Privacy Act of 1974; Department of Homeland Security U.S. Immigration and Customs Enforcement-005 Trade Transparency Analysis and Research (TTAR) System of Records, 71112-71117 [2014-28168]
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the statement to the Contact Person listed on
this notice. The statement should include the
name, address, telephone number and when
applicable, the business or professional
affiliation of the interested person.
Information is also available on the
Institute’s/Center’s home page:
www.nei.nih.gov, where an agenda and any
additional information for the meeting will
be posted when available.
(Catalogue of Federal Domestic Assistance
Program Nos. 93.867, Vision Research,
National Institutes of Health, HHS)
will be posted to the docket at https://
www.regulations.gov.’’
Dated: November 20, 2014.
Leslie Kux,
Associate Commissioner for Policy.
[FR Doc. 2014–28196 Filed 11–28–14; 8:45 am]
BILLING CODE 4164–01–P
DEPARTMENT OF HEALTH AND
HUMAN SERVICES
Dated: November 24, 2014.
Melanie J. Gray,
Program Analyst, Office of Federal Advisory
Committee Policy.
National Institutes of Health
National Eye Institute; Notice of
Meeting
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Pursuant to section 10(d) of the
Federal Advisory Committee Act, as
amended (5 U.S.C. App.), notice is
hereby given of a meeting of the
National Advisory Eye Council.
The meeting will be open to the
public as indicated below, with
attendance limited to space available.
Individuals who plan to attend and
need special assistance, such as sign
language interpretation or other
reasonable accommodations, should
notify the Contact Person listed below
in advance of the meeting.
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provisions set forth in sections
552b(c)(4) and 552b(c)(6), Title 5 U.S.C.,
as amended. The grant applications
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the disclosure of which would
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Name of Committee: National Advisory
Eye Council
Date: January 22, 2015.
Open: 8:30 a.m. to 2:00 p.m.
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the staff of the Institute and discussions
concerning Institute programs.
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Contact Person: Anne E Schaffner, Ph.D.,
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Any interested person may file written
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[FR Doc. 2014–28165 Filed 11–28–14; 8:45 am]
BILLING CODE 4140–01–P
DEPARTMENT OF HOMELAND
SECURITY
Office of the Secretary
[Docket No. DHS–2014–0074]
Privacy Act of 1974; Department of
Homeland Security U.S. Immigration
and Customs Enforcement–005 Trade
Transparency Analysis and Research
(TTAR) 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 update
and reissue a current Department of
Homeland Security system of records
titled, ‘‘Department of Homeland
Security/Immigration and Customs
Enforcement–005 Trade Transparency
Analysis and Research (TTAR) System
of Records.’’ This system of records is
being modified to (1) update existing
and include new categories of
individuals, (2) clarify existing and
include new categories of records, (3)
reflect a proposed change to the
retention period of the system’s data,
and (4) update the description of the
record sources. In addition, the
Department is notifying the public of
changes triggered by the replacement of
the TTAR SORN’s associated IT system,
the Data Analysis and Research for
Trade Transparency System (DARTTS),
with FALCON–DARTTS, which
replicates the functionality of and serves
the same user groups as legacy
DARTTS. The TTAR SORN is also being
updated to expand coverage to a new IT
system called FALCON-Roadrunner.
The FALCON–DARTTS and FALCONRoadrunner Privacy Impact
SUMMARY:
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Assessments are posted on the
Department privacy Web site (see
www.dhs.gov/privacy). The exemptions
for the existing system of records notice
will continue to be applicable for this
system of records notice. This updated
system will be included in the
Department of Homeland Security’s
inventory of record systems.
DATES: Submit comments on or before
December 31, 2014. This updated
system will be effective December 31,
2014.
ADDRESSES: You may submit comments,
identified by docket number DHS–
2014–0074 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: Karen L. Neuman, Chief
Privacy Officer, Privacy Office,
Department of Homeland Security,
Washington, DC 20528.
Instructions: All submissions received
must include the agency name and
docket number for this rulemaking. All
comments received will be posted
without change to https://
www.regulations.gov, including any
personal information provided.
Docket: For access to the docket to
read background documents or
comments received go to https://
www.regulations.gov.
FOR FURTHER INFORMATION CONTACT: For
general questions, please contact: Lyn
Rahilly, Privacy Officer, U.S.
Immigration and Customs Enforcement,
500 12th Street SW., Mail Stop 5004,
Washington, DC 20536, phone: 202–
732–3300, email: ICEPrivacy@dhs.gov.
For privacy questions, please contact:
Karen Neuman, Chief Privacy Officer,
Privacy Office, Department of Homeland
Security, Washington, DC 20528, phone:
202–343–1717.
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.
Immigration and Customs Enforcement
(ICE) proposes to update and reissue a
current DHS system of records titled
‘‘DHS/ICE–005 Trade Transparency
Analysis and Research (TTAR) System
of Records.’’ This system allows ICE
Homeland Security Investigations (HSI)
to collect and maintain records for the
purpose of enforcing criminal and civil
laws pertaining to customs violations,
including trade-based money
laundering. With this update, ICE is
notifying the public of changes triggered
by the replacement of the TTAR SORN’s
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associated IT system, the Data Analysis
and Research for Trade Transparency
System (DARTTS), with FALCON–
DARTTS, which replicates the
functionality of and serves the same
user groups as legacy DARTTS. The
TTAR SORN is also being updated to
expand coverage to a new ICE IT
system, FALCON-Roadrunner.
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The FALCON Environment
In 2012, HSI created a new IT
environment called ‘‘FALCON’’ to
support its law enforcement and
criminal investigative mission. The
FALCON environment is designed to
permit ICE law enforcement and
homeland security personnel to search
and analyze data ingested from other
government applications and systems,
with appropriate user access restrictions
at the data element level and robust user
auditing controls. FALCON modules,
such as FALCON–DARTTS and
FALCON-Roadrunner, have been
deployed in support of discrete HSI
mission areas and work units.
Data analyzed by the FALCON
modules is aggregated and stored in the
FALCON general data storage
environment. The data stored in this
environment is ingested on a routine or
ad hoc basis from other existing sources
and is structured and optimized for use
with the analytical tools in FALCON–
DARTTS, FALCON-Roadrunner, and the
other FALCON modules. For more
information on the FALCON
environment, please see the FALCONSearch and Analysis PIA at
www.dhs.gov/privacy.
FALCON–DARTTS
As described above, in January 2014,
ICE migrated the DARTTS system to the
HSI FALCON environment and
launched FALCON–DARTTS.
