Privacy Act of 1974; System of Records, 15241-15246 [2021-05647]

Agencies

• DEPARTMENT OF HOMELAND SECURITY

[Federal Register Volume 86, Number 53 (Monday, March 22, 2021)]
[Notices]
[Pages 15241-15246]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-05647]


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DEPARTMENT OF HOMELAND SECURITY

[Docket No. USCBP-2020-0052]


Privacy Act of 1974; System of Records

AGENCY: U.S. Customs and Border Protection, U.S. Department of Homeland 
Security.

ACTION: Notice of Modified Privacy Act System of Records.

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SUMMARY: In accordance with the Privacy Act of 1974, the U.S. 
Department of Homeland Security (DHS) proposes to modify and reissue a 
current DHS system of records titled, ``DHS/U.S. Customs and Border 
Protection (CBP)-018 Customs Trade Partnership Against Terrorism System 
of Records.'' This system of records allows DHS/CBP to collect and 
maintain records about members of the trade community related to CBP's 
Customs Trade Partnership Against Terrorism (CTPAT) Program. Businesses 
accepted into the Program, called partners, agree to analyze, measure, 
monitor, report, and enhance their supply chains in exchange for 
greater security and facilitated processing offered by CBP. The CTPAT 
Program allows CBP to focus its resources on higher risk businesses and 
thereby assists the agency in achieving its mission to secure the 
border and facilitate the movement of legitimate international trade. 
CBP is reissuing this modified system of records notice alongside a 
Notice of Proposed Rulemaking, issued elsewhere in the Federal 
Register, to exempt this system of records from certain provisions of 
the Privacy Act.

DATES: Submit comments on or before April 21, 2021. This modified 
system will be effective upon publication. New or modified routine uses 
will be effective April 21, 2021.

ADDRESSES: You may submit comments, identified by docket number USCBP-
2020-0052 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: James Holzer, Acting Chief Privacy Officer, Privacy 
Office, U.S. Department of Homeland Security, Washington, DC 20528-
0655.
    Instructions: All submissions received must include the agency name 
and docket number USCBP-2020-0052. 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: 
Debra L. Danisek, CBP Privacy Officer, U.S. Customs and Border 
Protection, 1300 Pennsylvania Avenue NW, Room 3.3D, Washington, DC 
20229, or [email protected] or (202) 344-1610. For privacy 
questions, please contact: James Holzer, (202) 343-1717, 
[email protected], Acting Chief Privacy Officer, Privacy Office, U.S. 
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 U.S. 
Department of Homeland Security (DHS), U.S. Customs and Border 
Protection (CBP) proposes to modify and reissue a current DHS system of 
records titled, ``DHS/CBP-018 Customs Trade Partnership Against 
Terrorism (CTPAT) System of Records.''
    DHS/CBP is reissuing this modified system of records notice to 
update its description of how CBP collects and maintains information 
pertaining to prospective, ineligible, current, or former trade 
partners that participate in the CTPAT Program; other entities and 
individuals in their supply chains; and members of foreign governments' 
secure supply chain programs that have been recognized by CBP, through 
a mutual recognition arrangement or comparable arrangement, as being 
compatible with the CTPAT Program. DHS/CBP is updating this system of 
records notice to

[[Page 15242]]

