism activities authorized by U.S. 
law, Executive Order, or other applicable national security directive.
    L. To an organization or individual in either the public or private 
sector, either foreign or domestic, when there is a reason to believe 
that the recipient is or could become the target of a particular 
terrorist activity or conspiracy, or when the information is relevant 
and necessary to the protection of life or property.
    M. To third parties during the course of a law enforcement 
investigation to the extent necessary to obtain information pertinent 
to the investigation.
    N. To an appropriate federal, state, local, tribal, foreign, or 
international agency, if the information is relevant to a requesting 
agency's decision concerning the hiring or retention of an individual, 
or issuance of a security clearance, license, contract, grant, or other 
benefit, or if the information is relevant to a DHS decision concerning 
the hiring or retention of an employee, the issuance of a security 
clearance, the reporting of an investigation of an employee, the 
letting of a contract, or the issuance of a license, grant or other 
benefit.
    O. To a federal, state, local, tribal, or foreign governmental 
agency or multilateral governmental organization for the purpose of 
consulting with that agency or entity: (1) To assist in making a 
determination regarding redress for an individual in connection with 
the operations of a DHS component or program; (2) for the purpose of 
verifying the identity of an individual seeking redress in connection 
with the operations of a DHS component or program; or (3) for the 
purpose of verifying the accuracy of information submitted by an 
individual who has requested such redress on behalf of another 
individual.
    P. To appropriate federal, state, local, tribal, or foreign 
governmental agencies or multilateral governmental organizations for 
the purpose of protecting the vital health interests of a data subject 
or other persons (e.g., to assist such agencies or organizations in 
preventing exposure to or transmission of a communicable or 
quarantinable disease or to combat other significant public health 
threats; appropriate notice will be provided of any identified health 
threat or risk).
    Q. To the news media and the public, with the approval of the Chief 
Privacy Officer in consultation with counsel, when there exists a 
legitimate public interest in the disclosure of the information or when 
disclosure is necessary to preserve confidence in the integrity of DHS 
or is necessary to demonstrate the accountability of DHS's officers, 
employees, or individuals covered by the system, except to the extent 
it is determined that release of the specific information in the 
context of a particular case would constitute an unwarranted invasion 
of personal privacy.

Disclosure to consumer reporting agencies:
    None.

[[Page 15967]]

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

Retrievability:
    Records may be retrieved by any of the information listed in the 
categories of records above.

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

Retention and disposal:
    CBP is proposing the following retention schedule to the National 
Archives and Records Administration (NARA): Information stored in C-
TPAT will be retained for the period during which the application is 
pending decision by CBP and for the period of active membership of the 
business entity, plus five years. Where information regarding the 
possible ineligibility of an applicant for C-TPAT membership is found, 
it will be retained in the C-TPAT system for an additional 25 years to 
assist with future vetting, or consistent with the applicable retention 
period for the System of Records from which such information was 
derived, whichever is longer.

System Manager and address:
    C-TPAT Director, U.S. Customs and Border Protection, 1300 
Pennsylvania Avenue NW., Washington, DC 20229; (202) 344-2619.

