DHS/CBP-006 Automated Targeting System

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[Federal Register Volume 77, Number 99 (Tuesday, May 22, 2012)]
[Notices]
[Pages 30297-30304]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2012-12396]
=======================================================================
----------------------------------------------------------------------DEPARTMENT OF HOMELAND SECURITY
Office of the Secretary
[Docket No. DHS-2012-0019]
Privacy Act of 1974; U.S. Customs and Border Protection, DHS/CBP006--Automated Targeting System, System of Records
AGENCY: Privacy Office, DHS.
ACTION: Notice of Privacy Act system of records.
----------------------------------------------------------------------SUMMARY: In accordance with the Privacy Act of 1974, the Department of
Homeland Security proposes to update and expand an existing Department
of Homeland Security system of records notice titled, U.S. Customs and
Border Protection, DHS/CBP-006--Automated Targeting System (ATS) 72 FR
43650, August 6, 2007. The Department of Homeland Security (DHS) and
U.S. Customs and Border Protection (CBP) have designed ATS to
efficiently perform risk assessments on information pertaining to
international travelers and import and export shipments attempting to
enter or leave the United States. ATS uses a rule-managed technology
that facilitates the targeting of high-risk travelers and cargo.
DHS/CBP is publishing this System of Records Notice (SORN) to
update ATS and to update and expand the categories of individuals,
categories of records, routine uses, access provisions, and sources of
data stored in ATS. Elsewhere in the Federal Register, the Department
of Homeland Security is concurrently issuing a Notice of Proposed
Rulemaking exempting this system of records from certain provisions of
the Privacy Act. This updated and expanded system will be included in
the Department of Homeland Security's inventory of record systems.
DATES: Submit comments on or before June 21, 2012. This system will be
effective June 21, 2012.
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ADDRESSES: You may submit comments, identified by docket number DHS2012-0019 by one of the following methods:
Federal e-Rulemaking Portal: http://www.regulations.gov.
Follow the instructions for submitting comments.
Fax: 703-483-2999.
Mail: Mary Ellen Callahan, Chief Privacy Officer, Privacy
Office, Department of Homeland Security, Washington, DC 20528.
Instructions: All submissions received must include the agency name
and docket number for this rulemaking. All comments received will be
posted without change to http://www.regulations.gov, including any
personal information provided.
Docket: For access to the docket to read background documents or
comments received go to http://www.regulations.gov.
FOR FURTHER INFORMATION CONTACT: For general questions please contact:
Laurence E. Castelli (202-325-0280), CBP Privacy Officer, Office of
[[Page 30298]]
International Trade, U.S. Customs and Border Protection, Mint Annex,
799 Ninth Street NW., Washington, DC 20229. For privacy issues please
contact: Mary Ellen Callahan (703-235-0780), Chief Privacy Officer,
Privacy Office, U.S. Department of Homeland Security, Washington, DC
20528.
SUPPLEMENTARY INFORMATION:
I. Background
In accordance with the Privacy Act of 1974, the Department of
Homeland Security proposes to update and expand an existing Department
of Homeland Security SORN titled, U.S. Customs and Border Protection,
DHS/CBP-006--Automated Targeting System (ATS) 72 FR 43650, August 6,
2007.
This SORN is being updated and expanded to inform the public about
changes to the Automated Targeting System (ATS) categories of
individuals, categories of records, routine uses, access provisions,
and sources of data. DHS/CBP is updating and expanding the categories
of individuals, categories of records, and sources of records stored in
ATS because it has certain data that it must ingest for performance
purposes. The Privacy Impact Assessment (PIA), which DHS will publish
on its Web site (http://www.dhs.gov/privacy) concurrently with the
publication of this SORN in the Federal Register, provides a full
discussion of the functional capabilities of ATS and its modules. DHS
and CBP have previously exempted portions of ATS from the notification,
access, amendment, and public accounting provisions of the Privacy Act
because it is a law enforcement system. DHS and CBP, however, will
consider each request for access to records maintained in ATS to
determine whether or not information may be released. DHS and CBP
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further note that despite the exemption taken on this system of records
they are providing access and amendment to passenger name records (PNR)
collected by CBP pursuant to its statutory authority, 49 U.S.C. 44909,
as implemented by 19 CFR 122.49d, Importer Security Filing (10+2
documentation) information, and any records that were ingested by ATS
where the source system of records already provides access and/or
amendment under the Privacy Act.
