Acr Sorn

New ACE SORN.docx

Request for Information

ACR SORN

OMB: 1651-0023

Document [docx]
Download: docx | pdf

[Federal Register Volume 80, Number 158 (Monday, August 17, 2015)]

[Notices]

[Pages 49256-49262]

From the Federal Register Online via the Government Publishing Office [www.gpo.gov]

[FR Doc No: 2015-19731]




[[Page 49256]]


-----------------------------------------------------------------------


DEPARTMENT OF HOMELAND SECURITY


Office of the Secretary


[Docket No. DHS-2015-0047]



Privacy Act of 1974; Department of Homeland Security, U.S.

Customs and Border Protection, DHS/CBP-001, Import Information System,

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 consolidate, update, and rename two

current Department of Homeland Security systems of records titled,

``Department of Homeland Security/U.S. Customs and Border Protection,

DHS/CBP-001 Automated Commercial Environment/International Trade Data

System System of Records'' (7 FR 3109, January 19, 2006) and

``Department of Homeland Security/U.S. Customs and Border Protection,

DHS/CBP-015 Automated Commercial System System of Records'' (73 FR

77759, December 19, 2008) as one new system of records. The

consolidated system of records notice will be titled, ``Department of

Homeland Security/U.S. Customs and Border Protection, DHS/CBP-001

Import Information System System of Records.'' This system of records

will continue to collect and maintain records on all commercial goods

imported into the United States, as well as information pertaining to

the carrier, broker, importer, and other persons associated with the

manifest, import, or commercial entry transactions for the goods.

As a result of a review of these two systems, the Department of

Homeland Security/U.S. Customs and Border Protection is combining the

system of records notices for these systems into one updated system of

records notice that includes changes to the categories of individuals

and to the categories of records regarding information maintained about

persons who have account access to trade data in the system. The

Department of Homeland Security/U.S. Customs and Border Protection is

also including an additional routine use for disclosing vessel manifest

information as required by statute, in addition to the new compilation

of routine uses reconciled from the prior systems of records notices.

Data from this system of records may be shared with law enforcement

and/or intelligence agencies pursuant to the routine uses identified

below. 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. Lastly, this notice includes non-substantive changes to

simplify the formatting and text of the previously published notices.

This updated system will be included in the Department of Homeland

Security's inventory of record systems.


DATES: Submit comments on or before September 16, 2015. This updated

system will be effective September 16, 2015.


ADDRESSES: You may submit comments, identified by docket number DHS-

2015-0047 by one of the following methods:

Federal e-Rulemaking Portal: http://www.regulations.gov.

Follow the instructions for submitting comments.

Fax: (202) 343-4010.

Mail: Karen L. Neuman, 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 http://www.regulations.gov, including any

personal information provided.

Docket: For access to the docket to read background documents or

comments received, please visit http://www.regulations.gov.


FOR FURTHER INFORMATION CONTACT: For general questions, please contact:

John Connors (202) 344-1610, CBP Privacy Officer, Office of the

Commissioner, U.S. Customs and Border Protection, Washington, DC 20229.

For privacy questions, please contact: Karen L. Neuman, (202) 343-1717,

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), U.S. Customs and Border

Protection (CBP) proposes to consolidate, update, and rename as one

system of records notice (SORN) the information currently contained in

two DHS SORNs titled, ``DHS/CBP-001 Automated Commercial Environment/

International Trade Data System (ACE/ITDS) System of Records'' (7 FR

3109, January 19, 2006) and ``DHS/CBP-015 Automated Commercial System

(ACS) System of Records'' (73 FR 77759, December 19, 2008) . This new

SORN, entitled ``DHS/CBP-001 Import Information System (IIS),'' will

inform the public about changes to the categories of individuals,

categories of records, and routine uses contained in the consolidation

of the former ACS and ACE/ITDS SORNs.