FALCON–DARTTS replicates the
functionality of and serves the same
user groups as the legacy DARTTS
system. The purpose of FALCON–
DARTTS is to allow HSI investigators to
generate leads for, and otherwise
support, investigations of trade-based
money laundering, smuggling,
commercial fraud, and other crimes
within the jurisdiction of HSI.
FALCON–DARTTS analyzes trade and
financial data to identify statistically
anomalous transactions that may
warrant investigation. These anomalies
are then independently confirmed and
further investigated by HSI
investigators. With the deployment of
FALCON–DARTTS, the legacy DARTTS
system (which included a component
called ‘‘Foreign DARTTS’’ used by HSI’s
foreign law enforcement and customs
partners) was retired.
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ICE published a new PIA for
FALCON–DARTTS on January 16, 2014,
to address the migration from legacy
DARTTS and to notify the public of
several new system features, including
(1) additional datasets and records and
(2) an updated way in which datasets
are physically separated. First, ICE has
added to FALCON–DARTTS new
financial data as well as records
manually uploaded on an ad hoc basis,
which may include financial records,
business records, trade transaction
records, and transportation records.
Second, financial and law
enforcement datasets analyzed by
FALCON–DARTTS are maintained in
the FALCON general data storage
environment. In this environment, the
data is aggregated with other FALCON
data, and user access is controlled
through a combination of data tagging,
access control lists, and other
technologies. Trade data (i.e., data
relating to the importation and
exportation of merchandise) is
maintained separately in the FALCON–
DARTTS trade data subsystem, which is
physically and logically separate from
the FALCON general data storage
environment and contains different user
access requirements, including
requirements that export data only be
used for enforcement actions involving
cargo safety and security or to prevent
smuggling, than the overarching
FALCON–SA data storage environment.
All FALCON–DARTTS users, including
select foreign law enforcement and
customs officials who have access to the
system, access trade data through the
trade data subsystem. The PIA for
FALCON–DARTTS is available at
www.dhs.gov/privacy.
FALCON-Roadrunner
FALCON-Roadrunner is a new system
that analyzes export and financial data
across large, disparate trade, financial,
law enforcement, and other
commercially- and publicly-available
datasets. The system creates and
automatically applies repeatable,
analytical queries and processes to
determine non-obvious, anomalous
behaviors, patterns, and relationships
within and across the large-scale
datasets. These anomalies, patterns, and
relationships provide leads that may
warrant investigation for violation of
U.S. export laws and regulations. Once
identified, anomalies are then
independently confirmed and further
investigated by HSI investigators.
FALCON-Roadrunner also supports
HSI by providing export enforcementrelated statistical reporting capabilities,
derived from trade and financial data.
These statistical functions discern,
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describe, and document trends within
the datasets associated with
proliferation, export licensing, and other
export enforcement trends in order to
inform ICE decision makers. The PIA for
FALCON-Roadrunner is being
published concurrently with this update
to the DHS/ICE–005 TTAR System of
Records and is available at
www.dhs.gov/privacy.
Changes to Categories of Individuals,
Categories of Records, Retention, and
Record Sources
With the migration of DARTTS to
FALCON–DARTTS and the deployment
of FALCON-Roadrunner, the TTAR
system of records is being modified to
(1) update existing and include new
categories of individuals; (2) clarify
existing and include new categories of
records; (3) reflect a proposed change to
the retention period of the data; and (4)
update the description of the record
sources.
Existing categories of individuals in
the DHS/ICE–005 TTAR SORN have
been updated to include additional
individuals. Individuals whose financial
records have been lawfully obtained by
law enforcement agencies during official
investigations, legal processes, and/or
legal settlements have been added to
category (2) below; individuals
identified on other denied parties or
screening lists have been added to
category (3) below; and individuals
identified in TECS investigative records
have been added to category (4) below.
In addition, a new category of
individuals has been added to cover
applicants for U.S. visas and other
individuals identified on visa
applications.
Existing categories of records have
been updated to clarify and simplify the
description of records. Previously
categorized as ‘‘customs, trade, and
financial data,’’ these records are now
described separately as ‘‘trade data’’ and
‘‘financial data.’’ In addition, new law
enforcement records have been added,
including TECS investigative records,
visa security information, and tradebased and financial sanction screening
lists.
The retention period for data
maintained under the TTAR system of
records is also being updated.
Previously, data was maintained in the
legacy DARTTS system for five years,
archived for an additional five years,
and then deleted. ICE intends to request
National Archives and Records
Administration (NARA) approval to
retire the legacy DARTTS retention
schedule. Datasets analyzed by
FALCON–DARTTS and FALCONRoadrunner will be incorporated into
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the forthcoming retention schedule for
the FALCON environment. ICE is
proposing to retain datasets used in
support of FALCON–DARTTS and
FALCON-Roadrunner for ten years.
Some of the data analyzed by FALCON–
DARTTS and FALCON-Roadrunner is
already maintained in the FALCON
environment and subject to a proposed
retention period there; however,
FALCON–DARTTS and FALCONRoadrunner will only access these
existing datasets for ten years.
Lastly, new records sources have been
added as a result of the new datasets
covered by this system of records. New
data sources added to this system of
records includes additional federal,
state, and local government agencies;
companies; and commercially and
publicly available datasets.
Consistent with DHS’s information
sharing mission, information stored in
the DHS/ICE–005 TTAR System of
Records 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, DHS/ICE may share
information 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.
The exemptions for the existing
system of records notice will continue
to be applicable for this system of
records notice. This updated system
will be included in DHS’s inventory of
record systems.
II. Privacy Act
The Privacy Act embodies fair
information practice principles in a
statutory framework governing the
means by which the 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
from 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 when
systems of records maintain information
on U.S. citizens, lawful permanent
residents, and visitors.
Below is the description of the
amended DHS/ICE–005 Trade
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Transparency Analysis and Research
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. Immigration and Customs
Enforcement (ICE)–005.
SYSTEM NAME:
DHS/ICE–005 Trade Transparency
Analysis and Research (TTAR).
SECURITY CLASSIFICATION:
Sensitive But Unclassified, Law
Enforcement Sensitive.