ATS provides the following basic functionalities to support CBP in
identifying individuals and cargo that need additional review across
the different means or modes of travel to and from the United States:
Comparison: ATS compares information on travelers and
cargo coming into and going out of the country against law enforcement
and intelligence databases to identify individuals and cargo requiring
additional scrutiny. For example, ATS compares information on
individuals (identified as passengers, travelers, crewmembers, or
persons appearing on documents supporting the movement of cargo) trying
to enter the country or trying to enter merchandise into the country
against the Terrorist Screening Database (TSDB), which ATS ingests from
the DHS Watchlist Service (WLS), and outstanding wants and warrants.
Rules: ATS compares existing information on individuals
and cargo entering and exiting the country with patterns identified as
requiring additional scrutiny. The patterns are based on CBP officer
experience, analysis of trends of suspicious activity, and raw
intelligence corroborating those trends. For example, ATS might compare
information on cargo entering the country against a set of scenariobased targeting rules that indicate a particular type of fish rarely is
imported from a given country.
Federated Query: ATS allows users to search data across
many different databases and correlate it across the various systems to
provide a person centric view of all data responsive to a query about
the person's identity from the selected databases.
In order to do the above, ATS pulls data from many different source
systems. In some instances ATS is the official record for the
information, while in other instances ATS ingests and maintains the
information as a copy or provides a pointer to the information in the
underlying system. Below is a summary:
Official Record: ATS maintains the official record for
Passenger Name Records (PNR) collected by CBP pursuant to its statutory
authority, 49 U.S.C. 44909, as implemented by 19 CFR 122.49d; for
Importer Security Filing (10+2 documentation) information, which
provides advanced information about cargo and related persons and
entities for risk assessment and targeting purposes; for results of
Cargo Enforcement Exams; for the combination of license plate,
Department of Motor Vehicle (DMV) registration data and biographical
data associated with a border crossing; for law enforcement and/or
intelligence data, reports, and projects developed by CBP analysts that
may include public source and/or classified information; and
information obtained through memoranda of understanding or other
arrangements because the information is relevant to the border security
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mission of the Department.
Ingestion of Data: ATS maintains copies of key elements of
certain CBP databases in order to minimize the processing time for
searches on the operational systems and to act as a backup for certain
operational systems, including, but not limited to: Automated
Commercial Environment (ACE), Automated Commercial System (ACS),
Automated Export System (AES), Advance Passenger Information System
(APIS), Border Crossing Information (BCI), Consular Electronic
Application Center (CEAC), Enforcement Integrated Database (EID)[which
includes the Enforcement Case Tracking System (ENFORCE)], Electronic
System for Travel Authorization (ESTA), Global Enrollment System (GES),
Non-Immigrant Information System (NIIS), historical National Security
Entry-Exit Registration System (NSEERS), Seized Asset and Case Tracking
System (SEACATS), U.S. Immigration and Customs Enforcement (ICE)
Student Exchange and Visitor Information System (SEVIS), Social
Security Administration (SSA) Death Master File, TECS, Terrorist
Screening Database (TSDB) through the DHS Watchlist Service (WLS), and
WebIDENT. If additional data is ingested and that additional data does
not require amendment of the categories of individuals or categories of
records in this SORN, the PIA for ATS will be updated to reflect that
information. The updated PIA can be found at www.dhs.gov/privacy.
Pointer System: ATS accesses and uses additional databases
without ingesting the data, including, but not limited to: CBP Border
Patrol Enforcement Tracking System (BPETS), Department of State
Consular Consolidated Database (CCD), commercial data aggregators,
CBP's Enterprise Geospatial Information Services (eGIS), DHS/USVISIT
IDENT, National Law Enforcement Telecommunications System (Nlets),
DOJ's National Crime Information Center (NCIC), the results of queries
in the FBI's Interstate Identification Index (III), and the National
Insurance Crime Bureau's (NICB's) private database of stolen vehicles.
If additional data is ingested and that additional data does not
require amendment of the categories of individuals or categories of
records in this SORN, the PIA for ATS will be updated to reflect that
information. The updated PIA can be found at www.dhs.gov/privacy.
