[Federal Register Volume 76, Number 217 (Wednesday, November 9, 2011)]
[Notices]
[Pages 69749-69752]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-28975]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2011-0078]


Privacy Act of 1974; Department of Homeland Security United 
States Coast Guard-029 Notice of Arrival and Departure System of 
Records

AGENCY: Privacy Office, DHS.

ACTION: Notice of Privacy Act system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, the Department of 
Homeland Security proposes to update and reissue an existing system of 
records titled, ``Department of Homeland Security United States Coast 
Guard-029 Notice of Arrival and Departure System of Records.'' This 
system of records allows the Department of Homeland Security/United 
States Coast Guard to facilitate the effective and efficient entry and 
departure of vessels into and from the United States and assist with 
assigning priorities for conducting maritime safety and security 
missions in accordance with international and United States 
regulations. As a result of the biennial review of this system, records 
have been updated to include cargo within the purpose and record source 
categories. This updated system will be included in the Department of 
Homeland Security's inventory of record systems. The Privacy Act 
exemptions for this system remain unchanged.

DATES: Submit comments on or before December 9, 2011. This system will 
be effective December 9, 2011.

ADDRESSES: You may submit comments, identified by docket number DHS-
2011-0078 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: 
Marilyn Scott-Perez (202) 475-3515 Privacy Officer, United States Coast 
Guard, 2100 2nd Street SW., Stop 7101, Washington, DC 20593. For 
privacy issues 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, 5 U.S.C. 552a, the 
Department of Homeland Security (DHS) United States Coast Guard (USCG) 
proposes to update and reissue an existing DHS system of records 
titled, ``DHS/USCG-029 Notice of Arrival and Departure (NOAD) System of 
Records.''
    USCG collects information related to NOAD for U.S. vessels in 
commercial service and all foreign vessels bound for or departing from 
ports or waterways within the United States. This information is 
maintained within the Ship Arrival Notification System (SANS), as well 
as other USCG systems used for screening and vetting of vessels, 
primarily, but not exclusively, through Marine Information for Safety 
and Law Enforcement (MISLE), DHS/USCG-013, June 25, 2009, 74 FR 30305 
and the Maritime Awareness Global Network (MAGNet) System of Records 
Notice, DHS/USCG-061, May 15, 2008, 73 FR 28143. Information is 
retrieved from the SANS by vessel and not by personal identifier; 
however, USCG uses the information taken from the SANS in other systems 
to conduct screening and vetting of individuals pursuant to its mission 
for protecting and securing the maritime sector.
    The information that is required to be collected and submitted 
through Electronic Notice of Arrival and Departure (eNOAD) can be found 
on routine arrival/departure documents that passengers and crewmembers 
must provide to DHS when entering or departing the United States. eNOAD 
information includes complete name, date and place of birth, gender, 
country of citizenship, travel/mariner document type, number and 
country of issuance, expiration date, country of residence, status on 
board the vessel, and U.S. destination address (except for U.S. 
Citizens, lawful permanent residents, crew and those in transit).
    Additionally, vessel carriers and operators must provide the vessel 
name, vessel country of registry/flag, International Maritime 
Organization (IMO) number or other official number, voyage number, date 
of arrival/departure, and foreign port where the passengers and crew 
members began/terminate their sea transportation to the United States.
    USCG will collect vessel particulars that are submitted by the 
vessel owner, agent, master, operator, or person in charge of a vessel 
in advance of a vessel's arrival or departure from the U.S. The 
information will be used to perform counterterrorism, law enforcement, 
safety and security queries to identify risks to the vessel or to the 
United States.
    The purpose of the information collection is to assess risk to 
vessels arriving to or departing from a U.S. port and to identify 
vessels that may pose a safety or security risk to the United States.
    The information collection allows USCG to facilitate the effective 
and efficient entry and departure of vessels into and from the U.S. and 
assist the USCG with assigning priorities while conducting maritime 
safety and security missions in accordance with international and U.S. 
regulations.
    NOAD information is maintained for a period of no more than ten 
years or when no longer needed, whichever is longer, from the date of 
collection at which time the data is deleted. Should derogatory 
information be discovered by USCG either through TECS or USCG's own 
sources, such information would be communicated either through USCG's 
MAGNet, the Coast Guard

[[Page 69750]]

Messaging System (CGMS), or other USCG systems.\1\ NOAD data is 
transmitted to the Intelligence Coordination Center (ICC) and stored in 
the CoastWatch Pre-Arrival Processing Program (CP3). NOAD data within 
CP3 is destroyed or deleted when no longer needed for reference, or 
when ten years old, whichever is later.
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    \1\ See http://www.dhs.gov/privacy for PIAs for MAGNet and the 
Law Enforcement Intelligence Database (LEIDB), a system used to 
analyze USCG message traffic.
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    As a result of the biennial review of this system, the purpose and 
the record source categories have been amended to include cargo. Cargo 
has been collected under previous rulemaking but was never included in 
the SORN. Disclosure to consumer reporting agencies category has also 
been added.
    Consistent with DHS' information sharing mission, information 
stored in NOAD may be shared with other DHS components, as well as 
appropriate federal, state, local, Tribal, territorial foreign, or 
international government agencies. This sharing will only occur after 
DHS determines that the receiving component or agency has a need to 
know the information to carry out national security, law enforcement, 
immigration, intelligence, or other functions consistent with the 
routine uses set forth in this system of records notice. This system 
will be included in DHS's inventory of record systems.