SYSTEM LOCATION:
Records are maintained in FALCON–
DARTTS and FALCON-Roadrunner,
which are IT systems owned and
operated by ICE and maintained in a
DHS data center. FALCON–DARTTS
and FALCON-Roadrunner are accessed
through the ICE Network.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Categories of individuals covered by
this system include:
(1) Individuals who, as importers,
exporters, shippers, transporters,
customs brokers, owners, purchasers,
consignees, or agents thereof, participate
in the import or export of goods to or
from the United States or to or from
nations with which the United States
has entered an agreement to share trade
information;
(2) Individuals who participate in
financial transactions that are reported
under the Bank Secrecy Act, or that are
obtained by law enforcement agencies
during official investigations, legal
processes, or legal settlements;
(3) Specially Designated Nationals as
defined by 31 CFR 500.306 and
individuals identified on other denied
parties or screening lists;
(4) Individuals identified in TECS
subject records and investigative records
created by ICE and U.S. Customs and
Border Protection (CBP), including
violators or suspected violators of laws
enforced or administered by ICE and
CBP; witnesses associated with ICE and
CBP enforcement actions; persons who
own or operate businesses, property,
vehicles or other property that is in a
TECS subject record; and individuals
applying for a license issued by DHS or
for which DHS conducts a background
investigation in support of the licensing
agency; and
(5) U.S. visa applicants and other
individuals who are identified on the
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visa application (e.g., the applicant’s
spouse, individuals traveling with the
applicant, application preparer’s name,
applicant’s point of contact in the
United States).
CATEGORIES OF RECORDS IN THE SYSTEM:
Categories of records in this system
include:
(1) Biographic and other identifying
information, including names; dates of
birth; places of birth; Social Security
numbers (SSN); Tax Identification
Numbers (TIN); Exporter Identification
Numbers (EINs); passport information
(number and country of issuance);
citizenship; nationality; location and
contact information (e.g., home,
business, and email addresses and
telephone numbers); and other
identification numbers (e.g., Alien
Registration Number, driver’s license
number).
(2) Trade data, including trade
identifier numbers (e.g., for
manufacturers importers, exporters, and
customs brokers) and bill of lading data
(e.g., consignee names and addresses,
shipper names and addresses, container
numbers, carriers).
(3) Financial data, including data
reported pursuant to the Bank Secrecy
Act (e.g., certain transactions over
$10,000) and other financial data
obtained via official investigations, legal
processes, or legal settlements.
Financial data includes, but is not
limited to, bank account numbers,
transaction numbers, and descriptions
or value of financial transactions.
(4) Licensing information related to
applications by individuals or
businesses to hold or retain a customs
broker’s license, or operate a customsbonded warehouse, or be a bonded
carrier or bonded cartman.
(5) Law enforcement records,
including TECS subject records and
investigative records related to an ICE or
CBP law enforcement matter,
information obtained from the U.S.
Department of Treasury’s Specially
Designated Nationals List, visa security
information, and other trade-based and
financial sanction screening lists. Law
enforcement data includes, but is not
limited to, names; aliases; business
names; addresses; dates of birth; places
of birth; citizenship; nationality;
passport information; SSNs; TINs;
driver’s license numbers; and vehicle,
vessel, and aircraft information.
(6) Other financial records, business
records, trade transaction records, and
transportation records associated with
official law enforcement purposes.
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AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
ICE is authorized to collect this
information pursuant to 6 U.S.C. 236; 19
U.S.C. 1589a; the Trade Act of 2002
§ 343 (Note to 19 U.S.C. 2071); 19 U.S.C.
1484; 50 U.S.C. app. § 2411; 19 CFR
161.2 and 192.14; and, 31 U.S.C. 5316
and 31 CFR 1010.340. HSI has the
jurisdiction and authority to investigate
violations involving the importation and
exportation of merchandise into or out
of the United States. Information
analyzed by FALCON–DARTTS,
supports, among other things, HSI’s
investigations into smuggling violations
under 18 U.S.C. 541, 542, 545, and 554;
financial crimes investigations under 18
U.S.C. 1956, 1957, and 1960 and the
Bank Secrecy Act; and merchandise
imported in non-compliance with 19
U.S.C. 1481 and 1484. Information
analyzed by FALCON-Roadrunner
supports, among other things, HSI’s
investigations into export violations—
particularly those involving violations
under 22 U.S.C. 2778 and 50 U.S.C.
1705.
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PURPOSE(S):
The purpose of this system is to
support:
(1) The enforcement of criminal and
civil laws pertaining to trade, financial
crimes, smuggling, and fraud, and the
collection of all lawfully owned revenue
from trade activities, specifically
through the analysis of raw financial
and trade data in order to identify
potential violations of U.S. criminal and
civil laws pertaining to export
violations, cargo safety and security,
smuggling, and related violations—
including financial crimes and tradebased money laundering;
(2) Existing criminal law enforcement
investigations into related criminal
activities and civil enforcement actions
to recover revenue and assess fines and
penalties;
(3) The sharing of data and analytical
capabilities with foreign customs and
law enforcement partners to further
collaboration and cooperation between
HSI and such officials as well as to
support those officials’ abilities to
engage in enforcement activities
involving cargo safety and security,
smuggling, and related violations—
including financial crimes and tradebased money laundering;
(4) The cooperation and collaboration
between the United States and foreign
government partners on investigations
into transnational activities that violate
criminal and civil laws pertaining to
trade, financial activities, smuggling,
and fraud; and
(5) The identification of potential
criminal activity, immigration
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violations, and threats to homeland
security; to uphold and enforce the law;
and to ensure public safety.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
In addition to those disclosures
generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a
portion of the records or information
contained in this system may be
disclosed outside DHS as a routine use
pursuant to 5 U.S.C. 552a(b)(3) as
follows:
A. To the Department of Justice (DOJ),
including Offices of the U.S. Attorneys
or other federal agency conducting
litigation or in proceedings before any
court, adjudicative, or administrative
body, when it is necessary to the
litigation and one of the following is a
party to the litigation or has an interest
in such litigation:
(1) DHS or any component thereof;
(2) Any employee of DHS 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 U.S. 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, organization, or
individual 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 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 identity
theft or fraud, harm to the economic or
property interests, harm to an
individual, or harm to the security or
integrity of this system or other systems
or programs (whether maintained by
DHS or another agency or entity) 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
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respond to the suspected or confirmed
compromise and prevent, minimize, or
remedy such harm.
F. To contractors and their agents,
grantees, experts, consultants, interns,
trainees, students, 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 federal, state, local, tribal,
territorial, or foreign government
agencies, as well as to other individuals
and organizations during the course of
an investigation by DHS or the
processing of a matter under DHS’s
jurisdiction, or during a proceeding
within the purview of the immigration
and nationality laws, when DHS deems
that such disclosure is necessary to
carry out its functions and statutory
mandates or to elicit information
required by DHS to carry out its
functions and statutory mandates.
H. To federal, state, local, tribal,
territorial, or foreign government
agencies or multilateral governmental
organizations responsible for
investigating or prosecuting the
violations of, or for enforcing or
implementing, a statute, rule,
regulation, order, license, or treaty when
DHS determines that the information
would assist in the enforcement of civil,
criminal, or regulatory laws.