Notification procedure:
    The C-TPAT Security Link Portal provides access to the information 
an applicant or partner submitted. The C-TPAT partner interface allows 
participants to access and change the information they have provided at 
any time by accessing their business identifying information and C-TPAT 
profile through secure login procedures. C-TPAT Partners access the C-
TPAT Security Link Portal via https://ctpat.cbp.dhs.gov.
    Through the Security Link Portal, C-TPAT partners have a direct 
messaging option where they may communicate with their assigned SCSS if 
they believe CBP has acted upon inaccurate or erroneously provided 
information. If this method is unsuccessful and C-TPAT facilitated 
processing is denied or removed, within 30 days of notification the 
entity may make written inquiry regarding such denial or removal. The 
applicant should provide as much identifying information as possible 
regarding the business, in order to identify the record at issue. C-
TPAT participants may provide CBP with additional information to ensure 
that the information maintained by CBP is accurate and complete. The 
submitter will receive a written response to each inquiry. If C-TPAT 
partnership is suspended or removed, the business may appeal this 
decision to CBP HQ, to the attention of the Executive Director, C-TPAT 
Program Division: Executive Director, Cargo and Conveyance Security, 
U.S. Customs and Border Protection, 1300 Pennsylvania Avenue NW., Room 
2.2A, Washington, DC 20229.
    The Secretary of Homeland Security has exempted portions of this 
system from the notification, access, and amendment procedures of the 
Privacy Act because it is a law enforcement system. However, DHS/CBP 
will consider individual requests to determine whether or not 
information may be released. Thus, individuals seeking notification of 
and access to any record contained in this system of records, or 
seeking to contest its content, may submit a request in writing to the 
Headquarters or component's FOIA Officer, whose contact information can 
be found at http://www.dhs.gov/foia under ``contacts.'' If an 
individual believes more than one component maintains Privacy Act 
records concerning him or her the individual may submit the request to 
the Chief Privacy Officer and Chief Freedom of Information Act Officer, 
Department of Homeland Security, 245 Murray Drive SW., Building 410, 
STOP-0655, Washington, DC 20528.
    When seeking records about yourself from this system of records or 
any other Departmental system of records your request must conform with 
the Privacy Act regulations set forth in 6 CFR part 5. You must first 
verify your identity, meaning that you must provide your full name, 
current address, and date and place of birth. You must sign your 
request, and your signature must either be notarized or submitted under 
28 U.S.C. 1746, a law that permits statements to be made under penalty 
of perjury as a substitute for notarization. While no specific form is 
required, you may obtain forms for this purpose from the Chief Privacy 
Officer and Chief Freedom of Information Act Officer, http://www.dhs.gov or 1-866-431-0486. In addition you should provide the 
following:
     An explanation of why you believe the Department would 
have information on you;
     Identify which component(s) of the Department you believe 
may have the information about you;
     Specify when you believe the records would have been 
created; and
     Provide any other information that will help the FOIA 
staff determine which DHS component agency may have responsive records.

    If your request is seeking records pertaining to another living 
individual, you must include a statement from that individual 
certifying his/her agreement for you to access his/her records.
    Without this bulleted information the component(s) may not be able 
to conduct an effective search, and your request may be denied due to 
lack of specificity or lack of compliance with applicable regulations.

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

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

Record source categories:
    Records are obtained from the business; from CBP systems including, 
but not limited to, TECS, the Automated Targeting System (ATS), the 
Automated Commercial System (ACS); and from public sources. Information 
is also collected by the SCSS from the C-TPAT applicant and other 
businesses during the course of validating the business's supply chain 
and from foreign governments and multilateral governmental 
organizations with which CBP has entered into MRAs or other 
arrangements.

Exemptions claimed for the system:
    No exemption shall be asserted with respect to information 
requested from and provided by the C-TPAT applicant including, but not 
limited to, company profile, supply chain information, and other 
information provided during the application and validation process. CBP 
will not assert any exemptions for an individual's application data and 
final membership determination in response to a request from that 
individual. However, the Privacy Act requires DHS

[[Page 15968]]

to maintain an accounting of the disclosures made pursuant to all 
routines uses. Disclosing the fact that a law enforcement agency has 
sought particular records may affect ongoing law enforcement 
activities. As such, pursuant to 5 U.S.C. 552a(j)(2), DHS will claim 
exemption from sections (c)(3), (e)(8), and (g) of the Privacy Act of 
1974, as amended, as is necessary and appropriate to protect this 
information. Further, DHS will claim exemption from section (c)(3) of 
the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a(k)(2) as 
is necessary and appropriate to protect this information.
    Pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act, all 
other C-TPAT data, including information regarding the possible 
ineligibility of an applicant for C-TPAT membership discovered during 
the vetting process and any resulting issue papers, are exempt from 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). Pursuant to 5 
U.S.C. 552a(k)(2), information regarding the possible ineligibility of 
an applicant for C-TPAT membership discovered during the vetting 
process and any resulting issue papers are exempt from 5 U.S.C. 
552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H),(e)(4)(I); and (f). In 
addition, to the extent a record contains information from other exempt 
systems of records, CBP will rely on the exemptions claimed for those 
systems.

    Dated: February 21, 2013.
Jonathan R. Cantor,
Acting Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2013-05674 Filed 3-12-13; 8:45 am]
BILLING CODE 9111-14-P