expand the category of records to include additional biographic data 
elements, and to clarify that CTPAT members may also submit information 
to DHS/CBP under the CTPAT Trade Compliance program, to include 
importer self-assessments and other documentation.
    CBP uses the information collected and maintained through the CTPAT 
security and trade compliance programs to carry out its trade 
facilitation, law enforcement, and national security missions. In 
direct response to 9/11, CBP challenged the trade community to partner 
with the government to design a new approach to supply chain security--
one that protects the United States from acts of terrorism by improving 
security while facilitating the flow of compliant cargo and 
conveyances. The result was the CTPAT Program--a voluntary government/
private sector partnership program in which certain types of businesses 
agree to cooperate with CBP in the analysis, measurement, monitoring, 
reporting, and enhancement of their supply chains.
    Businesses accepted into the CTPAT Program are called partners and 
agree to take actions to protect their supply chain, identify security 
gaps, and implement specific security measures and best practices in 
return for facilitated processing of their shipments by CBP. The 
Program focuses on improving security from the point of origin 
(including manufacturer, supplier, or vendor) through a point of 
distribution to the destination. The current security guidelines for 
CTPAT Program members address a broad range of topics including 
personnel, physical, and procedural security; access controls; 
education, training and awareness; manifest procedures; conveyance 
security; threat awareness; and documentation processing. These 
guidelines offer a customized solution for the members, while providing 
a clear minimum standard that approved companies must meet.
    Businesses eligible to fully participate in the CTPAT Program 
include U.S. importers and exporters; U.S./Canada highway carriers; 
U.S./Mexico highway carriers; rail and sea carriers; licensed U.S. 
Customs brokers; U.S. marine port authority/terminal operators; U.S. 
freight consolidators; ocean transportation intermediaries and non-
operating common carriers; Mexican and Canadian manufacturers; and 
Mexican long-haul carriers.
    CTPAT Program members in good standing may optionally participate 
in the CTPAT Trade Compliance program. Beginning in March 2020, the 
former Importer-Self Assessment (ISA) program was integrated into CTPAT 
as CTPAT Trade Compliance. DHS/CBP is updating this SORN to clarify the 
additional records collected as part of the CTPAT Trade Compliance 
program, which is limited to existing CTPAT members. To qualify for the 
CTPAT Trade Compliance program, an importer must submit an additional 
application via the CTPAT Portal and (a) be a Member of the CTPAT 
Security Program and in good standing, (b) meet the eligibility 
criteria laid out in the Eligibility Questions, and (c) complete a 
Memorandum of Understanding (MOU) and Program Questionnaire.
    To participate in the CTPAT Program, a company is required to 
submit a confidential, online application using the CTPAT Security Link 
Portal, https://ctpat.cbp.dhs.gov. The CTPAT Security Link Portal is 
the public-facing portion of the CTPAT system used by applicants to 
submit the information in their company and supply chain security 
profiles.
    Additionally, the applicant business must complete a Supply Chain 
Security Profile (SCSP). The information provided in the SCSP is a 
narrative description of the procedures the applicant business uses to 
adhere to each CTPAT Security Criteria or Guideline articulated for 
their particular business type (e.g., importer, customs broker, freight 
forwarder, air, sea, and land carriers, contract logistics providers) 
together with any supporting documentation. Data elements entered by 
the applicant business are accessible for update or revision through 
the CTPAT Security Link Portal. An applicant's SCSP must provide supply 
chain security procedures for each business in the applicant's supply 
chain, even if those businesses are not, or do not desire to become, 
partners of CTPAT separately. This information is focused on the 
security procedures of those businesses (e.g., whether the business 
conducts background investigations on employees), rather than the 
individuals related to those businesses (e.g., a list of employee 
names).
    In addition to clarifying the inclusion of the CTPAT Trade 
Compliance program as part of the CTPAT System of Records, DHS/CBP is 
modifying Routine Use ``E'' and adding Routine Use ``F'' to conform to 
OMB Memorandum M-17-12. The previous Routine Use ``F'' has been re-
lettered as Routine Use ``H,'' the content of the previous Routine Use 
``G'' has been modified to conform with current DHS guidance, and 
Routine Use ``I'' has been deleted. All subsequent Routine Uses have 
been renumbered to account for these changes. CBP is also expanding the 
category of records to assist in vetting individuals listed as 
associated with partner companies. The expanded categories of records 
include: Date of birth (DOB); country of birth; country of citizenship; 
travel document number; immigration status information; driver's 
license information; Trusted Traveler membership type and number; and 
Registro Federal de Contribuventes (RFC) Persona Fisica (for Mexican 
Foreign Manufacturers, Highway Carriers, and Long Haul Carriers Only). 
Furthermore, DHS/CBP is expanding the collection of U.S. Social 
Security number beyond sole proprietors to now include the collection 
from all individuals listed as associated with partner companies. 
Additionally, this notice includes non-substantive changes to simplify 
the formatting and text of the previously published notice.
    Consistent with DHS's information sharing mission, information 
stored in the DHS/CBP-018 Customs-Trade Partnership Against Terrorism 
(CTPAT) 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/CBP 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.
    Additionally, DHS is issuing a Notice of Proposed Rulemaking to 
exempt this system of records from certain provisions of the Privacy 
Act, issued elsewhere in the Federal Register.
    This modified 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 any 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. Similarly, the Judicial Redress Act (JRA) provides 
a statutory right to

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covered persons to make requests for access and amendment to covered 
records, as defined by the JRA, along with judicial review for denials 
of such requests. In addition, the JRA prohibits disclosures of covered 
records, except as otherwise permitted by the Privacy Act.
    Below is the description of the DHS/CBP-018 CTPAT 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 NAME AND NUMBER:
    U.S. Department of Homeland Security (DHS)/U.S. Customs and Border 
Protection (CBP)-018 Customs Trade Partnership Against Terrorism 
(CTPAT) System of Records.