I. To federal, state, local, tribal, or
territorial government agencies, or other
entities or individuals, or through
established liaison channels to selected
foreign governments, in order to provide
intelligence, counterintelligence, or
other information for the purposes of
national security, intelligence,
counterintelligence, or antiterrorism
activities authorized by U.S. law,
Executive Order, or other applicable
national security directive.
J. To federal, state, local, tribal,
territorial, or foreign government
agencies or organizations, or
international organizations, lawfully
engaged in collecting law enforcement
intelligence, whether civil or criminal,
to enable these entities to carry out their
law enforcement responsibilities,
including the collection of law
enforcement intelligence.
K. To international, foreign,
intergovernmental, and multinational
government agencies, authorities, and
organizations in accordance with law
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and formal or informal international
arrangements.
L. To federal and foreign government
intelligence or counterterrorism
agencies or components when DHS
becomes aware of an indication of a
threat or potential threat to national or
international security, or when such
disclosure is to support the conduct of
national intelligence and security
investigations or assist in antiterrorism
efforts.
M. To federal, state, local, tribal,
territorial, international, or foreign
government agencies or multinational
governmental organizations when DHS
desires to exchange relevant data for the
purpose of developing, testing, or
implementing new software or
technology whose purpose is related to
the purpose of this system of records.
N. To courts, magistrates,
administrative tribunals, opposing
counsel, parties, and witnesses, in the
course of immigration, civil, or criminal
proceedings (including discovery,
presentation of evidence, and settlement
negotiations) before a court or
adjudicative body when any of the
following is a party to or have an
interest in the 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 the
government has agreed to represent the
employee; or
(4) the United States, when DHS
determines that litigation is likely to
affect DHS or any of its components;
and when DHS determines that use of
such records is relevant and necessary
to the litigation and is compatible with
the purposes for which the records were
collected.
O. To prospective claimants and their
attorneys for the purpose of negotiating
the settlement of an actual or
prospective claim against DHS or its
current or former employees, in advance
of the initiation of formal litigation or
proceedings.
P. To federal, state, local, tribal,
territorial, international, or foreign
government agencies or entities for the
purpose of consulting with those
agencies or entities:
(1) To assist in making a
determination regarding redress for an
individual in connection with the
operations of a DHS component or
program;
(2) to verify the identity of an
individual seeking redress in
connection with the operations of a DHS
component or program; or
(3) to verify the accuracy of
information submitted by an individual
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who has requested redress on behalf of
another individual.
Q. To a former employee of DHS for
the purpose of responding to an official
inquiry by federal, state, local, tribal, or
territorial government agencies or
professional licensing authorities; or
facilitating communications with a
former employee that may be necessary
for personnel-related matters or other
official purposes when DHS requires
information or consultation assistance
from the former employee regarding a
matter within that person’s former area
of responsibility.
R. 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, when disclosure is
necessary to preserve confidence in the
integrity of DHS, or when disclosure is
necessary to demonstrate the
accountability of DHS’s officers,
employees, or individuals covered by
the system, except to the extent the
Chief Privacy Officer determines 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.
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 personal identifiers stored in the
system including name, business
address, home address, importer ID,
exporter ID, broker ID, manufacturer ID,
Social Security number, trade and tax
identifying numbers, passport number,
or account number. Records may also be
retrieved by non-personal information
such as transaction date, entity or
institution name, description of goods,
value of transactions, and other
information.
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
Frm 00033
RETENTION AND DISPOSAL:
ICE is proposing to retain FALCON–
DARTTS and FALCON-Roadrunner
datasets for ten years. Some of the law
enforcement data analyzed by
FALCON–DARTTS and FALCONRoadrunner is already maintained in the
FALCON environment and subject to a
proposed retention period there;
however, FALCON–DARTTS and
FALCON-Roadrunner will only access
these existing datasets for ten years.
SYSTEM MANAGER AND ADDRESS:
FALCON–DARTTS: Unit Chief, Trade
Transparency Unit, ICE Homeland
Security Investigations, 500 12th Street
SW., Mail Stop 5103, Washington, DC
20536.
FALCON-Roadrunner: Deputy
Assistant Director, Counter-Proliferation
Investigations Program, ICE Homeland
Security Investigations, 500 12th Street
SW., Mail Stop 5109, Washington, DC
20536.
NOTIFICATION PROCEDURE:
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
PO 00000
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.
Fmt 4703
Sfmt 4703
The Secretary of Homeland Security
has exempted this system from
notification, access, and amendment
because of the law enforcement nature
of the information. These exemptions
also apply to the extent that information
in this system of records is recompiled
or is created from information contained
in other systems of records. To the
extent that a record is exempted in a
source system, the exemption will
continue to apply. However, ICE will
review requests on a case by case to
determine if release of the information
is appropriate. After conferring with the
appropriate component or agency, as
applicable, DHS may waive applicable
exemptions in appropriate
circumstances and when it would not
appear to interfere with or adversely
affect the law enforcement purposes of
the systems from which the information
is recompiled or in which it is
contained. Additionally, ICE and DHS
are not exempting any records that were
ingested or indexed by TTAR when the
source system of records already
provides access and/or amendment
under the Privacy Act. Individuals
seeking notification of and access to any
record contained in this system of
records, or seeking to contest its
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asabaliauskas on DSK5VPTVN1PROD with NOTICES
content, may submit a request in writing
to the ICE Freedom of Information Act
Officer whose contact information can
be found at https://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,
https://www.dhs.gov or 1–866–431–0486.
In addition you should provide the
following:
• An explanation of why you believe
the Department would have information
on you;
• 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;
• Provide any other information that
will help the FOIA staff determine
which DHS component agency may
have responsive records; and
• 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:
Notice is hereby given,
pursuant to CBP regulations, that NMK
Resources, Inc. has been approved to
gauge petroleum and certain petroleum
products and accredited to test
petroleum and certain petroleum
products for customs purposes for the
next three years as of July 10, 2014.
SUMMARY:
See ‘‘Notification procedure’’ above.
CONTESTING RECORD PROCEDURES:
See ‘‘Notification procedure’’ above.
RECORD SOURCE CATEGORIES:
Records are obtained from U.S.
Customs and Border Protection; U.S.
Department of Commerce; U.S.
Department of the Treasury; U.S.
Department of State; other federal, state,
and local law enforcement agencies;
foreign governments pursuant to
international agreements or
arrangements; international entities;
financial institutions; transportation
companies; manufacturers; customs
brokers; free trade zones; port
authorities; and commercially and
publicly available data sources.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
The Secretary of Homeland Security
has exempted portions of this system.
Pursuant to exemption 5 U.S.C.
552a(j)(2) of the Privacy Act, portions of
this system 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)(5) and
(e)(8); (f); and (g). Pursuant to 5 U.S.C.