DHS/CBP has reorganized the ATS routine uses to provide greater
uniformity across DHS systems. Consistent with DHS's information
sharing mission, information stored in
[[Page 30299]]
ATS may be shared with other DHS components, as well as appropriate
federal, state, local, tribal, foreign, or international government
agencies. This sharing will only take place after DHS determines that
the recipient has a need to know the information to carry out functions
consistent with the routine uses set forth in this SORN.
DHS has exempted the system from the notification, access,
amendment, and certain accounting provisions of the Privacy Act of 1974
because of the law enforcement nature of ATS. Despite the exemptions
taken on this system of records, CBP and DHS are not exempting the
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following records from the access and amendment provisions of the
Privacy Act: passenger name records (PNR) collected by CBP pursuant to
its statutory authority, 49 U.S.C. 44909, as implemented by 19 CFR
122.49d, Importer Security Filing (10+2 documentation) information, and
any records that were ingested by ATS where the source system of
records already provides access and/or amendment under the Privacy Act.
A traveler may obtain access to his or her PNR and request amendment as
appropriate, but records concerning the targeting rules, the responses
to rules, case events, law enforcement and/or intelligence data,
reports, projects developed by CBP that may include public source and/
or classified information, information obtained through memoranda of
understanding or other arrangements because the information is relevant
to the border security mission of the Department, or records exempted
from access by the system from which ATS ingested or accessed the
information, will not be accessible to the individual.
II. Privacy Act
The Privacy Act embodies fair information principles in a statutory
framework governing the means by which the United States Government
collects, maintains, uses, and disseminates individuals' records. The
Privacy Act applies to information that is maintained in a ``system of
records.'' A ``system of records'' is a group of any records under the
control of an agency for which information is retrieved by the name of
an individual or by some identifying number, symbol, or other
identifying particular assigned to the individual. In the Privacy Act,
an individual is defined to encompass United States citizens and lawful
permanent residents. As a matter of policy (Privacy Policy Guidance
Memorandum 2007-1, most recently updated January 7, 2009), DHS extends
administrative Privacy Act protections to all persons, regardless of
citizenship, where a system of records maintains information on U.S.
citizens, lawful permanent residents, and visitors. Individuals may
request access to their own records that are maintained in a system of
records in the possession or under the control of DHS by complying with
DHS Privacy Act regulations, 6 CFR Part 5.
The Privacy Act requires each agency to publish in the Federal
Register a description denoting the type and character of each system
of records that the agency maintains, and the routine uses that are
contained in each system in order to make agency record keeping
practices transparent, to notify individuals regarding the uses to
which their records are put, and to assist individuals with more easily
finding such files within the agency. Below is the description of the
U.S. Customs and Border Protection DHS/CBP-006 Automated Targeting
System 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
DHS/CBP-006.
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System name:
U.S. Customs and Border Protection Automated Targeting System.
Security classification:
Unclassified, sensitive, classified.
System location:
Records are maintained at the CBP Headquarters in Washington, DC,
and can be accessed from field offices and from locations abroad where
ATS users are stationed.
Categories of individuals covered by the system:
ATS handles information relating to the following individuals:
A. Persons, including operators, crew, and passengers, who seek to,
or do in fact, enter, exit, or transit through the United States or
through other locations where CBP maintains an enforcement or
operational presence by land, air, or sea.
B. Crew members traveling on commercial aircraft that fly over the
United States.
C. Persons who engage in any form of trade or other commercial
transaction related to the importation or exportation of merchandise,
including those required to submit an Importer Security Filing.
D. Persons who are employed in any capacity related to the transit
of merchandise intended to cross the United States border.
E. Persons who serve as booking agents, brokers, or other persons
who provide information on behalf of persons seeking to enter, exit, or
transit through the United States, or on behalf of persons seeking to
import, export or ship merchandise through the United States.
F. Owners of vehicles that cross the border.
G. Persons whose data was received by the Department as the result
of memoranda of understanding or other information sharing agreement or
arrangement because the information is relevant to the border security
mission of the Department.
H. Persons who were identified in a narrative report, prepared by
an officer or agent, as being related to or associated with other
persons who are alleged to be involved in, who are suspected of, or who
have been arrested for violations of the laws enforced or administered
by DHS.