SECURITY CLASSIFICATION:
    Unclassified, Sensitive Security Information, law enforcement 
sensitive.

SYSTEM LOCATION:
    Records are maintained at CBP Headquarters in Washington, DC and 
field offices, in the CTPAT Portal, and in a CBP collaborative 
intranet.

SYSTEM MANAGER(S):
    CTPAT Director, U.S. Customs and Border Protection, 1300 
Pennsylvania Avenue NW, Washington, DC 20229; (202) 344-3969. For CTPAT 
in general, contact [email protected]. For CTPAT Trade 
Compliance, contact [email protected].

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    This system and program are authorized by 6 U.S.C. 901 note 
(Security and Accountability for Every Port Act of 2006 (SAFE Port 
Act)), including 6 U.S.C. secs. 961-973. Pilot programs enhancing 
secure supply chain practices related to CTPAT are also authorized by 
Presidential Policy Directive/PPD-8, ``National Preparedness'' (March 
30, 2011).

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

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals, including Points of Contact, owners, and others 
associated with prospective, ineligible, current, or former CTPAT 
business entities; individuals associated with the supply chain of such 
CTPAT business entities; and individuals associated with business 
entities in foreign governments' secure supply chain programs that have 
been recognized by CBP, through harmonization, a mutual recognition 
arrangement (MRA), or comparable arrangement, as being compatible with 
the CTPAT Program.

CATEGORIES OF RECORDS IN THE SYSTEM:
    At the application level, information is collected from the 
applicant about itself and those members of its international supply 
chain. Pre-set fields of business-identifying information within the 
company profile portion of the online application include:
     Business Entity Type;
     Application Exception Token;
     Legal Business Name;
     Other Name(s) by which the Business is known (i.e., 
``Doing Business As''), if applicable;
     Business Telephone;
     Business Fax;
     Business website Address;
     Business History;
     Physical Address(es);
     Mailing Address(es);
     Owner Type (e.g., Corporation\Partnership\Sole 
Proprietor);
     Years in Business;
     Number of Employees;
     Business Points of Contacts;
     First Name;
     Last Name;
     Date of Birth;
     Country of Birth;
     Country of Citizenship;
     Travel Document number (e.g., visa or passport number);
     Alien Registration Number
     Naturalization number;
     Driver's license information (e.g., state and country of 
issuance, number, date of issuance/expiration);
     Trusted Traveler membership type and number (e.g., FAST/
NEXUS/SENTRI/Global Entry ID);
     Registro Federal de Contribuventes (RFC) Persona Fisica 
(needed for Mexican Foreign Manufacturers, Highway Carriers, and Long 
Haul Carriers Only);
     Title;
     Email Address (also used to log in to the Security Link 
Portal);
     Password;
     Telephone Number;
     Contact Type;
     U.S. Social Security numbers;
     Internal Revenue Service Business Identification Numbers;
     Customs assigned identification numbers (e.g., Importers 
of Record (IOR) number; Manufacturer Identification Numbers (MID) and 
Broker/Filer codes);
     Issue Papers, including information regarding whether the 
applicant is eligible for CTPAT membership or source record numbers for 
such information;
     Narrative description of supply chain security procedures 
for applicant and other entities in applicant's supply chain;
     Validation supporting documentation (e.g., bills of 
lading; audits--internal and external; proof of background checks; 
contractual obligations; via a letter from a senior business partner 
officer attesting to compliance; statements demonstrating compliance 
with CTPAT security criteria or an equivalent World Customs 
Organization accredited security program administered by a foreign 
customs authority; importer security questionnaire); and
     Account Status.
    Information received from and confirmed to countries with which CBP 
has a Mutual Recognition Arrangement (MRA) includes:
     Legal Business Name;
     Other Name(s) by which the Business is known (i.e., 
``Doing Business As''), if applicable;
     Company Type;
     Date Partner Certified;
     Account Status;
     Vetting Status;
     Date Validation Completed;
     CBP Supply Chain Security Specialist (SCSS) Name;
     Office Assigned Name;
     Mutual Recognition Country;
     Business identifying numbers, e.g.:
    [cir] Standard Carrier Alpha Code (SCAC);
    [cir] IOR; and
    [cir] MID.
    By Applicant request, information received from, and forwarded to, 
foreign secure supply chain programs pursuant to a harmonization 
program may include:
     Legal Name;
     Doing Business As;
     Telephone Number;
     Fax Number;
     website;
     Owner Type;
     Business Start Date;
     Number of Employees;
     Brief Company History;