552a(k)(2), this system is exempt from
the following provisions of the Privacy
Act, subject to the limitations set forth
in those subsections: 5 U.S.C. 552a(c)(3);
(d); (e)(1), (e)(4)(G), (e)(4)(H); and (f).
Dated: November 12, 2014.
Karen L. Neuman,
Chief Privacy Officer, Department of
Homeland Security.
[FR Doc. 2014–28168 Filed 11–28–14; 8:45 am]
BILLING CODE 9111–28–P
Effective Dates: The
accreditation and approval of NMK
Resources, Inc., as commercial
laboratory and gauger became effective
on July 10, 2014. The next triennial
inspection date will be scheduled for
July 2017.
DATES:
FOR FURTHER INFORMATION CONTACT:
Approved Gauger and Accredited
Laboratories Manager, Laboratories and
Scientific Services Directorate, U.S.
Customs and Border Protection, 1331
Pennsylvania Avenue NW., Suite
1500N, Washington, DC 20229, tel. 202–
344–1060.
Notice is
hereby given pursuant to 19 CFR 151.12
and 19 CFR 151.13, that NMK
Resources, Inc., 650 Grove Road, Suite
#111, Thorofare, NJ 08086, has been
approved to gauge petroleum and
certain petroleum products and
accredited to test petroleum and certain
petroleum products for customs
purposes, in accordance with the
provisions of 19 CFR 151.12 and 19 CFR
151.13. NMK Resources, Inc. is
approved for the following gauging
procedures for petroleum and certain
petroleum products per the American
Petroleum Institute (API) Measurement
Standards:
SUPPLEMENTARY INFORMATION:
API Chapters
DEPARTMENT OF HOMELAND
SECURITY
U.S. Customs and Border Protection
Accreditation and Approval of NMK
Resources, Inc., as a Commercial
Laboratory and Gauger
U.S. Customs and Border
Protection, Department of Homeland
Security.
ACTION: Notice of accreditation and
approval of NMK Resources, Inc., as a
commercial laboratory and gauger.
AGENCY:
3 .....................
7 .....................
8 .....................
12 ...................
17 ...................
Title
Tank gauging.
Temperature determination.
Sampling.
Calculations.
Maritime measurement.
NMK Resources, Inc. is accredited for
the following laboratory analysis
procedures and methods for petroleum
and certain petroleum products set forth
by the U.S. Customs and Border
Protection Laboratory Methods (CBPL)
and American Society for Testing and
Materials (ASTM):
CBPL No.
ASTM
Title
27–04 ...................................
ASTM D 95 ........................
27–11 ...................................
ASTM D 445 ......................
27–13 ...................................
ASTM D 4294 ....................
Standard test method for water in petroleum products and bituminous materials by
distillation.
Standard Test Method for Kinematic Viscosity of Transparent and Opaque Liquids
(the Calculation of Dynamic Velocity).
Standard test method for sulfur in petroleum and petroleum products by energy-dispersive x-ray fluorescence spectrometry.
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]]>Agencies
[Federal Register Volume 79, Number 230 (Monday, December 1, 2014)]
[Notices]
[Pages 71112-71117]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-28168]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF HOMELAND SECURITY
Office of the Secretary
[Docket No. DHS-2014-0074]
Privacy Act of 1974; Department of Homeland Security U.S.
Immigration and Customs Enforcement-005 Trade Transparency Analysis and
Research (TTAR) System of Records
AGENCY: Privacy Office, Department of Homeland Security.
ACTION: Notice of Privacy Act system of records.
-----------------------------------------------------------------------
SUMMARY: In accordance with the Privacy Act of 1974, the Department of
Homeland Security proposes to update and reissue a current Department
of Homeland Security system of records titled, ``Department of Homeland
Security/Immigration and Customs Enforcement-005 Trade Transparency
Analysis and Research (TTAR) System of Records.'' This system of
records is being modified to (1) update existing and include new
categories of individuals, (2) clarify existing and include new
categories of records, (3) reflect a proposed change to the retention
period of the system's data, and (4) update the description of the
record sources. In addition, the Department is notifying the public of
changes triggered by the replacement of the TTAR SORN's associated IT
system, the Data Analysis and Research for Trade Transparency System
(DARTTS), with FALCON-DARTTS, which replicates the functionality of and
serves the same user groups as legacy DARTTS. The TTAR SORN is also
being updated to expand coverage to a new IT system called FALCON-
Roadrunner. The FALCON-DARTTS and FALCON-Roadrunner Privacy Impact
Assessments are posted on the Department privacy Web site (see
www.dhs.gov/privacy). The exemptions for the existing system of records
notice will continue to be applicable for this system of records
notice. This updated system will be included in the Department of
Homeland Security's inventory of record systems.
DATES: Submit comments on or before December 31, 2014. This updated
system will be effective December 31, 2014.
ADDRESSES: You may submit comments, identified by docket number DHS-
2014-0074 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: Karen L. Neuman, Chief Privacy Officer, Privacy
Office, Department of Homeland Security, Washington, DC 20528.
Instructions: All submissions received must include the agency name
and docket number for this rulemaking. All comments received will be
posted without change to https://www.regulations.gov, including any
personal information provided.
Docket: For access to the docket to read background documents or
comments received go to https://www.regulations.gov.
FOR FURTHER INFORMATION CONTACT: For general questions, please contact:
Lyn Rahilly, Privacy Officer, U.S. Immigration and Customs Enforcement,
500 12th Street SW., Mail Stop 5004, Washington, DC 20536, phone: 202-
732-3300, email: ICEPrivacy@dhs.gov. For privacy questions, please
contact: Karen Neuman, Chief Privacy Officer, Privacy Office,
Department of Homeland Security, Washington, DC 20528, phone: 202-343-
1717.
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. Immigration and Customs
Enforcement (ICE) proposes to update and reissue a current DHS system
of records titled ``DHS/ICE-005 Trade Transparency Analysis and
Research (TTAR) System of Records.'' This system allows ICE Homeland
Security Investigations (HSI) to collect and maintain records for the
purpose of enforcing criminal and civil laws pertaining to customs
violations, including trade-based money laundering. With this update,
ICE is notifying the public of changes triggered by the replacement of
the TTAR SORN's
[[Page 71113]]
associated IT system, the Data Analysis and Research for Trade
Transparency System (DARTTS), with FALCON-DARTTS, which replicates the
functionality of and serves the same user groups as legacy DARTTS. The
TTAR SORN is also being updated to expand coverage to a new ICE IT
system, FALCON-Roadrunner.