ACS, a decades old trade information database and information

technology (IT) system, was deployed to track, control, and process all

commercial goods imported into the United States. ACE, part of a multi-

year modernization effort since 2001 to replace ACS, continues to be

designed to manage CBP's import trade data and related transaction

information. ACE/ITDS serves three sets of core stakeholders: The

internal DHS/CBP users, Partner Government Agencies (PGA), and the

trade community. ACE is the IT backbone for the ITDS, an interagency

initiative formalized under the SAFE Port Act of 2006 to create a

single window for the trade community and PGAs involved in importing

and exporting. DHS/CBP has provided notice to the public and trade

community that in the future, the ACS IT system will be fully phased

out and replaced by ACE. As such, and to simplify the trade community's

and the public's understanding of how trade information will be handled

after ACE implementation, DHS/CBP is publishing this Import Information

System (IIS) SORN to identify a single repository for import trade

information. DHS/CBP is also publishing an updated ACE Privacy Impact

Assessment on its Web site (http://www.dhs.gov/privacy) to inform the

public of the operation and inter-connectedness of the IT systems, ACS

and ACE, and to assess the privacy impact of these systems using the

fair information practice principles. This IIS system of records allows

DHS/CBP to collect and maintain records on all commercial goods

imported into the United States, along with related information about

persons associated with those transactions, and manifest information.

As part of this consolidation and issuance of IIS, the category of

individuals and category of records sections in the former ACS and ACE-

ITDS have been merged to account for the data in both IT systems, as

well as paper records related to the information in these systems. The

category of individuals section is amended to remove reference to DHS/

CBP employees and employees of other federal agencies for purposes of

maintaining their user access accounts to the ACE-ITDS Portal, because

these


[[Page 49257]]


individuals are now covered under a DHS-wide SORN, ``DHS/ALL-004

General Information Technology Access Account Records System (GITAARS)

(77 FR 70792, November 27, 2012). The category of records for IIS will

also include notations and results of examinations and document review

for cleared merchandise to clarify and better identify DHS and PGA-

generated information related to the processing of the import entry

transaction. Additionally, the category of records is being expanded to

address the expansion of information DHS/CBP proposes to collect on its

revised Importer ID Input Record (CBP Form 5106). DHS/CBP is adding

required elements for the name (First, Middle, Last) and business

contact information (job title and phone) of Senior Company Officers of

the Importer; DHS/CBP is also adding optional data fields on the form

for the Senior Officers to provide Social Security number (SSN) or

Passport Number and Country of Issuance. These latter, optional data

elements are to facilitate Importer screening and verification.

The authorities sections from the previous SORNs have been

combined, reconciled to address duplication, and updated to account for

expanded information collected about business associations as part of

the ACE-ITDS Portal user account. The purpose section for IIS reflects

an update to the combined purposes for ACS and ACE-ITDS and addresses

DHS/CBP's broad use of its import trade transaction IT systems (ACS and

ACE) to collect and manage records to track, control, and process all

commercial goods imported into the United States.

Consistent with DHS's information-sharing mission, information

stored in the DHS/CBP-001 Import Information System (IIS) may be shared

with other DHS Components that have a need to know the information to

carry out their national security, law enforcement, immigration, or

other homeland security functions. In addition, information may be

shared with appropriate federal, state, local, tribal, territorial,

foreign, or international government agencies consistent with the

routine uses set forth in this SORN and as otherwise authorized under

the Privacy Act.

Information in IIS may be shared for the same routine uses as were

previously published in ACS and ACE-ITDS, and are now updated in this

document:

ACS's former Routine Use K is now reclassified as Routine

Use G.

[cir] Routine Use G permits sharing of data under the following

circumstances: ``To appropriate federal, state, local, tribal, or

foreign governmental 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 or criminal

laws.''

ACE-ITDS's former Routine Use 3 is now reclassified as

Routine Use K.

[cir] Routine Use K permits sharing of data under the following

circumstances: ``To a federal, state, local, tribal, territorial,

foreign, or international agency, maintaining civil, criminal, or other

relevant enforcement information or other pertinent information, which

has requested information relevant to or necessary to the requesting

agency's or the bureau's hiring or retention of an individual, or

issuance of a security clearance, license, contract, grant, or other

benefit.''

Additionally, DHS/CBP is adding another routine use to IIS, Routine

Use R, to provide explicit coverage for the mandated release of

Manifest Information as set forth in section 1431 of title 19, United

States Code and implemented through title 19, Code of Federal

Regulations, part 103:

Routine Use R permits sharing of data under the following

circumstances: ``To paid subscribers, in accordance with applicable

regulations, for the purpose of providing access to manifest

information as set forth in 19 U.S.C. 1431.''