I. Persons who may pose a threat to the United States.
Categories of records in the system:
ATS contains various types of data to support its targeting
missions, incorporating information germane to the identification of
individuals, including, but not limited to:
Name
Addresses (home, work, and/or destination, as appropriate)
Telephone and fax numbers
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Tax ID number (e.g., Employer Identification Number (EIN) or
Social Security Number (SSN), where available)
Date and place of birth
Gender
Nationality
Country of Residence
Citizenship
Alias
Physical characteristics, including biometrics where available
(e.g., height, weight, race, eye and hair color, scars, tattoos, marks,
fingerprints)
Familial relationships and other contact information
Property information
Occupation and employment information
Biographical and biometric information from or associated with
online immigrant and non-immigrant visa applications, including (as
available):
[cir] U.S. sponsor's name, address, and phone number
[cir] U.S. contact name, address, and phone number
[[Page 30300]]
[cir] Employer name, address, and phone number
[cir] Email address, IP Address, applicant ID
[cir] Marital Status
[cir] Alien number
[cir] Social Security Number
[cir] Tax Identification Number
[cir] Organization Name
[cir] U.S. Status
[cir] Income information for Joint Sponsors
[cir] Education, military experience, relationship information
[cir] Responses to vetting questions pertaining to admissibility or
eligibility
Information from documents used to verify the identity of
individuals (e.g., driver's license, passport, visa, alien
registration, citizenship card, border crossing card, birth
certificate, certificate of naturalization, re-entry permit, military
card) including the:
type
number
date of issuance
place of issuance
The system contains travel information pertaining to individuals,
including:
The combination of license plate, Department of Motor Vehicle
(DMV) registration data and biographical data associated with a border
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crossing
Information derived from an ESTA application including
responses to vetting questions pertaining to admissibility (where
applicable)
Travel itinerary
Date of arrival or departure, and means of conveyance with
associated identification (e.g., Vehicle Identification Number, year,
make, model, registration)
Passenger Name Record (PNR):
1. PNR record locator code
2. Date of reservation/issue of ticket
3. Date(s) of intended travel
4. Name(s)
5. Available frequent flier and benefit information (i.e., free
tickets, upgrades)
6. Other names on PNR, including number of travelers on PNR
7. All available contact information (including originator of
reservation)
8. All available payment/billing information (e.g., credit card
number)
9. Travel itinerary for specific PNR
10. Travel agency/travel agent
11. Code share information (e.g., when one air carrier sells seats
on another air carrier's flight)
12. Split/divided information (e.g., when one PNR contains a
reference to another PNR)
13. Travel status of passenger (including confirmations and checkin status)
14. Ticketing information, including ticket number, one way tickets
and Automated Ticket Fare Quote (ATFQ) fields
15. Baggage information
16. Seat information, including seat number
17. General remarks including Other Service Indicated (OSI),
Special Service Indicated (SSI) and Supplemental Service Request (SSR)
information
18. Any collected APIS information (e.g., Advance Passenger
Information (API)) that is initially captured by an air carrier within
its PNR, such as passport number, date of birth and gender)
19. All historical changes to the PNR listed in numbers 1 to 18
Note: Not all air carriers maintain the same sets of
information for PNR, and a particular individual's PNR likely will
not include information for all possible categories. In addition,
PNR does not routinely include information that could directly
indicate the racial or ethnic origin, political opinions, religious
or philosophical beliefs, trade union membership, health, or sex
life of the individual. To the extent PNR does include terms that
reveal such personal matters, DHS employs an automated system that
filters certain of these terms and only uses this information in
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exceptional circumstances where the life of an individual could be
imperiled or seriously impaired.
The system contains information collected for the importation or
exportation of cargo and/or property, including:
Bill of lading
Commodity type
License number and license country for Office of Defense Trade
Controls registrants
Inspection and examination results
The system contains Importer Security Filing (ISF) information,
which must contain the following items, in addition to the Vessel Stow
Plan (VSP) and the Container Status Message (CSM):
Manufacturer (or supplier)
Seller (i.e., full name and address or widely accepted
business number such as a Data Universal Numbering System (DUNS)
number)
Buyer (i.e., full name and address)
Ship to party (full name and/or business name and address)
Container stuffing location
Consolidator (stuffer)
Importer of record number/Foreign Trade Zone applicant
identification number
Consignee number(s)
Country of origin
Commodity: Harmonized Tariff Schedule of the United States
(HTSUS) number
Alternatively, for shipments consisting entirely of Freight
Remaining on Board (FROB) or shipments consisting of goods intended to
move through the United States, ISF Importers, or their agents, must
submit the following five elements, unless an element is specifically
exempted:
Booking party (i.e., name and address)
Foreign port of unlading
Place of delivery
Ship to party
Commodity HTSUS number
The system contains assessments and other information obtained in
accordance with the terms of memoranda of understanding or other
arrangement because the information is relevant to the border security
mission of the Department.