II. Privacy Act

    The Privacy Act embodies fair information practice principles in a 
statutory framework governing the means by which the U.S. 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 U.S. citizens and lawful 
permanent residents. As a matter of policy, DHS extends administrative 
Privacy Act protections to all individuals where systems of records 
maintain information on U.S. citizens, lawful permanent residents, and 
visitors. The SANS is not a system of records, but NOAD information 
maintained in the SANS can be removed and used in other systems within 
USCG. Below is the description of the DHS/United States Coast Guard-029 
Notice of Arrival and Departure 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 (OMB) and 
to Congress.
System of Records:
DHS/USCG-029

System name:
    DHS/USCG-029 Notice of Arrival and Departure Information (NOAD).

Security classification:
    Unclassified.

System location:
    NOAD information for USCG is collected within the Ship Arrival 
Notification System (SANS) located at USCG Operations Systems Center in 
Kearneysville, WV. NOAD records may be maintained in the SANS, or at 
computer terminals located at USCG Headquarters, headquarters units, 
area offices, sector offices, sector sub-unit offices, and other 
locations where USCG authorized personnel may be posted to facilitate 
DHS' mission.

Categories of individuals covered by the system:
    Categories of individuals covered by this notice consist of crew 
members who arrive and depart the U.S. by sea and individuals 
associated with a vessel and whose information is submitted as part of 
a notice of arrival or notice of departure, including but not limited 
to vessel owners, operators, charterers, reporting parties, 24-hour 
contacts, company security officers and persons in addition to crew who 
arrive and depart the U.S. by sea.

Categories of records in the system:
     Records on vessels includes: name of vessel; name of 
registered owner; country of registry; call sign; IMO number or, if a 
vessel does not have an IMO number the official number; name of the 
operator; name of charterer; name of classification society.
     Records on arrival information pertaining to the vessel 
includes: names of last five foreign ports or places visited by the 
vessel; dates of arrival and departure for last five foreign ports or 
places visited; for each port or place of the U.S. to be visited, the 
name of the receiving facility, the port or place; for the port or 
place of the U.S. the estimated date and time of arrival; for the port 
or place in the U.S. the estimated date and time of departure; the 
location (port or place and country) or position (latitude and 
longitude or waterway and mile marker) of the vessel at the time of 
reporting; the name and telephone number of a 24-hour point of contact 
(POC).
     Records on departure information as it pertains to the 
voyage includes: the name of departing port or waterways of the U.S., 
the estimated date and time of departure; next port or place of call 
(including foreign), the estimated date and time of arrival; the name 
and telephone number of a 24-hour POC.
     Records on crewmembers include: full name; date of birth; 
nationality; identification type (for example, passport, U.S. Alien 
Registration Card, U.S. Merchant Mariner Document, foreign mariner 
document, government issued picture ID (Canada), or government-issued 
picture ID (U.S.), number, issuing country, issue date, expiration 
date); position or duties on the vessel; where the crewmember embarked 
(list port or place and country); where the crewmember will disembark.
     Records for each individual onboard in addition to crew 
include: full name; date of birth; nationality; identification type 
(for example: passport, U.S. alien registration card, government-issued 
picture ID (Canada), government-issued picture ID (U.S.), number, 
issuing country, issue date, expiration date); U.S. address 
information; and from where the person embarked (list port or place and 
country).
     Records related to cargo onboard the vessel include: a 
general description of cargo other than Certain Dangerous Cargo (CDC) 
onboard the vessel (e.g., grain, container, oil, etc.); name of each 
CDC carried, including United Nations (UN) number, if applicable; and 
amount of each CDC carried.
     Records regarding the operational condition of equipment 
required by 33 CFR part 164; the date of issuance for the company's 
document of compliance certificate; the date of issuance of the 
vessel's safety management certificate; the name of the flag 
administration, or recognized organization(s) representing the vessel 
flag administration, that issued those certificates.

Authority for maintenance of the system:
    5 U.S.C. 301; 14 U.S.C. 632; 33 U.S.C. 1223, 46 U.S.C. 3717; 46 
U.S.C. 12501; Federal Records Act of 1950, Pub. L. 90-620; The Maritime 
Transportation Act of 2002, Pub. L. 107-295; The Homeland Security Act 
of 2002, Pub. L. 107-296; 33 CFR part 160, 36 CFR chapter XII.

Purpose(s):
    The purpose of this system is to maintain NOAD information to 
screen individuals and cargo associated with

[[Page 69751]]

vessels entering or departing U.S. waterways for maritime safety, 
maritime security, maritime law enforcement, marine environmental 
protection, and other related purposes.