DHS/CBP will not assert any exemptions with regard to information

provided by or on behalf of an individual. However, this data may be

shared with law enforcement and/or intelligence agencies pursuant to

the routine uses identified in the IIS SORN and as otherwise authorized

under the Privacy Act. The Privacy Act requires that DHS maintain an

accounting of such disclosures. Disclosing the fact that a law

enforcement and/or intelligence agency has sought particular records

may interfere with or disclose techniques and procedures related to

ongoing law enforcement investigations. As such, 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 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 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 persons when systems of records maintain

information on U.S. citizens, lawful permanent residents, and non-

immigrant aliens.

Below is the description of the DHS/CBP-001 Import Information

System (IIS) System of Records.

In accordance with 5 U.S.C. 552a(r), DHS has provided a report of

these systems of records to the Office of Management and Budget and to

Congress.

System of Records

Department of Homeland Security (DHS)/U.S. Customs and Border

Protection (CBP)-001.


System name:

DHS/CBP-001 Import Information System (IIS).


Security classification:

Unclassified.


System location:

Records are maintained at the DHS/CBP Headquarters in Washington,

DC and field offices.


Categories of individuals covered by the system:

Categories of individuals in this system include members of the

public involved in the importation of merchandise and international

trade, such as importers, brokers, carriers, manufacturers, shippers,

consignees, cartmen/lightermen, filers, sureties, facility operators,

foreign trade zone operators, drivers/crew, attorneys/consultants, and

agents, in addition to persons required to file Customs Declarations

for international mail transactions (including sender and recipient).


Categories of records in the system:

Information maintained by ACE as part of the user account creation

process includes:

Account Information--Including Name of Company, Name of

Company Officer, Title of Company Officer, Company Organization

Structure, and


[[Page 49258]]


Officer's Date of Birth (optional). For Operators, this information

must match the name on the company's bond.

[cir] Account Owner Information--Name, Application Data, Email,

Date of Birth, Country, Address, and Business Phone Number.

[cir] Legal Entity Information--Name, Application Data, Email,

Country, Address, and Business Phone Number.

[cir] Point of Contact Information--Name, Application Data, Email,

Country, Date of Birth, Address, and Business Phone Number.

Business Activity Information--Depending on the account

type being established, CBP requires the following identifying

information to set up an ACE portal account. Users are limited to a

single identification number for the portal account being requested

with the exception of: Importer, broker, filer, software vendor,

service bureau, port authority, preparer, or surety agent, which can

use up to three identifying numbers for each portal view:

[cir] Importer/Broker/Filer/Surety: Importer Record Number; Filer

Code; Taxpayer Identification Number (TIN) [e.g., Internal Revenue

Service (IRS) Employer Identification Number (EIN)/SSN]; Surety Code.

[cir] Service Provider: Standard Carrier Alpha Code (SCAC) or Filer

Code; EIN/SSN.

[cir] Operator: EIN/SSN; Bond Number; Facilities Information and

Resources Management System (FIRMS) Code; Zone Number; Site Number.

Operators must also note whether their background investigation has

been completed by CBP, and whether their fingerprints are on file with

CBP.

[cir] Cartman/Lighterman: Cartman/Lighterman Identification Number;

Customhouse License (CHL) Number; Passport Number; Country of Issuance;

Date of Expiration; U.S. Visa Number; Birth Certification Number;

Permanent Resident Card Number; Certificate of Naturalization;

Certificate of U.S. Citizenship; Re-entry Permit Number (I-327);

Refugee Permit Number; Other Identification (such as Military

Dependent's Card, Temporary Resident Card, Voter Registration Card). A

Cartman/Lighterman must also note whether his or her background

investigation has been completed by CBP, and whether his or her

fingerprints are on file with CBP.

[cir] Carriers: SCAC; Bond Numbers; Importer Record for Type 2 Bond

(if applicable).

[cir] Drivers/Crew: Commercial Driver License (CDL) Number; State/

Province of Issuance; Country; whether the Driver has an Enhanced CDL

or is HAZMAT endorsed; Full Name; Date of Birth; Gender; Citizenship;

Travel Documentation (and Country of Issuance) such as: Passport Number

or Permanent Resident Card; or other type of identification including:

SENTRI Card; NEXUS \1\; U.S. Visa (non-immigrant or immigrant);

Permanent Resident Card; U.S. Alien Registration Card; U.S. Passport

Card; DHS Refugee Travel Document; DHS Re-Entry Permit; U.S. Military

ID Document; or U.S. Merchant Mariner Document.

