Privacy Act of 1974; Department of Homeland Security/United States Coast Guard-031 USCG Law Enforcement (ULE) System of Records, 88697-88700 [2016-29341]

Agencies

• DEPARTMENT OF HOMELAND SECURITY
• Office of the Secretary

[Federal Register Volume 81, Number 236 (Thursday, December 8, 2016)]
[Notices]
[Pages 88697-88700]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-29341]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2016-0074]


Privacy Act of 1974; Department of Homeland Security/United 
States Coast Guard--031 USCG Law Enforcement (ULE) 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 establish a new Department of Homeland 
Security system of records titled, ``Department of Homeland Security/
United States Coast Guard--031 USCG Law Enforcement (ULE) System of 
Records.'' This system of records allows the Department of Homeland 
Security/United States Coast Guard to collect and maintain records 
related to maritime law enforcement, marine environmental protection, 
and the determinations supporting enforcement action taken by the 
United States Coast Guard. Additionally, the Department of Homeland 
Security 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 the Department of Homeland Security's inventory of record systems.

DATES: Submit comments on or before January 9, 2017. This new system 
will be effective January 9, 2017.

ADDRESSES: You may submit comments, identified by docket number DHS-
2016-0074 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: Jonathan R. Cantor, Acting Chief Privacy Officer, 
Privacy Office, Department of Homeland Security, Washington, DC 20528-
0655.
    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, please visit https://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: For general questions, please contact: 
Marilyn Scott-Perez (202-475-3515), Privacy Officer, Commandant (CG-
61), United States Coast Guard, Mail Stop 7710, Washington, DC 20593. 
For privacy questions, please contact: Jonathan R. Cantor, (202) 343-
1717, Acting Chief Privacy Officer, Privacy Office, Department of 
Homeland Security, Washington, DC 20528-0655.

SUPPLEMENTARY INFORMATION:

I. Background

    In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, the 
Department of Homeland Security (DHS) United States Coast Guard 
proposes to establish a new DHS system of records titled, ``DHS/United 
States Coast Guard-031 USCG Law Enforcement (ULE) System of Records.''
    The collection and maintenance of this information will allow the 
DHS/USCG to collect and maintain records regarding maritime law 
enforcement, security, marine safety, and environmental protection 
activities. USCG Law Enforcement consists of certain records that were 
formerly covered under the DHS/USCG-013 Marine Information for Safety 
and Law Enforcement (MISLE) system of records. These records are being 
moved under ULE to maintain USCG law enforcement and case-related data 
in one repository. In addition to the transfer of this law enforcement 
data out from under MISLE to ULE, this notice also serves to inform 
that USCG Biometrics at Sea System records, which are collected under 
the purpose and identified authorities cited herein, are maintained in 
the Automated Biometric Identification System (IDENT)--the DHS 
biometric repository maintained by the DHS Office of Biometric Identity 
Management. Separately and elsewhere in the Federal Register, the 
remaining portions of the records covered under MISLE will be 
republished under two new systems of records: The Vessel Identification 
System and the Merchant Vessel Documentation System. The MISLE SORN 
will be retired upon the publication of all three new systems of 
records.
    USCG Law Enforcement may contain information on persons who come 
into contact with USCG through its law enforcement, safety, and 
environmental protection activities, including vessel and facility 
owners, operators, crew, employees, passengers, and other persons 
associated with a USCG law enforcement or environmental protection 
activity or having an interest in the subject vessel or facility 
involved or identified in the respective case file. Consistent with the 
authority being enforced, ULE collects and maintains in case files both 
biographic and, as appropriate, references to biometric records 
obtained from individuals and persons, as well as identifying 
information relating to ownership, registry, and location of vessels 
and facilities.
    Consistent with DHS's information-sharing mission, information 
stored in the DHS/USCG-031 USCG Law Enforcement (ULE) 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, information may be shared with appropriate federal, state, 
local, tribal, territorial, foreign, or

[[Page 88698]]

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 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 DHS/USCG-031 USCG Law Enforcement 
(ULE) 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)/USCG-31

System name:
    DHS/USCG-031 USCG Law Enforcement (ULE) System of Records.

Security classification:
    Sensitive but Unclassified.