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     Primary Address (Type, Name, Country, Street Address, 
City, State/Province, Zip/Postal Code);
     Mailing Address (Type, Name, Country, Street Address, 
City, State/Province, Zip/Postal Code);
     Primary Contact:
    [cir] Email Address;
    [cir] Type;
    [cir] Salutation;
    [cir] First Name;
    [cir] Last Name;
    [cir] Date of Birth;
    [cir] Title; and
    [cir] Telephone Number.
     Partner Notifications;
     Number of Entries;
     U.S. Department of Transportation (DOT) Issued Number;
     U.S. National Motor Freight Traffic Association Issued;
     SCAC;
     Dun & Bradstreet Number;
     Services Offered;
     Driver Sources;
     Entries related to harmonization country;
     Account Status;
     Vetting Status;
     Minimum Security Requirements/Security Profile Status;
     Validation Status; and
     Harmonization Status.
    The CTPAT Security Profile includes:
     Account Number;
     Risking Status;
     Minimum Security Requirements (MSR) Status;
     Validation Type;
     Validation Closed Date;
     Validation Status;
     Validation Type Verification (Government Contact);
     Verification Type Start Date;
     Verification Type: (phone, visit, mutual recognition);
     Verification Visit address;
     Business Type; and
     Harmonization Host Program.
    The records pertaining to the Trade Compliance Application Process:
     Trade Compliance Questionnaire:
    [cir] Company name;
    [cir] Business address;
    [cir] Phone number;
    [cir] Company website;
    [cir] Company type--public or private;
    [cir] Company contact: Name, date of birth, title, phone number and 
email address; and
    [cir] Responses pertaining to Forced Labor.
     Memorandum of Understanding; and
     Annual Notification Letter (ANL);
    [cir] Company Information: Organizational and/or Personnel Changes;
    [cir] Import Activity Change records;
    [cir] Internal Control Adjustments and Change records;
    [cir] Risk Assessment Results;
    [cir] Periodic Testing Results; and
    [cir] Prior Disclosures.

RECORD SOURCE CATEGORIES:
    Records are obtained from the CTPAT applicant business; from CBP 
systems, including TECS, the Automated Targeting System (ATS), the 
Automated Commercial Environment (ACE); and from public sources. 
Information is also collected by the SCSS from the CTPAT applicant and 
other businesses during the course of validating the business's supply 
chain and from foreign governments and multilateral governmental 
organizations with which CBP has entered into MRAs or other 
arrangements. To the extent a CTPAT partner applies for the CTPAT Trade 
Compliance program, CBP regulatory audit personnel collect information 
from the applicant as part of the Application Review Meeting.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    In addition to those disclosures generally permitted under 5 U.S.C. 
5 sec. 52a(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 the U.S. Attorneys 
Offices, or other federal agencies 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 United States or any agency thereof.
    B. To a congressional office from the record of an individual in 
response to an inquiry from that congressional office made at the 
request of the individual to whom the record pertains.
    C. To the National Archives and Records Administration (NARA) or 
General Services Administration pursuant to records management 
inspections being conducted under the authority of 44 U.S.C. secs. 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 there has been a breach of the system of 
records; (2) DHS has determined that as a result of the suspected or 
confirmed breach there is a risk of harm to individuals, DHS (including 
its information systems, programs, and operations), the federal 
government, or national security; 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 
breach or to prevent, minimize, or remedy such harm.
    F. To another federal agency or federal entity, when DHS determines 
that information from this system of records is reasonably necessary to 
assist the recipient agency or entity in (1) responding to a suspected 
or confirmed breach or (2) preventing, minimizing, or remedying the 
risk of harm to individuals, the recipient agency or entity (including 
its information systems, programs, and operations), the Federal 
Government, or national security, resulting from a suspected or 
confirmed breach.
    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 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.
    I. To appropriate foreign governmental agencies or multilateral 
governmental organizations pursuant to an arrangement between CBP and a 
foreign government or multilateral governmental organization regarding 
supply chain security.