---------------------------------------------------------------------------


\1\ SENTRI and NEXUS are Trusted Traveler Cards used for

expedited border crossing along the southern and northern borders,

respectively. See, http://www.cbp.gov/travel/trusted-traveler-programs.

---------------------------------------------------------------------------


Information maintained by ACE as part of the trade facilitation

process includes:

Filer Information

[cir] Importer of Record Name and Address--The name and address,

including the standard postal two-letter state or territory

abbreviation, of the importer of record. The importer of record is

defined as the owner or purchaser of the goods, or when designated by

the owner, purchaser, or consignee, a licensed customs broker. The

importer of record is the individual or firm liable for payment of all

duties and meeting all statutory and regulatory requirements incurred

as a result of importation, as described in 19 CFR 141.1(b).

[cir] Consignee Number--IRS EIN, SSN, or CBP-assigned number of the

consignee. This number must reflect a valid identification number filed

with CBP via the CBP Form 5106 or its electronic equivalent.

[cir] Importer Number--The IRS EIN, SSN, or CBP-assigned number of

the importer of record.

[cir] Reference Number--The IRS EIN, SSN, or CBP-assigned number of

the individual or firm to whom refunds, bills, or notices of extension

or suspension of liquidation are to be sent (if other than the importer

of record and only when a CBP Form 4811 is on file).

[cir] Ultimate Consignee Name and Address--The name and address of

the individual or firm purchasing the merchandise or, if a consigned

shipment, to whom the merchandise is consigned.

[cir] Broker/Filer Information--A broker or filer name, address,

and phone number.

[cir] Broker/Importer File Number--A broker or importer internal

file or reference number.

[cir] Bond Agent Information--Bond agent name, SSN or a surety

created identification, and surety name.

[cir] Declarant Name, Title, Signature, and Date--The name, job

title, and signature of the owner, purchaser, or agent who signs the

declaration. The month, day, and year when the declaration was signed.

[cir] Importer Business Description--Including the Importer Dun &

Bradstreet (DUNS) Number and the North American Industry Classification

System (NAICS) number for Importer Business.

[cir] Senior Officers of the Importing Company--Information

pertaining to Senior Officers of the Importing Company with an

importing or financial role in trade transactions: Position title; Name

(First, Middle, Last); Business Phone; SSN (Optional); Passport Number

(Optional); Passport Country of Issuance (Optional).

[cir] Additional Data Elements--Filers may, on their own

initiative, provide additional or clarifying information on the form

provided such additional information does not interfere with the

reporting of those required data elements.

Supply Chain Information

[cir] Manufacturer Information:

[ssquf] Manufacturer (or supplier) name;

[ssquf] Manufacturer (or supplier) address;

[ssquf] Foreign manufacturer identification code and/or shipper

identification code;

[ssquf] Foreign manufacturer name and/or shipper name; and

[ssquf] Foreign manufacturer address and/or shipper address.

[cir] Carrier Information:

[ssquf] Importing Carrier--For merchandise arriving in the U.S. by

vessel, CBP records the name of the vessel that transported the

merchandise from the foreign port of lading to the first U.S. port of

unlading.

Vessel Identifier Code;

Vessel Name;

Carrier Name;

Carrier Address;

Carrier codes (non-SSN) (Standard Carrier Agent Code

(SCAC) for vessel carriers, International Air Transport Association

(IATA) for air carriers);

Department of Transportation (DOT) number,

Tax Identification Number;

DUNS;

Organizational structure; and

Insurance information including name of insurer, policy

number, date of issuance, and amount.

The carrier can create users and points of contact, and

may also choose to store details associated with the driver and crew,

conveyance, and equipment for purposes of expediting the creation of

manifests.

[ssquf] Mode of Transport--The mode of transportation by which the

imported merchandise entered the U.S. port of arrival from the last

foreign country.


[[Page 49259]]


The mode of transport may include vessel, rail, truck, air, or mail.

[ssquf] Export Date--The month, day, and year on which the carrier

departed the last port (or airport, for merchandise exported by air) in

the exporting country.