The FALCON Environment
In 2012, HSI created a new IT environment called ``FALCON'' to
support its law enforcement and criminal investigative mission. The
FALCON environment is designed to permit ICE law enforcement and
homeland security personnel to search and analyze data ingested from
other government applications and systems, with appropriate user access
restrictions at the data element level and robust user auditing
controls. FALCON modules, such as FALCON-DARTTS and FALCON-Roadrunner,
have been deployed in support of discrete HSI mission areas and work
units.
Data analyzed by the FALCON modules is aggregated and stored in the
FALCON general data storage environment. The data stored in this
environment is ingested on a routine or ad hoc basis from other
existing sources and is structured and optimized for use with the
analytical tools in FALCON-DARTTS, FALCON-Roadrunner, and the other
FALCON modules. For more information on the FALCON environment, please
see the FALCON-Search and Analysis PIA at www.dhs.gov/privacy.
FALCON-DARTTS
As described above, in January 2014, ICE migrated the DARTTS system
to the HSI FALCON environment and launched FALCON-DARTTS. FALCON-DARTTS
replicates the functionality of and serves the same user groups as the
legacy DARTTS system. The purpose of FALCON-DARTTS is to allow HSI
investigators to generate leads for, and otherwise support,
investigations of trade-based money laundering, smuggling, commercial
fraud, and other crimes within the jurisdiction of HSI. FALCON-DARTTS
analyzes trade and financial data to identify statistically anomalous
transactions that may warrant investigation. These anomalies are then
independently confirmed and further investigated by HSI investigators.
With the deployment of FALCON-DARTTS, the legacy DARTTS system (which
included a component called ``Foreign DARTTS'' used by HSI's foreign
law enforcement and customs partners) was retired.
ICE published a new PIA for FALCON-DARTTS on January 16, 2014, to
address the migration from legacy DARTTS and to notify the public of
several new system features, including (1) additional datasets and
records and (2) an updated way in which datasets are physically
separated. First, ICE has added to FALCON-DARTTS new financial data as
well as records manually uploaded on an ad hoc basis, which may include
financial records, business records, trade transaction records, and
transportation records.
Second, financial and law enforcement datasets analyzed by FALCON-
DARTTS are maintained in the FALCON general data storage environment.
In this environment, the data is aggregated with other FALCON data, and
user access is controlled through a combination of data tagging, access
control lists, and other technologies. Trade data (i.e., data relating
to the importation and exportation of merchandise) is maintained
separately in the FALCON-DARTTS trade data subsystem, which is
physically and logically separate from the FALCON general data storage
environment and contains different user access requirements, including
requirements that export data only be used for enforcement actions
involving cargo safety and security or to prevent smuggling, than the
overarching FALCON-SA data storage environment. All FALCON-DARTTS
users, including select foreign law enforcement and customs officials
who have access to the system, access trade data through the trade data
subsystem. The PIA for FALCON-DARTTS is available at www.dhs.gov/privacy.
FALCON-Roadrunner
FALCON-Roadrunner is a new system that analyzes export and
financial data across large, disparate trade, financial, law
enforcement, and other commercially- and publicly-available datasets.
The system creates and automatically applies repeatable, analytical
queries and processes to determine non-obvious, anomalous behaviors,
patterns, and relationships within and across the large-scale datasets.
These anomalies, patterns, and relationships provide leads that may
warrant investigation for violation of U.S. export laws and
regulations. Once identified, anomalies are then independently
confirmed and further investigated by HSI investigators.
FALCON-Roadrunner also supports HSI by providing export
enforcement-related statistical reporting capabilities, derived from
trade and financial data. These statistical functions discern,
describe, and document trends within the datasets associated with
proliferation, export licensing, and other export enforcement trends in
order to inform ICE decision makers. The PIA for FALCON-Roadrunner is
being published concurrently with this update to the DHS/ICE-005 TTAR
System of Records and is available at www.dhs.gov/privacy.
Changes to Categories of Individuals, Categories of Records, Retention,
and Record Sources
With the migration of DARTTS to FALCON-DARTTS and the deployment of
FALCON-Roadrunner, the TTAR system of records is being modified to (1)
update existing and include new categories of individuals; (2) clarify
existing and include new categories of records; (3) reflect a proposed
change to the retention period of the data; and (4) update the
description of the record sources.
Existing categories of individuals in the DHS/ICE-005 TTAR SORN
have been updated to include additional individuals. Individuals whose
financial records have been lawfully obtained by law enforcement
agencies during official investigations, legal processes, and/or legal
settlements have been added to category (2) below; individuals
identified on other denied parties or screening lists have been added
to category (3) below; and individuals identified in TECS investigative
records have been added to category (4) below. In addition, a new
category of individuals has been added to cover applicants for U.S.
visas and other individuals identified on visa applications.
Existing categories of records have been updated to clarify and
simplify the description of records. Previously categorized as
``customs, trade, and financial data,'' these records are now described
separately as ``trade data'' and ``financial data.'' In addition, new
law enforcement records have been added, including TECS investigative
records, visa security information, and trade-based and financial
sanction screening lists.
The retention period for data maintained under the TTAR system of
records is also being updated. Previously, data was maintained in the
legacy DARTTS system for five years, archived for an additional five
years, and then deleted. ICE intends to request National Archives and
Records Administration (NARA) approval to retire the legacy DARTTS
retention schedule. Datasets analyzed by FALCON-DARTTS and FALCON-
Roadrunner will be incorporated into
[[Page 71114]]
the forthcoming retention schedule for the FALCON environment. ICE is
proposing to retain datasets used in support of FALCON-DARTTS and
FALCON-Roadrunner for ten years. Some of the data analyzed by FALCON-
DARTTS and FALCON-Roadrunner is already maintained in the FALCON
environment and subject to a proposed retention period there; however,
FALCON-DARTTS and FALCON-Roadrunner will only access these existing
datasets for ten years.
Lastly, new records sources have been added as a result of the new
datasets covered by this system of records. New data sources added to
this system of records includes additional federal, state, and local
government agencies; companies; and commercially and publicly available
datasets.
Consistent with DHS's information sharing mission, information
stored in the DHS/ICE-005 TTAR System of Records 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, DHS/
ICE may share information 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.
The exemptions for the existing system of records notice will
continue to be applicable for this system of records notice. This
updated system will be included in DHS's inventory of record systems.
II. Privacy Act
The Privacy Act embodies fair information practice principles in a
statutory framework governing the means by which the 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 from 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 when systems of records
maintain information on U.S. citizens, lawful permanent residents, and
visitors.
Below is the description of the amended DHS/ICE-005 Trade
Transparency Analysis and Research 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. Immigration and Customs
Enforcement (ICE)-005.
System name:
DHS/ICE-005 Trade Transparency Analysis and Research (TTAR).