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    J. To an appropriate federal, state, local, territorial, tribal, or 
foreign governmental agencies or multilateral governmental 
organizations or other appropriate authority or entity when necessary 
to vet a CTPAT applicant or validate a CTPAT partner.
    K. To appropriate federal, state, local, tribal, or foreign 
governmental agencies or multilateral governmental organizations when 
DHS reasonably believes there to be a threat or potential threat to 
national or international security for which the information may be 
relevant in countering the threat or potential threat.
    L. To a federal, state, tribal, or local agency, or other 
appropriate entity or individual, or foreign governments, in order to 
provide relevant information related to intelligence, 
counterintelligence, or antiterrorism activities authorized by U.S. 
law, Executive Order, or other applicable national security directive.
    M. To an organization or individual in either the public or private 
sector, either foreign or domestic, when there is a reason to believe 
that the recipient is or could become the target of a particular 
terrorist activity or conspiracy, or when the information is relevant 
and necessary to the protection of life or property.
    N. To third parties during the course of a law enforcement 
investigation to the extent necessary to obtain information pertinent 
to the investigation.
    O. To an appropriate federal, state, local, tribal, foreign, or 
international agency, if the information is relevant to a requesting 
agency's decision concerning the hiring or retention of an individual, 
or issuance of a security clearance, license, contract, grant, or other 
benefit, or if the information is relevant to a DHS decision concerning 
the hiring or retention of an employee, the issuance of a security 
clearance, the reporting of an investigation of an employee, the 
letting of a contract, or the issuance of a license, grant or other 
benefit.
    P. To a federal, state, local, tribal, or foreign governmental 
agency or multilateral governmental organization for the purpose of 
consulting with that agency or entity: (1) to assist in making a 
determination regarding redress for an individual in connection with 
the operations of a DHS component or program; (2) for the purpose of 
verifying the identity of an individual seeking redress in connection 
with the operations of a DHS component or program; or (3) for the 
purpose of verifying the accuracy of information submitted by an 
individual who has requested such redress on behalf of another 
individual.
    Q. To appropriate federal, state, local, tribal, or foreign 
governmental agencies or multilateral governmental organizations for 
the purpose of protecting the vital health interests of a data subject 
or other persons (e.g., to assist such agencies or organizations in 
preventing exposure to or transmission of a communicable or 
quarantinable disease or to combat other significant public health 
threats; appropriate notice will be provided of any identified health 
threat or risk).
    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.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    DHS/CBP stores records in this system of records 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.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records may be retrieved by any of the information listed in the 
categories of records above.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    The following records retention schedule for CTPAT is pending 
approval by NARA: information stored in CTPAT will be retained for the 
period during which the application is pending decision by CBP and for 
the period of active membership of the business entity, plus 20 years 
after membership has ended in the Program. Where information regarding 
the possible ineligibility of an applicant for CTPAT membership is 
found, it will be retained in the CTPAT system for 20 years from the 
date of denial to assist with future vetting, or consistent with the 
applicable retention period for the system of records from which such 
information was derived, whichever is longer.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    DHS/CBP safeguards records in this system according to applicable 
rules and policies, including all applicable DHS automated systems 
security and access policies. DHS/CBP 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.

RECORD ACCESS PROCEDURES:
    The CTPAT Portal provides access to those applicants or partners 
who have submitted information in the portal. The CTPAT partner 
interface allows participants to access and change the information they 
have provided at any time by accessing their business identifying 
information and CTPAT profile through secure login procedures. CTPAT 
partners access the CTPAT Portal via https://ctpat.cbp.dhs.gov.
    CTPAT partners have the ability to communicate with their assigned 
SCSS if they believe CBP has acted upon inaccurate or erroneously 
provided information. If this method is unsuccessful and CTPAT 
facilitated processing is denied or removed, the entity may make 
written inquiry regarding such denial or removal. The applicant should 
provide as much identifying information as possible regarding the 
business, in order to identify the record at issue. CTPAT participants 
may provide CBP with additional information to ensure that the 
information maintained by CBP is accurate and complete. The submitter 
will receive a written response to each inquiry. If CTPAT partnership 
is suspended or removed, the business may appeal this decision to CBP 
HQ, to the attention of the Executive Director, Cargo and Conveyance 
Security, U.S. Customs and Border Protection, 1300 Pennsylvania Avenue 
NW, Room 2.2A, Washington, DC 20229.
    The Secretary of Homeland Security has exempted this system from 
the notification, access, and amendment procedures of the Privacy Act, 
and the Judicial Redress Act if applicable, because it is a law 
enforcement system. However, DHS/CBP will consider individual requests 
to determine whether information may be released. Thus, individuals 
seeking access to and notification of any record contained in this 
system of records, or seeking to contest its content, may submit a 
request in writing to the Chief Privacy