[cir] Liquidator identification (non-SSN);

[cir] Seller (full name and address or a widely accepted industry

number such as a DUNS number);

[cir] Buyer (full name and address or a widely accepted industry

number such as a DUNS number);

[cir] Ship to party name;

[cir] Consolidator (stuffer);

[cir] Foreign trade zone applicant identification number;

[cir] Country of origin;

[cir] Commodity Harmonized Tariff Schedule of the United States

(HTSUS) number;

[cir] Booking party; and

[cir] Other identification information regarding the party to the

transaction.

Crewmember/Passenger Information

[cir] Carrier Information--Including vessel flag and vessel name,

date of arrival, and port of arrival (CBP Form 5129);

[cir] Person on arriving conveyance who is in charge;

[cir] Names of all crew members and passengers;

[cir] Date of birth of each crew member and passenger;

[cir] Commercial driver license (CDL)/driver license number for

each crew member;

[cir] CDL state or province of issuance for each crew member;

[cir] CDL country of issuance for each crew member;

[cir] Travel document number for each crew member and passenger;

[cir] Travel document country of issuance for each crew member and

passenger;

[cir] Travel document for state/province of issuance for each crew

member and passenger;

[cir] Travel document type for each crew member and passenger;

[cir] Address for each crew member and passenger;

[cir] Gender of each crew member and passenger;

[cir] Nationality/citizenship of each crew member and passenger;

and

[cir] HAZMAT endorsement for each crew member.

Federal Employee Information (including CBP and PGA

employees)

[cir] CBP employee names;

[cir] CBP employee hash identification, SSN, or other employee

identification number; and

[cir] Federal Government employee names, work addresses, work phone

numbers, and ACE identification if already an ACE-ITDS user.

Manifest Information

[cir] Bill of Lading (B/L) or Air Waybill (AWB) Number--The number

assigned on the manifest by the international carrier delivering the

goods to the United States.

[cir] Immediate Transportation Number--The Immediate Transportation

number obtained from the CBP Form 7512, the AWB number from the Transit

Air Cargo Manifest (TACM), or Automated Manifest System (AMS) master

in-bond (MIB) movement number.

[cir] Immediate Transportation Date--The month, day, and year

obtained from the CBP Form 7512, TACM, or AMS MIB record. Note that

Immediate Transportation date cannot be prior to import date.

[cir] Missing Documents--Codes that indicate which documents are

not available at the time of filing the entry summary.

[cir] Foreign Port of Lading--The five digit numeric code listed in

the ``Schedule K'' (Classification of Foreign Ports by Geographic Trade

Area and Country) for the foreign port at which the merchandise was

actually laden on the vessel that carried the merchandise to the United

States.\2\

---------------------------------------------------------------------------


\2\ The ``Schedule K'' may be retrieved at: http://www.iwr.usace.army.mil/ndc/wcsc/scheduleK/schedulek.htm.

---------------------------------------------------------------------------


[cir] U.S. Port of Unlading--The U.S. port code where the

merchandise was unladen (or, delivered) from the importing vessel,

aircraft, or train.

[cir] Location of Goods/General Order (GO) Number--Also known as a

``container stuffing location,'' the pier or site where the goods are

available for examination. For air shipments, this is the flight

number.

CBP Generated Records

[cir] Entry Number--The entry number is a CBP-assigned number that

is unique to each Entry Summary (CBP Form 7501).

[cir] Entry Type--Entry type denotes which type of entry summary is

being filed (i.e., consumption, information, and warehouse). The sub-

entry type further defines the specific processing type within the

entry category (i.e., free and dutiable, quota/visa, anti-dumping/

countervailing duty, and appraisement).\3\

---------------------------------------------------------------------------


\3\ Automated Broker Interface (ABI) processing requires an ABI

status indicator. This indicator must be recorded in the entry type

code block. It is to be shown for those entry summaries with ABI

status only.

---------------------------------------------------------------------------


[cir] Summary Date--The month, day, and year on which the entry

summary is filed with CBP. The record copy of the entry summary will be

time stamped by the filer at the time of presentation of the entry

summary. Use of this field is optional for ABI statement entries. The

time stamp will serve as the entry summary date. The filer will record

the proper team number designation in the upper right portion of the

form above this block (three-character team number code).\4\

---------------------------------------------------------------------------


\4\ For ABI entry summaries, the team number is supplied by

CBP's automated system in the summary processing output message.