The system also contains information created by CBP, including:
Admissibility determinations
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Results of Cargo Enforcement Exams
Law enforcement or intelligence information regarding an
individual
Risk-based rules developed by analysts to assess and identify
high-risk cargo, conveyances, or travelers that should be subject to
further scrutiny or examination
Assessments resulting from the rules, with a record of which
rules were used to develop the assessment
Operational and analytical reports and/or projects developed
that may include public source information and/or classified
information obtained by users/analysts for reference or incorporation
into the report or project.
Authority for maintenance of the system:
ATS derives its authority from 19 U.S.C. 482, 1461, 1496, 1581,
1582; 8 U.S.C. 1357; 49 U.S.C. 44909; the Enhanced Border Security and
Visa Reform Act of 2002 (EBSVRA) (Pub. L. 107-173); the Trade Act of
2002 (Pub. L. 107-210); the Intelligence Reform and Terrorism
Prevention Act of 2004 (IRTPA) (Pub.L. 108-458); and the Security and
Accountability for Every Port Act of 2006 (SAFE Port Act) (Pub. L. 109347).
Purpose(s):
PURPOSES FOR PNR IN ATS: PNR may be used,
(1). To prevent, detect, investigate, and prosecute:
a. Terrorist offenses and related crimes, including
[[Page 30301]]
i. Conduct that-1. involves a violent act or an act dangerous to human life,
property, or infrastructure; and
2. appears to be intended to-a. intimidate or coerce a civilian population;
b. influence the policy of a government by intimidation or
coercion; or
c. affect the conduct of a government by mass destruction,
assassination, kidnapping, or hostage-taking.
ii. Activities constituting an offense within the scope of and as
defined in applicable international conventions and protocols relating
to terrorism;
iii. Providing or collecting funds, by any means, directly or
indirectly, with the intention that they should be used or in the
knowledge that they are to be used, in full or in part, in order to
carry out any of the acts described in subparagraphs (i) or (ii);
iv. Attempting to commit any of the acts described in subparagraphs
(i), (ii), or (iii);
v. Participating as an accomplice in the commission of any of the
acts described in subparagraphs (i), (ii), or (iii);
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vi. Organizing or directing others to commit any of the acts
described in subparagraphs (i), (ii), or (iii);
vii. Contributing in any other way to the commission of any of the
acts described in subparagraphs (i), (ii), or (iii);
viii. Threatening to commit an act described in subparagraph (i)
under circumstances which indicate that the threat is credible;
b. Other crimes that are punishable by a sentence of imprisonment
of three years or more and that are transnational in nature;
A crime is considered as transnational in nature in particular if:
i. It is committed in more than one country;
ii. It is committed in one country but a substantial part of its
preparation, planning, direction or control takes place in another
country;
iii. It is committed in one country but involves an organized
criminal group that engages in criminal activities in more than one
country;
iv. It is committed in one country but has substantial effects in
another country; or
v. It is committed in one country and the offender is in or intends
to travel to another country;
(2) on a case-by-case basis where necessary in view of a serious
threat and for the protection of vital interests of any individual or
if ordered by a court;
(3) to identify persons who would be subject to closer questioning
or examination upon arrival to or departure from the United States or
who may require further examination.
(4) for domestic law enforcement, judicial powers, or proceedings,
where violations of law or indications thereof are detected in the
course of the use and processing of PNR.