System location:
    Records are maintained at the United States Coast Guard (USCG) 
Headquarters in Washington, DC, USCG Operations Systems Center (OSC) in 
Kearneysville, WV, and other field locations. Records collected from 
the USCG Biometrics at Sea System (BASS) are maintained at the DHS 
Office of Biometric Identity Management in Washington, DC. The Marine 
Information for Safety and Law Enforcement (MISLE) System is the 
information technology (IT) repository for marine safety, security, 
environmental protection, and law enforcement records. The Automated 
Biometric Identification System (IDENT) is the IT repository for USCG 
BASS records.

Categories of individuals covered by the system:
    Individuals with established relationship(s) or associations to 
maritime vessels or marine transportation facilities that are the 
subject of enforcement or compliance activities regulated by the USCG. 
This may include:
     Vessel owners or operator;
     Charterers;
     Masters;
     Crew members;
     Vessel or boat agents;
     Mortgagees;
     Lien claimants;
     Vessel builders;
     Transportation facility owners, managers, or employees;
     Individuals who own, operate, or represent marine 
transportation companies; and
     Other individuals come into contact with the USCG as part 
of an enforcement or compliance activity.

Categories of records in the system:
    The following information may appear in case files, reports, 
investigations, and other documents (either physical or electronic) 
maintained by USCG relating to an enforcement or compliance activity:
     Name of individual, vessel, or facility;
     Home and work address;
     Home, work, and mobile phone numbers;
     Facility number;
     Involved party identification number;
     Social Security number (SSN);
     Driver license number;
     Alien Registration Number (A-Number);
     Military identification number;
     U.S. Coast Guard license number;
     Foreign seaman's booklet number;
     Resident alien number;
     Merchant mariners license or documentation number;
     Taxpayer Identification Number (TIN);
     Casualty case number;
     Pollution incident case number;
     Date of incident;
     Civil penalty case number;
     Biometric information, which may include:
    [cir] Photographs and digital images,
    [cir] Height,
    [cir] Weight,
    [cir] Eye color,
    [cir] Hair color,
    [cir] Fingerprints, and
    [cir] Irises.Videos;
     Vessel or boat registration data;
     Port visits;
     Vessel or boat inspection data;
     Vessel or boat documentation data;
     Port Safety boarding;
     Casualties;
     Pollution incidents, civil violations (as applicable), and 
associated information (data pertaining to people or organizations 
associated with the subject vessels);
     Information on marine transportation facilities including:
    [cir] Name,
    [cir] Identification number,
    [cir] Location,
    [cir] Commodities handled,
    [cir] Equipment certificates,
    [cir] Approvals,
    [cir] Inspection reports,
    [cir] Pollution incidents, and
    [cir] Casualties.
    [cir] Violations of U.S. laws and data pertaining to people or 
organizations associated with those facilities;
     For owners, operators, agents, and crew members;
     Statements submitted by USCG personnel relating to 
boarding;
     Investigations as a result of a pollution and/or casualty 
incident, as well as any violations of United States law, along with 
civil penalty actions taken as a result of such violations. Such 
reports could contain names of passengers on vessels, as well as 
witnesses to such violations; and
     Narratives, reports, and documents by USCG personnel 
describing their activities on vessels and within facilities, including 
incident reports, violations of laws, and international treaties

Authority for maintenance of the system:
    14 U.S.C 89a, 93(a) and (c), 632; 16 U.S.C 1431; 33 U.S.C 1223; 33 
U.S.C. 1228; 46 U.S.C. 3717; 46 U.S.C. 12119, 12501-502.

Purpose(s):
    The purpose of this system is to collect and maintain USCG case 
records and other reported information relating to the safety, 
security, law enforcement, environmental, and compliance activities of 
vessels, facilities, organizations engaged in marine transportation, 
and related persons.

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 88699]]

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 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 or former employee of DHS in his/her official 
capacity;
    3. Any employee or former 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 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 identity theft or fraud, harm 
to 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, 
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 and such disclosure is proper and 
consistent with the official duties of the person making the 
disclosure.
    H. To federal and state safety enforcement agencies, including, but 
not limited to, the Maritime Administration and National Transportation 
Safety Board, U.S. Department of Transportation, to access historical 
data that may assist in safety investigations and improve 
transportation safety.
    I. To federal, state, and local environmental agencies, including, 
but not limited to, the U.S. Environmental Protection Agency, to access 
historical data that may improve compliance with U.S. laws relating to 
environmental protection.
    J. To the U.S. Department of Defense and related entities, 
including, but not limited to, the Military Sealift Command and U.S. 
Navy, to access data on safety information regarding vessels chartered 
by those agencies.
    K. To the International Maritime Organization or intergovernmental 
organizations, nongovernmental organizations, or foreign governments in 
order to conduct joint investigations, operations, and inspections;
    L. To federal, state, or local agencies with which the U.S. Coast 
Guard has a Memorandum of Understanding, Memorandum of Agreement, or 
Inspection and Certification Agreement pertaining to Marine Safety, 
Maritime Security, Maritime Law Enforcement, and Marine Environmental 
Protection activities.
    M. 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 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.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    DHS/USCG stores records in this system electronically or on paper 
in secure facilities in a locked drawer behind a locked door. The 
records may be stored on magnetic disc, tape, and digital media.