---------------------------------------------------------------------------


[cir] Port Code--The port is where the merchandise was entered

under an entry or released under an immediate delivery permit. CBP

relies on the U.S. port codes from Schedule D, Customs District and

Port Codes, listed in Annex C of the Harmonized Tariff Schedule (HTS).

[cir] Entry Date--The month, day, and year on which the goods are

released, except for immediate delivery, quota goods, or when the filer

requests another date prior to release.\5\ It is the responsibility of

the filer to ensure that the entry date shown for entry/entry summaries

is the date of presentation (i.e., the time stamp date). The entry date

for a warehouse withdrawal is the date of withdrawal.

---------------------------------------------------------------------------


\5\ 19 CFR 141.68.

---------------------------------------------------------------------------


[cir] Manufacturer ID--This code identifies the manufacture/shipper

of the merchandise by a CBP-constructed code. The manufacturer/shipper

identification code is required for all entry summaries and entry/entry

summaries, including informal entries, filed on the CBP Form 7501.

[cir] Notes--Notations and results of examinations and document

review for cleared merchandise.

[cir] Trade violation statistics.

[cir] Protest and appeal decision case information.

Surety and Bond Information

[cir] Surety Information--Full legal name of entity, address.

[cir] Surety Number--A three-digit numeric code that identifies the

surety company on the Customs Bond. This code can be found in block 7

of the CBP Form 301, or is available through CBP's automated system to

ABI filers, via the importer bond query transaction.

[cir] Bond Type--A three-digit numeric code identifying the

following type of bond: U.S. Government or entry types not requiring a

bond; Continuous; or Single Transaction.

[cir] Additional Bond Information--All authorized users of bond,

bond expiration date.

Merchandise-Specific Information

[cir] Line Number--A commodity from one country, covered by a line

which


[[Page 49260]]


includes a net quantity, entered value, HTS number, charges, rate of

duty and tax.

[cir] Description of Merchandise--A description of the articles in

sufficient detail (i.e., gross weight, manifest quantity, net quantity

in HTS units, U.S. dollar value, all other charges, costs, and expenses

incurred while bringing the merchandise from alongside the carrier at

the port of exportation in the country of exportation and placing it

alongside the carrier at the first U.S. port of entry).

[cir] License Numbers--For merchandise subject to agriculture

licensing.

[cir] Country of Origin--The country of origin is the country of

manufacture, production, or growth of any article. When merchandise is

invoiced in or exported from a country other than that in which it

originated, the actual country of origin shall be specified rather than

the country of invoice or exportation.

[cir] Import Date--The month, day, and year on which the importing

vessel transporting the merchandise from the foreign country arrived

within the limits of the U.S. port with the intent to unlade.

[cir] Exporting Country--The country of which the merchandise was

last part of the commerce and from which the merchandise was shipped to

the United States.


Authority for maintenance of the system:

IIS derives its authority from 19 U.S.C. 66, 1431, 1448, 1481,

1484, 1505, 1514, 1624, and 2071; 26 U.S.C. 6109(d); 31 U.S.C. 7701(c);

section 203 of the Security and Accountability for Every (SAFE) Port

Act of 2006 and section 343(a) of the Trade Act of 2002, as amended by

the Maritime Transportation Security Act of 2002; Title 19 of the Code

of Federal Regulations, including 19 CFR 24.5, 149.3, 101.9, and

103.31(e).


Purpose(s):

This system of records allows DHS/CBP to collect and maintain

records on all commercial goods imported into the United States, along

with carrier, broker, importer, and other ACE-ITDS Portal user account

and manifest information. The purpose of this system of records is to

track, control, and process all commercial goods imported into the

United States. This facilitates the flow of legitimate shipments, and

assists DHS/CBP in securing U.S. borders and targeting illicit goods.

IIS covers two principle information technology systems: The Automated

Commercial System (ACS) and ACE-ITDS. ACS employs multiple modules to

receive data transmissions from a variety of parties involved in

international commercial transactions and provides DHS/CBP with the

capability to track both the transport transactions and the financial

transactions associated with the movement of merchandise through

international commerce. ACE-ITDS modernizes and enhances trade

processing with features that will consolidate and automate border

processing. ACE-ITDS serves three sets of core stakeholders: The

internal DHS/CBP users, PGAs, and the trade community in the movement

of merchandise through international commerce.