PURPOSES OF ATS (EXCEPT for PNR):
ATS uses all other data for purposes listed above as well as below:
(a) To perform targeting of individuals who may pose a risk to
border security or public safety, may be a terrorist or suspected
terrorist, or may otherwise be engaged in activity in violation of U.S.
law;
(b) To perform a risk-based assessment of conveyances and cargo to
focus CBP's resources for inspection and examination and enhance CBP's
ability to identify potential violations of U.S. law, possible
terrorist threats, and other threats to border security; and
(c) To otherwise assist in the enforcement of the laws enforced or
administered by DHS, including those related to counterterrorism.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information ingested into this system from another source system is
to be handled consistent with the published system of records notice
for the source system and will continue to be governed by the routine
uses for that source system. The routine uses below apply only to
records that are maintained as official records in ATS (i.e., records
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which are maintained in ATS that are not covered by other originating
systems of record, including: PNR; Importer Security Filings; Cargo
Enforcement Exams; the combination of license plate, Department of
Motor Vehicle (DMV) registration data and biographical data associated
with a border crossing; law enforcement and/or intelligence data,
reports, and projects developed by CBP analysts that may include public
source information and/or classified information; and information
obtained through memoranda of understanding or other arrangements
because the information is relevant to the border security mission of
the Department). With respect to PNR, DHS only discloses information to
those authorities who intend to use the information consistent with the
purposes identified above, and have sufficient capability to protect
and safeguard the information. 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 (including United States Attorney
Offices) or other federal agency conducting litigation or in
proceedings before any court, adjudicative or administrative body, when
it is necessary or relevant to the litigation and one of the following
is a party to the litigation or has an interest in such litigation:
1. DHS or any component thereof;
2. any employee of DHS in his/her official capacity;
3. any employee of DHS in his/her individual capacity where 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 pursuant to
a written Privacy Act waiver at the request of the individual to whom
the record pertains.
C. To the National Archives and Records Administration or General
Services Administration pursuant to records management inspections
being conducted under the authority of 44 U.S.C. 2904 and 2906.
D. To an agency or organization for the purpose of performing audit
or oversight operations as authorized by law, but only such information
as is necessary and relevant to such audit or oversight function.
E. To appropriate agencies, entities, and persons when:
1. DHS suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised;
2. DHS has determined that as a result of the suspected or
confirmed compromise there is a risk of harm to economic or property
interests, of identity theft or fraud, or of harm to the security or
integrity of this system or of harm to other systems or programs
(whether maintained by DHS or another agency or entity) or harm to the
individuals that rely upon the compromised information; and
3. The disclosure made to such agencies, entities, and persons is
reasonably necessary to assist in connection with DHS's efforts to
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respond to the suspected or confirmed compromise and prevent, minimize,
or remedy such harm.
F. To contractors and their agents, grantees, experts, consultants,
and others performing or working on a contract, service, grant,
cooperative agreement, or other assignment for the
[[Page 30302]]
federal government 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, tribal, local, 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, or
license, where CBP believes the information would assist enforcement of
applicable civil or criminal laws;
H. To federal and foreign government intelligence or
counterterrorism agencies or components where DHS becomes aware of an
indication of a threat or potential threat to national or international
security, or to assist in anti-terrorism efforts;
I. To an organization or person in either the public or private
sector, either foreign or domestic, where there is a reason to believe
that the recipient is or could become the target of a particular
terrorist activity or conspiracy, or where the information is relevant
to the protection of life, property, or other vital interests of a
person;
J. To appropriate federal, state, local, tribal, or foreign
governmental agencies or multilateral governmental organizations for
the purpose of protecting the vital interests of a data subject or
other persons, including 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;
K. 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, or in response to a subpoena, or in connection with
criminal law proceedings;
L. To third parties during the course of a law enforcement
investigation to the extent necessary to obtain information pertinent
to the investigation, provided disclosure is appropriate in the proper
performance of the official duties of the officer making the
disclosure;
M. To appropriate federal, state, local, tribal, or foreign
governmental agencies or multilateral governmental organizations where
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CBP is aware of a need to utilize relevant data for purposes of testing
new technology and systems designed to enhance ATS;
N. To the news media and the public, with the approval of the Chief
Privacy Officer in consultation with counsel, when there exists a
legitimate public interest in the disclosure of the information or when
disclosure is necessary to preserve confidence in the integrity of DHS
or is necessary to demonstrate the accountability of DHS's officers,
employees, or individuals covered by the system, except to the extent
it is determined that release of the specific information in the
context of a particular case would constitute an unwarranted invasion
of personal privacy.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records in this system are stored electronically or on paper in
secure facilities in a locked drawer behind a locked door. The records
are stored on magnetic disc, tape, digital media, and CD-ROM.