[[Page 15246]]

Officer and CBP Freedom of Information Act Officer, whose contact 
information can be found at https://www.dhs.gov/foia under ``Contacts 
Information.'' 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, U.S. Department of Homeland Security, 
Washington, DC 20528-0655. Even if neither the Privacy Act nor the 
Judicial Redress Act provide a right of access, certain records about 
you may be available under the Freedom of Information Act.
    When an individual is seeking records about himself or herself from 
this system of records or any other Departmental system of records, the 
individual's request must conform with the Privacy Act regulations set 
forth in 6 CFR part 5. The individual must first verify his/her 
identity, meaning that the individual must provide his/her full name, 
current address, and date and place of birth. The individual must sign 
the request, and the individual's 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, an individual 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, 
the individual should:
     Explain why he or she believes the Department would have 
information being requested;
     Identify which component(s) of the Department he or she 
believes may have the information;
     Specify when the individual believes 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 an individual's request is seeking records pertaining to another 
living individual, the first individual must include a statement from 
the second individual certifying his/her agreement for the first 
individual to access his/her records.
    Without the above information, the component(s) may not be able to 
conduct an effective search, and the individual's request may be denied 
due to lack of specificity or lack of compliance with applicable 
regulations.

CONTESTING RECORD PROCEDURES:
    For records covered by the Privacy Act or covered JRA records, 
individuals may make a request for amendment or correction of a record 
of the Department about the individual by writing directly to the 
Department component that maintains the record, unless the record is 
not subject to amendment or correction. The request should identify 
each particular record in question, state the amendment or correction 
desired, and state why the individual believes that the record is not 
accurate, relevant, timely, or complete. The individual may submit any 
documentation that would be helpful. If the individual believes that 
the same record is in more than one system of records, the request 
should state that and be addressed to each component that maintains a 
system of records containing the record.

NOTIFICATION PROCEDURES:
    See ``Record Access Procedures'' above.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    No exemption shall be asserted with respect to information 
requested from and provided by the CTPAT Program applicant including 
company profile, supply chain information, and other information 
provided during the application and validation process. CBP will not 
assert any exemptions for an individual's application data and final 
membership determination in response to an access request from that 
individual. However, the Privacy Act requires DHS to maintain an 
accounting of the disclosures made pursuant to all routines uses. 
Disclosing the fact that a law enforcement agency has sought particular 
records may affect ongoing law enforcement activities. As such, 
pursuant to 5 U.S.C. 552a(j)(2), DHS will claim exemption from sections 
(c)(3), (e)(8), and (g) of the Privacy Act of 1974, as amended, as is 
necessary and appropriate to protect this information. Further, DHS 
will claim exemption from section (c)(3) of the Privacy Act of 1974, as 
amended, pursuant to 5 U.S.C. 552a(k)(2) as is necessary and 
appropriate to protect this information.
    Pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act, all 
other CTPAT Program data, including information regarding the possible 
ineligibility of an applicant for CTPAT membership discovered during 
the vetting process and any resulting issue papers, are exempt from 5 
U.S.C. secs. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), 
(e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), and (e)(8); (f); and (g). 
Pursuant to 5 U.S.C. 552a(k)(2), information regarding the possible 
ineligibility of an applicant for CTPAT Program membership discovered 
during the vetting process and any resulting issue papers are exempt 
from 5 U.S.C. secs. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), 
(e)(4)(I); and (f). In addition, to the extent a record contains 
information from other exempt systems of records, CBP will rely on the 
exemptions claimed for those systems.

HISTORY:
    78 FR 15962 (March 13, 2013).
* * * * *

James Holzer,
Acting Chief Privacy Officer, U.S. Department of Homeland Security.
[FR Doc. 2021-05647 Filed 3-19-21; 8:45 am]
BILLING CODE 9111-14-P