Security classification:
Sensitive But Unclassified, Law Enforcement Sensitive.
System location:
Records are maintained in FALCON-DARTTS and FALCON-Roadrunner,
which are IT systems owned and operated by ICE and maintained in a DHS
data center. FALCON-DARTTS and FALCON-Roadrunner are accessed through
the ICE Network.
Categories of individuals covered by the system:
Categories of individuals covered by this system include:
(1) Individuals who, as importers, exporters, shippers,
transporters, customs brokers, owners, purchasers, consignees, or
agents thereof, participate in the import or export of goods to or from
the United States or to or from nations with which the United States
has entered an agreement to share trade information;
(2) Individuals who participate in financial transactions that are
reported under the Bank Secrecy Act, or that are obtained by law
enforcement agencies during official investigations, legal processes,
or legal settlements;
(3) Specially Designated Nationals as defined by 31 CFR 500.306 and
individuals identified on other denied parties or screening lists;
(4) Individuals identified in TECS subject records and
investigative records created by ICE and U.S. Customs and Border
Protection (CBP), including violators or suspected violators of laws
enforced or administered by ICE and CBP; witnesses associated with ICE
and CBP enforcement actions; persons who own or operate businesses,
property, vehicles or other property that is in a TECS subject record;
and individuals applying for a license issued by DHS or for which DHS
conducts a background investigation in support of the licensing agency;
and
(5) U.S. visa applicants and other individuals who are identified
on the visa application (e.g., the applicant's spouse, individuals
traveling with the applicant, application preparer's name, applicant's
point of contact in the United States).
Categories of records in the system:
Categories of records in this system include:
(1) Biographic and other identifying information, including names;
dates of birth; places of birth; Social Security numbers (SSN); Tax
Identification Numbers (TIN); Exporter Identification Numbers (EINs);
passport information (number and country of issuance); citizenship;
nationality; location and contact information (e.g., home, business,
and email addresses and telephone numbers); and other identification
numbers (e.g., Alien Registration Number, driver's license number).
(2) Trade data, including trade identifier numbers (e.g., for
manufacturers importers, exporters, and customs brokers) and bill of
lading data (e.g., consignee names and addresses, shipper names and
addresses, container numbers, carriers).
(3) Financial data, including data reported pursuant to the Bank
Secrecy Act (e.g., certain transactions over $10,000) and other
financial data obtained via official investigations, legal processes,
or legal settlements. Financial data includes, but is not limited to,
bank account numbers, transaction numbers, and descriptions or value of
financial transactions.
(4) Licensing information related to applications by individuals or
businesses to hold or retain a customs broker's license, or operate a
customs-bonded warehouse, or be a bonded carrier or bonded cartman.
(5) Law enforcement records, including TECS subject records and
investigative records related to an ICE or CBP law enforcement matter,
information obtained from the U.S. Department of Treasury's Specially
Designated Nationals List, visa security information, and other trade-
based and financial sanction screening lists. Law enforcement data
includes, but is not limited to, names; aliases; business names;
addresses; dates of birth; places of birth; citizenship; nationality;
passport information; SSNs; TINs; driver's license numbers; and
vehicle, vessel, and aircraft information.
(6) Other financial records, business records, trade transaction
records, and transportation records associated with official law
enforcement purposes.
[[Page 71115]]
Authority for maintenance of the system:
ICE is authorized to collect this information pursuant to 6 U.S.C.
236; 19 U.S.C. 1589a; the Trade Act of 2002 Sec. 343 (Note to 19
U.S.C. 2071); 19 U.S.C. 1484; 50 U.S.C. app. Sec. 2411; 19 CFR 161.2
and 192.14; and, 31 U.S.C. 5316 and 31 CFR 1010.340. HSI has the
jurisdiction and authority to investigate violations involving the
importation and exportation of merchandise into or out of the United
States. Information analyzed by FALCON-DARTTS, supports, among other
things, HSI's investigations into smuggling violations under 18 U.S.C.
541, 542, 545, and 554; financial crimes investigations under 18 U.S.C.
1956, 1957, and 1960 and the Bank Secrecy Act; and merchandise imported
in non-compliance with 19 U.S.C. 1481 and 1484. Information analyzed by
FALCON-Roadrunner supports, among other things, HSI's investigations
into export violations--particularly those involving violations under
22 U.S.C. 2778 and 50 U.S.C. 1705.
Purpose(s):
The purpose of this system is to support:
(1) The enforcement of criminal and civil laws pertaining to trade,
financial crimes, smuggling, and fraud, and the collection of all
lawfully owned revenue from trade activities, specifically through the
analysis of raw financial and trade data in order to identify potential
violations of U.S. criminal and civil laws pertaining to export
violations, cargo safety and security, smuggling, and related
violations--including financial crimes and trade-based money
laundering;
(2) Existing criminal law enforcement investigations into related
criminal activities and civil enforcement actions to recover revenue
and assess fines and penalties;
(3) The sharing of data and analytical capabilities with foreign
customs and law enforcement partners to further collaboration and
cooperation between HSI and such officials as well as to support those
officials' abilities to engage in enforcement activities involving
cargo safety and security, smuggling, and related violations--including
financial crimes and trade-based money laundering;
(4) The cooperation and collaboration between the United States and
foreign government partners on investigations into transnational
activities that violate criminal and civil laws pertaining to trade,
financial activities, smuggling, and fraud; and
(5) The identification of potential criminal activity, immigration
violations, and threats to homeland security; to uphold and enforce the
law; and to ensure public safety.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
In addition to those disclosures generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a portion of the records or
information contained in this system may be disclosed outside DHS as a
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
A. To the Department of Justice (DOJ), including Offices of the
U.S. Attorneys or other federal agency conducting litigation or in
proceedings before any court, adjudicative, or administrative body,
when it is necessary to the litigation and one of the following is a
party to the litigation or has an interest in such litigation:
(1) DHS or any component thereof;
(2) Any employee of DHS 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 U.S. 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, organization, or individual 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 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 identity theft or fraud, harm
to the economic or property interests, harm to an individual, or harm
to the security or integrity of this system or other systems or
programs (whether maintained by DHS or another agency or entity) 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,
interns, trainees, students, 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 federal, state, local, tribal, territorial, or foreign
government agencies, as well as to other individuals and organizations
during the course of an investigation by DHS or the processing of a
matter under DHS's jurisdiction, or during a proceeding within the
purview of the immigration and nationality laws, when DHS deems that
such disclosure is necessary to carry out its functions and statutory
mandates or to elicit information required by DHS to carry out its
functions and statutory mandates.