Retrievability:
Records may be retrieved by any of the data elements described in
``Categories of Records,'' including by name or personal identifier
from an electronic database.
Safeguards:
Records in this system are safeguarded in accordance with
applicable rules and policies, including all applicable DHS automated
systems security and access policies. Strict controls have been imposed
to minimize the risk of compromising the information that is being
stored. Access to the computer system containing the records in this
system is limited to those individuals who have a need to know the
information for the performance of their official duties and who have
appropriate clearances or permissions.
Retention and disposal:
Official Records in this system (Passenger Name Records (PNR);
Importer Security Filings (10+2 documentation); results of Cargo
Enforcement Exams; the combination of license plate, Department of
Motor Vehicle registration data, and biographical data associated with
a border crossing; law enforcement and/or intelligence data, reports,
and projects developed by CBP analysts that may include public source
information and/or classified information; and information obtained
through memoranda of understanding or other arrangements because the
information is relevant to the border security mission of the
Department will be retained and disposed of in accordance with a
records schedule approved by the National Archives and Records
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Administration on April 12, 2008. ATS collects information directly,
ingests information from various systems, and accesses other systems
without ingesting the data. To the extent information is ingested from
other systems, data is retained in ATS in accordance with the record
retention requirements of those systems, or the retention period for
ATS, whichever is shortest.
The retention period for the official records maintained in ATS
will not exceed fifteen years, after which time the records will be
deleted, except as noted below. The retention period for PNR will be
subject to the following further access restrictions: ATS users with
PNR access will have access to PNR in an active database for up to five
years, during which time the PNR will be depersonalized following the
first six months retention. After this initial five-year retention, the
PNR data will be transferred to a dormant database for a period of up
to ten years. PNR data in dormant status will be subject to additional
controls including the requirement of obtaining access approval from a
senior DHS official designated by the Secretary of Homeland Security.
Furthermore, PNR in the dormant database may only be repersonalized in
connection with a law enforcement operation and only in response to an
identifiable case, threat, or risk. Such limited access and use for
older PNR strikes a reasonable balance between protecting this
information and allowing CBP to continue to identify potential highrisk travelers. Notwithstanding the foregoing, information maintained
only in ATS that is linked to active law enforcement lookout records,
CBP matches to enforcement activities, and/or investigations or cases
(i.e., specific and credible threats; flights, individuals, and routes
of concern; or other defined sets of circumstances) will remain
accessible for the life of the law enforcement matter to support that
activity and other enforcement activities that may become related.
The justification for a fifteen-year retention period for the
official records is based on CBP's law enforcement and security
functions at the border. This retention period is based on CBP's
[[Page 30303]]
historical encounters with suspected terrorists and other criminals, as
well as the broader expertise of the law enforcement and intelligence
communities. It is well known, for example, that potential terrorists
may make multiple visits to the United States in advance of performing
an attack. It is over the course of time and multiple visits that a
potential risk becomes clear. Travel records, including historical
records, are essential in assisting CBP Officers with their risk-based
assessment of travel indicators and identifying potential links between
known and previously unidentified terrorist facilitators. Analyzing
these records for these purposes allows CBP to continue to effectively
identify suspect travel patterns and irregularities.
System Manager and address:
Executive Director, Automation and Targeting Division, Office of
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Intelligence and Investigative Liaison, U.S. Customs and Border
Protection, and Director, Targeting and Analysis, Systems Program
Office, Office of Information and Technology, U.S. Customs and Border
Protection, both of whom are located at 1300 Pennsylvania Avenue NW.,
Washington, DC 20229.
Notification procedure:
The Secretary of Homeland Security has exempted this system from
the notification, access, amendment, and certain accounting procedures
of the Privacy Act because it is a law enforcement system. These
exemptions also apply to the extent that information in this system of
records is recompiled or is created from information contained in other
systems of records with appropriate exemptions in place. To the extent
that a record is exempted in a source system, the exemption will
continue to apply. Despite the exemptions taken on this system of
records, CBP and DHS are not exempting the following records from the
access and amendment provisions of the Privacy Act: passenger name
records (PNR) collected by CBP pursuant to its statutory authority, 49
U.S.C. 44909, as implemented by 19 CFR 122.49d; Importer Security
Filing (10+2 documentation) information; and any records that were
ingested by ATS where the source system of records already provides
access and/or amendment under the Privacy Act. Individuals seeking
notification of and access to records contained in this system of
records, or seeking to contest its content, may submit a request in
writing to the Headquarters or CBP 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, Department of Homeland Security, 245 Murray
Drive SW., Building 410, STOP-0655, Washington, DC 20528.