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

United States 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 or her official

capacity;

3. Any employee or former employee of DHS in his or her individual

capacity when DOJ or DHS has agreed to represent the employee; or

4. The United States or any agency thereof.

B. To a congressional office from the record of an individual in

response to an inquiry from that congressional office made at the

request of the individual to whom the record pertains.

C. To the National Archives and Records Administration (NARA) or

General Services Administration pursuant to records management

inspections being conducted under the authority of 44 U.S.C. 2904 and

2906.

D. To an agency or organization for the purpose of performing audit

or oversight operations as authorized by law, but only such information

as is necessary and relevant to such audit or oversight function.

E. To appropriate agencies, entities, and persons when:

1. DHS suspects or has confirmed that the security or

confidentiality of information in the system of records has been

compromised;

2. DHS has determined that as a result of the suspected or

confirmed compromise, there is a risk of 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 appropriate federal, state, local, tribal, or foreign

governmental 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 or criminal laws.

H. To a federal, state, or local agency, or other appropriate

entity or individual, or through established liaison channels to

selected foreign governments, in order to provide intelligence,

counterintelligence, or other information for the purposes of

intelligence, counterintelligence, or antiterrorism activities

authorized by U.S. law, Executive Order, or other applicable national

security directive.

I. To the Department of Commerce, United States Census Bureau for

statistical analysis of foreign trade data.

J. To a federal agency, pursuant to an International Trade Data

System Memorandum of Understanding, consistent with the receiving

agency's legal authority to collect information pertaining to and/or

regulate transactions in international trade.

K. To a federal, state, local, tribal, territorial, foreign, or

international agency, maintaining civil, criminal, or other relevant

enforcement information


[[Page 49261]]


or other pertinent information, which has requested information

relevant or necessary to the requesting agency's hiring or retention of

an individual, or issuance of a security clearance, license, contract,

grant, or other benefit;

L. To a court, magistrate, or administrative tribunal in the course

of presenting evidence, including disclosures to opposing counsel or

witnesses in the course of civil discovery, litigation, or settlement

negotiations, in response to a subpoena, or in connection with criminal

law proceedings;

M. To third parties during the course of an investigation to the

extent necessary to obtain information pertinent to the investigation;

N. To the Department of Justice, Offices of the United States

Attorneys or a consumer reporting agency as defined by the Fair Credit

Reporting Act, address or physical location information concerning the

debtor, for further collection action on any delinquent debt when

circumstances warrant;

O. To appropriate federal, state, local, tribal, or foreign

governmental agencies or multilateral governmental organizations when

DHS is aware of a need to use relevant data for purposes of testing new

technology and systems designed to enhance national security or

identify other violations of law;

P. To a former employee of DHS, in accordance with applicable

regulations, for purposes of responding to an official inquiry by a

federal, state, or local government entity or professional licensing

authority; or facilitating communications with a former employee that

may be necessary for personnel-related or other official purposes when

the Department requires information or consultation assistance from the

former employee regarding a matter within that person's former area of

responsibility;

Q. 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, to the extent the information is

relevant to the protection of life or property;

R. To paid subscribers, in accordance with applicable regulations,

for the purpose of providing access to manifest information as set

forth in 19 U.S.C. 1431;

S. To the news media and the public, with the approval of the Chief

Privacy Officer in consultation with counsel, when there exists a

legitimate public interest in the disclosure of the information or when

disclosure is necessary to preserve confidence in the integrity of DHS

or is necessary to demonstrate the accountability of DHS's officers,

employees, or individuals covered by the system, except to the extent

it is determined that release of the specific information in the

context of a particular case would constitute an unwarranted invasion

of personal privacy.


Disclosure to consumer reporting agencies:

Yes, CBP may disclose, pursuant to 5 U.S.C. 552a(b)(12), to

consumer reporting agencies in accordance with the provision of 15

U.S.C. 1681, et seq. or the Federal Claims Collection Act of 1966 as

amended (31 U.S.C. 3701, et seq.). The purpose of this disclosure is to

aid in the collection of outstanding debts owed to the Federal

Government, typically, to provide an incentive for debtors to repay

delinquent Federal Government debts by making these part of their

credit records.