Retrievability:
    Records may be retrieved by name of individual, vessel, or 
facility, facility number, involved party identification number, SSN, 
TIN, driver license number, (A-Number), military identification number, 
U.S. Coast Guard license number, cellular number, foreign seaman's 
booklet number, resident alien number, merchant mariners license or 
documentation number, person or organization name, casualty case 
number, pollution incident case number, date of incident, civil penalty 
case number, USCG unit entering data, or incident location.
    Biometric records associated with case files or reports may be 
retrieved from IDENT by reference to the applicable Organization/Unit/
Subunit designations for the Biometrics-at-Sea-System.

Safeguards:
    DHS/USCG safeguards records in this system according to applicable 
rules and policies, including all applicable DHS automated systems 
security and access policies. USCG has imposed strict controls 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:
    Records are retained in accordance with National Archives and 
Records Administration (NARA) schedule N1-026-05-15 approved July 7, 
2005. Most of the records in this system are retained indefinitely by 
NARA; however law enforcement boarding activities are retained for 
three years. A copy of this

[[Page 88700]]

system has been transferred to the National Archives and Records 
Administration permanent records collection. Updates of system 
information are transferred to NARA every 5 years. All system hardware 
and data is stored at OSC, Kearneysville, WV. Backups are performed 
daily. Copies of backups are stored at an off-site location.

System Manager and address:
    Commandant (CG-633), United States Coast Guard, Mail Stop 7710, 
Washington, DC 20593; Commandant (BSX), United States Coast Guard, Mail 
Stop 7501, Washington, DC 20593; Director, United States Coast Guard, 
National Vessel Documentation Center, 792 T J Jackson Drive, Falling 
Waters, WV 25419; IDENT Program Management Office, U.S. Department of 
Homeland Security, Washington, DC 20528.

Notification procedure:
    The Secretary of Homeland Security has exempted this system from 
the notification, access, and amendment procedures of the Privacy Act 
because it is a law enforcement system. However, DHS/USCG 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 Chief Privacy Officer 
and Commandant (CG-611), United States Coast Guard, 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 (FOIA) 
Officer, Department of Homeland Security, Washington, DC 20528-0655.
    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/foia or 1-866-431-0486. In addition, you should:
     Explain 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 the above 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 USCG boardings, USCG inspections, USCG 
investigations, USCG documentation offices, and vessel notice of 
arrival reports in the course of normal routine business. This 
information is gathered from the owners, operators, crew members, 
agents, passengers, witnesses, other government agencies, and USCG 
personnel. In addition records or record identifiers are ingested from 
other DHS and Federal systems, including IDENT, Vessel Identification 
System (VIS), Merchant Vessel Documentation System (MVDS), and the 
National Crime Information Center (NCIC).

Exemptions claimed for the system:
    The Secretary of Homeland Security, pursuant to 5 U.S.C. 
552a(j)(2), has exempted this system from the following provisions of 
the Privacy Act: 5 U.S.C. 552a(c)(3-4), (d), (e)(1-3), (e)(5), (e)(8), 
and (g). Additionally, the Secretary of Homeland Security, pursuant to 
5 U.S.C. 552a(k)(2) has exempted this system from the following 
provisions of the Privacy Act, 5 U.S.C. 552a(c)(3), (d), (e)(1), 
(e)(4)(G), (e)(4)(H), (e)(4)(I), and (f).
    When this system receives a record from another system exempted in 
that source system under 5 U.S.C. 552a(j)(2), DHS will claim the same 
exemptions for those records that are claimed for the original primary 
systems of records from which they originated and claims any additional 
exemptions set forth here.

    Dated: December 1, 2016.
Jonathan R. Cantor,
Acting Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2016-29341 Filed 12-7-16; 8:45 am]
 BILLING CODE 9110-04-P