When seeking records about yourself from this system of records or
any other Departmental system of records your request must conform with
the Privacy Act regulations set forth in 6 CFR Part 5. You must first
verify your identity, meaning that you must provide your full name,
current address and date and place of birth. You must sign your
request, and your signature must either be notarized or submitted under
28 U.S.C. 1746, a law that permits statements to be made under penalty
of perjury as a substitute for notarization. While no specific form is
required, you may obtain forms for this purpose from the Director,
Disclosure and FOIA, http://www.dhs.gov or 1-866-431-0486. In addition
you should provide the following:
An explanation of why you believe the Department would
have information on you,
Identify which component(s) of the Department you believe
may have the information about you,
Specify when you believe the records would have been
created,
Provide any other information that will help the FOIA
staff determine which DHS component agency may have responsive records,
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and

If your request is seeking records pertaining to another
living individual, you must include a statement from that individual
certifying his/her agreement for you to access his/her records.
Without this bulleted information the component(s) may not be able
to conduct an effective search, and your request may be denied due to
lack of specificity or lack of compliance with applicable regulations.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Records are ingested from other DHS and federal systems, and from
foreign governments (in accordance with the terms of international
agreements and arrangements), including but not limited to ACE, ACS,
AES, APIS, BCI, CEAC (including Forms DS-160 and DS-260), ENFORCE,
ESTA, GES, NIIS, NSEERS, SEACATS, SEVIS, TECS, TSDB-WLS, Social
Security Administration's Death Master File, and WebIDENT,
Additionally, PNR is obtained from travel reservation systems of
commercial carriers. Information from Importer Security Filings is
received from importers and ocean carriers. Records are accessed from
BPETS, CCD, eGIS, NCIC, and Nlets. Also, the results of queries in the
FBI's Interstate Identification Index (III), the National Insurance
Crime Bureau's (NICB's) private database of stolen vehicles, and
commercial data aggregators are stored in ATS. Lastly, records are also
developed from analysis created by users as a result of their use of
the system.
Exemptions claimed for the system:
Pursuant to 6 CFR Part 5, Appendix C, certain records and
information in this system are exempt from 5 U.S.C. 552a(c)(3) and (4);
(d)(1), (2), (3), and (4); (e)(1), (2), (3), (4)(G) through (I),
(e)(5), and (8); (f), and (g) of the Privacy Act pursuant to 5 U.S.C.
552a(j)(2). Additionally, the Secretary of Homeland Security has
exempted this system from the following provisions of the Privacy Act,
pursuant to 5 U.S.C. 552a (k)(1) and (k)(2): 5 U.S.C. 552a(c)(3);
(d)(1), (d)(2), (d)(3), and (d)(4); (e)(1), (e)(4)(G), (e)(4)(H),
(e)(4)(I); and (f).
Despite the exemptions taken on this system of records, CBP and DHS
are not exempting the following records from the access and amendment
provisions of the Privacy Act: passenger name records (PNR) collected
by CBP pursuant to its statutory authority, 49 U.S.C. 44909, as
implemented by 19 CFR 122.49d; Importer Security Filing (10+2
documentation) information; and any records that were ingested by ATS
where the source system of records already provides access and/or
amendment under the Privacy Act. A traveler may obtain access to his or
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her PNR, but records concerning the targeting rules, the responses to
rules, case events, law enforcement and/or intelligence data, reports,
and projects developed by CBP analysts that may include public source
information and/or classified information, information obtained through
memoranda of understanding or other arrangements because the
information is relevant to the border security mission of the
Department, or records exempted from access by the system from which
ATS
[[Page 30304]]
ingested or accessed the information will not be accessible to the
individual.
Mary Ellen Callahan,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2012-12396 Filed 5-21-12; 8:45 am]
BILLING CODE 9110-06-P

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