Disclosure of records is limited to the individual's name, address,

EIN/SSN, and other information necessary to establish the individual's

identity; the amount, status, and history of the claim; and the agency

or program under which the claim arose. The disclosure will be made

only after the procedural requirements of 31 U.S.C. 3711(e) have been

followed.


Policies and practices for storing, retrieving, accessing, retaining,

and disposing of records in the system:

Storage:

CBP 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, digital media, and CD-ROM.


Retrievability:

CBP retrieves records by file identification codes, name or other

personal identifier.


Safeguards:

CBP safeguards records in this system in accordance with applicable

rules and policies, including all applicable DHS automated systems

security and access policies. CBP imposes 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. The systems maintain a real-time auditing

function of individuals who access them. Additional safeguards may vary

by Component and program.


Retention and disposal:

The Importer Security Filing form is retained for fifteen years

from date of submission unless it becomes linked to law enforcement

action. All other import records contained within IIS are maintained

for a period of six years from the date of entry.

Some records are retained online in a system database, while others

may be retained in hard copy in ports of entry, as appropriate.

Personally identifiable information collected in IIS as part of the

regulation of incoming cargo will be retained in accordance with the

U.S. Customs Records Schedules approved by the National Archive and

Records Administration for the forms on which the data is submitted.

This means that cargo, crew, driver, and passenger information

collected from a manifest presented in connection with the arrival of a

vessel, vehicle, or aircraft will be retained for six years.

Information collected in connection with the submission of a Postal

Declaration for a mail importation will be retained for a maximum of

six years and three months (as set forth pursuant to NARA Authority N1-

36-86-1, U.S. Customs Records Schedule, Schedule 9 Entry Processing,

Items 4 and 5).


System Manager and address:

Director, Integrated Logistic Support, Cargo Systems Program

Office, Office of Information Technology, U.S. Customs and Border

Protection, who is located at 1801 North Beauregard Street, Alexandria,

Virginia 22311.


Notification procedure:

ACE-ITDS portal users may log in to ACE-ITDS to change their

profile information and make permissible amendments or corrections to

their records. 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 DHS/CBP Freedom of

Information Act (FOIA) Officer, whose contact information can be found

at http://www.dhs.gov/foia under ``Contacts.'' If an individual

believes more than one Component maintains Privacy Act records

concerning him or her, the individual may submit the request to the

Chief Privacy Officer and Chief FOIA 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,


[[Page 49262]]


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. Although no specific form is required, you may obtain

forms for this purpose from the Chief Privacy Officer and Chief FOIA

Officer, http://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;

and

If your request is seeking records pertaining to another living

individual, you must include a statement from that individual

certifying his or her agreement for you to access his or 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 through authorized DHS/CBP or other federal

agency forms, related documents, or electronic submissions from

individuals and/or companies incidental to the conduct of foreign trade

and required to administer the transportation and trade laws and

regulations of the United States.


Exemptions claimed for the system:

DHS/CBP will not assert any exemptions with regard to information

provided by or on behalf of an individual, when requested by the data

subject. However, this data may be shared with law enforcement and/or

intelligence agencies pursuant to the routine uses identified in the

IIS SORN. The Privacy Act requires DHS to maintain an accounting of

such disclosures made pursuant to all routine uses. Disclosing the fact

that a law enforcement and/or intelligence agency has sought particular

records may affect ongoing law enforcement activity. As such, DHS will

claim exemption pursuant to 5 U.S.C. 552a(j)(2) from sections (c)(3),

(e)(8), and (g)(1) of the Privacy Act, and pursuant to 5 U.S.C.

552a(k)(2) from section (c)(3) of the Privacy Act, from providing an

individual the accounting of disclosures, as necessary and appropriate

to protect this information.


Dated: July 31, 2015.

Karen L. Neuman,

Chief Privacy Officer, Department of Homeland Security.

[FR Doc. 2015-19731 Filed 8-14-15; 8:45 am]

BILLING CODE 9111-14-P





File Typeapplication/vnd.openxmlformats-officedocument.wordprocessingml.document
AuthorDENNING, TRACEY
File Modified0000-00-00
File Created2021-01-23

© 2024 OMB.report | Privacy Policy