H. To federal, state, local, tribal, territorial, or foreign
government agencies or multilateral governmental organizations
responsible for investigating or prosecuting the violations of, or for
enforcing or implementing, a statute, rule, regulation, order, license,
or treaty when DHS determines that the information would assist in the
enforcement of civil, criminal, or regulatory laws.
I. To federal, state, local, tribal, or territorial government
agencies, or other entities or individuals, or through established
liaison channels to selected foreign governments, in order to provide
intelligence, counterintelligence, or other information for the
purposes of national security, intelligence, counterintelligence, or
antiterrorism activities authorized by U.S. law, Executive Order, or
other applicable national security directive.
J. To federal, state, local, tribal, territorial, or foreign
government agencies or organizations, or international organizations,
lawfully engaged in collecting law enforcement intelligence, whether
civil or criminal, to enable these entities to carry out their law
enforcement responsibilities, including the collection of law
enforcement intelligence.
K. To international, foreign, intergovernmental, and multinational
government agencies, authorities, and organizations in accordance with
law
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and formal or informal international arrangements.
L. To federal and foreign government intelligence or
counterterrorism agencies or components when DHS becomes aware of an
indication of a threat or potential threat to national or international
security, or when such disclosure is to support the conduct of national
intelligence and security investigations or assist in antiterrorism
efforts.
M. To federal, state, local, tribal, territorial, international, or
foreign government agencies or multinational governmental organizations
when DHS desires to exchange relevant data for the purpose of
developing, testing, or implementing new software or technology whose
purpose is related to the purpose of this system of records.
N. To courts, magistrates, administrative tribunals, opposing
counsel, parties, and witnesses, in the course of immigration, civil,
or criminal proceedings (including discovery, presentation of evidence,
and settlement negotiations) before a court or adjudicative body when
any of the following is a party to or have an interest in the
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 the
government has agreed to represent the employee; or
(4) the United States, when DHS determines that litigation is
likely to affect DHS or any of its components; and when DHS determines
that use of such records is relevant and necessary to the litigation
and is compatible with the purposes for which the records were
collected.
O. To prospective claimants and their attorneys for the purpose of
negotiating the settlement of an actual or prospective claim against
DHS or its current or former employees, in advance of the initiation of
formal litigation or proceedings.
P. To federal, state, local, tribal, territorial, international, or
foreign government agencies or entities for the purpose of consulting
with those agencies or entities:
(1) To assist in making a determination regarding redress for an
individual in connection with the operations of a DHS component or
program;
(2) to verify the identity of an individual seeking redress in
connection with the operations of a DHS component or program; or
(3) to verify the accuracy of information submitted by an
individual who has requested redress on behalf of another individual.
Q. To a former employee of DHS for the purpose of responding to an
official inquiry by federal, state, local, tribal, or territorial
government agencies or professional licensing authorities; or
facilitating communications with a former employee that may be
necessary for personnel-related matters or other official purposes when
DHS requires information or consultation assistance from the former
employee regarding a matter within that person's former area of
responsibility.
R. 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, when
disclosure is necessary to preserve confidence in the integrity of DHS,
or when disclosure is necessary to demonstrate the accountability of
DHS's officers, employees, or individuals covered by the system, except
to the extent the Chief Privacy Officer determines that release of the
specific information in the context of a particular case would
constitute an unwarranted invasion of personal privacy.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records in this system are stored electronically or on paper in
secure facilities in a locked drawer behind a locked door. The records
are stored on magnetic disc, tape, digital media, and CD-ROM.
Retrievability:
Records may be retrieved by any of the personal identifiers stored
in the system including name, business address, home address, importer
ID, exporter ID, broker ID, manufacturer ID, Social Security number,
trade and tax identifying numbers, passport number, or account number.
Records may also be retrieved by non-personal information such as
transaction date, entity or institution name, description of goods,
value of transactions, and other information.
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:
ICE is proposing to retain FALCON-DARTTS and FALCON-Roadrunner
datasets for ten years. Some of the law enforcement data analyzed by
FALCON-DARTTS and FALCON-Roadrunner is already maintained in the FALCON
environment and subject to a proposed retention period there; however,
FALCON-DARTTS and FALCON-Roadrunner will only access these existing
datasets for ten years.
System Manager and address:
FALCON-DARTTS: Unit Chief, Trade Transparency Unit, ICE Homeland
Security Investigations, 500 12th Street SW., Mail Stop 5103,
Washington, DC 20536.
FALCON-Roadrunner: Deputy Assistant Director, Counter-Proliferation
Investigations Program, ICE Homeland Security Investigations, 500 12th
Street SW., Mail Stop 5109, Washington, DC 20536.
Notification procedure:
The Secretary of Homeland Security has exempted this system from
notification, access, and amendment because of the law enforcement
nature of the information. These exemptions also apply to the extent
that information in this system of records is recompiled or is created
from information contained in other systems of records. To the extent
that a record is exempted in a source system, the exemption will
continue to apply. However, ICE will review requests on a case by case
to determine if release of the information is appropriate. After
conferring with the appropriate component or agency, as applicable, DHS
may waive applicable exemptions in appropriate circumstances and when
it would not appear to interfere with or adversely affect the law
enforcement purposes of the systems from which the information is
recompiled or in which it is contained. Additionally, ICE and DHS are
not exempting any records that were ingested or indexed by TTAR when
the source system of records already provides access and/or amendment
under the Privacy Act. Individuals seeking notification of and access
to any record contained in this system of records, or seeking to
contest its
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content, may submit a request in writing to the ICE Freedom of
Information Act Officer whose contact information can be found at
https://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, https://www.dhs.gov or 1-866-431-0486. In addition you should provide the
following:
An explanation of why you believe the Department would
have information on you;
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;
Provide any other information that will help the FOIA
staff determine which DHS component agency may have responsive records;
and
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 U.S. Customs and Border Protection; U.S.
Department of Commerce; U.S. Department of the Treasury; U.S.
Department of State; other federal, state, and local law enforcement
agencies; foreign governments pursuant to international agreements or
arrangements; international entities; financial institutions;
transportation companies; manufacturers; customs brokers; free trade
zones; port authorities; and commercially and publicly available data
sources.
Exemptions claimed for the system:
The Secretary of Homeland Security has exempted portions of this
system. Pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act,
portions of this system 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)(5) and (e)(8);
(f); and (g). Pursuant to 5 U.S.C. 552a(k)(2), this system is exempt
from the following provisions of the Privacy Act, subject to the
limitations set forth in those subsections: 5 U.S.C. 552a(c)(3); (d);
(e)(1), (e)(4)(G), (e)(4)(H); and (f).
Dated: November 12, 2014.
Karen L. Neuman,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2014-28168 Filed 11-28-14; 8:45 am]
BILLING CODE 9111-28-P