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 U.S. Department of Justice (DOJ) (including U.S. Attorney 
offices) or other federal agency conducting litigation or in 
proceedings before any court, adjudicative, or administrative body, 
when it is necessary to the litigation and one of the following is a 
party to the litigation or has an interest in such litigation: (1) DHS, 
or (2) any employee of DHS in his/her official capacity, or (3) any 
employee of DHS in his/her individual capacity where DOJ or DHS has 
agreed to represent said employee, or (4) the U.S. or any agency 
thereof;
    B. To a Congressional office, for 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 or other 
federal government agencies pursuant to records management inspections 
being conducted under the authority of 44 U.S.C. 2904 and 2906.
    D. To an agency, organization, or individual for the purposes of 
performing an 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 a suspected or confirmed 
compromise there is a risk of harm to economic or property interests, 
identity theft or fraud, or harm to the security or integrity of this 
system or other systems or programs (whether maintained by DHS or 
another agency or entity) or harm to the individual 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, grantees, experts, consultants, and others 
performing or working on a contract, service, grant, cooperative 
agreement, or other assignment for the federal government, when 
necessary to accomplish an agency function related to this system of 
records, in compliance with the Privacy Act of 1974, as amended;
    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, where a record, either 
on its face or in conjunction with other information, indicates a 
violation or potential violation of law, which includes criminal, 
civil, or regulatory violations and such disclosure is proper and 
consistent with the official duties of the person making the 
disclosure;
    H. To federal and foreign government intelligence or 
counterterrorism agencies or components where USCG becomes aware of an 
indication of a threat or potential threat to national or international 
security, or where such use is to assist in anti-terrorism efforts and 
disclosure is appropriate to the proper performance of the official 
duties of the person making the disclosure.
    I. To an organization or individual 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, to the extent the information is 
relevant to the protection of life, property, or other vital interests 
of a data subject and disclosure is proper and consistent with the 
official duties of the person making the disclosure;
    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 quarantined 
disease or for combating 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, settlement 
negotiations, 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 an appropriate federal, state, local, Tribal, territorial, 
foreign, or international agency, if the information is relevant and 
necessary 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 and necessary 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 and when 
disclosure is appropriate to the proper performance of the official 
duties of the person making the request;
    N. To appropriate federal, state, local, Tribal, or foreign 
governmental agencies or multilateral governmental organizations where 
USCG is aware of a need to utilize relevant data for purposes of 
testing new technology and systems designed to enhance border security 
or identify other violations of law.

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    NOAD information is stored electronically in the SANS located at 
USCG Operations Systems Center in Kearneysville, WV. USCG uses an 
alternative storage facility for the SANS historical logs and system 
backups. Derivative NOAD system data may be stored on USCG Standard 
Workstation III computers or USCG unit servers located at USCG 
Headquarters, headquarters units, area offices, sector offices, sector 
sub-unit offices, and other locations where USCG authorized personnel 
may be posted to facilitate DHS' mission.

Retrievability:
    NOAD information maintained in the SANS is not retrievable by name 
or other unique personal identifier. NOAD information is extracted from 
the SANS by vessel and then retrieved by name,

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passport number, or other unique personal identifier.

Safeguards:
    NOAD data in the SANS is safeguarded in accordance with applicable 
laws, rules, and policies. All records are protected from unauthorized 
access through appropriate administrative, physical, and technical 
safeguards. These safeguards include role-based access provisions, 
restricting access to authorized personnel who have a need-to-know, 
using locks, and password protection identification features. USCG file 
areas are locked after normal duty hours and the facilities are 
protected from the outside by security personnel.
    The system manager, in addition, has the capability to maintain 
system back-ups for the purpose of supporting continuity of operations 
and the discrete need to isolate and copy specific data access 
transactions for the purpose of conducting security incident 
investigations.
    All communication links with the USCG datacenter are encrypted. The 
databases are Certified and Accredited in accordance with the 
requirements of the Federal Information Security Management Act 
(FISMA).

Retention and disposal:
    In accordance with NARA Disposition Authority number N1-026-05-11, 
NOAD information on vessels and individuals maintained in the SANS is 
destroyed or deleted when no longer needed for reference, or after ten 
years old, whichever is later. Why does this seem much more general 
than other retention schedules? Is this consistent with other 
discussions of retention?
    Outputs, which include ad-hoc reports generated for local and 
immediate use to provide a variety of interested parties, for example, 
Captain of the Port and marine safety offices, sea marshals, Customs 
and Border Patrol, Immigration and Customs Enforcement with the 
necessary information to set up security zones, scheduling boarding and 
inspections activities, actions for non-compliance with regulations, 
and other activities in support of USCG's mission to provide for safety 
and security of U.S. ports, will be deleted after five years if they do 
not constitute a permanent record according to NARA.

System Manager and address:
    Commandant, USCG-26, United States Coast Guard Headquarters, 2100 
2nd Street SW., Washington, DC 20593-0001.

Notification procedure:
    The Secretary of Homeland Security has exempted this system from 
the notification, access, and amendment procedures of the Privacy Act 
because it is a law enforcement system. However, DHS/USCG will consider 
individual requests to determine whether or not information may be 
released. Thus, to determine whether this system contains records 
relating to you, write to the System Manager identified above. Your 
written request should include your name and mailing address. You may 
also provide any additional information that will assist in determining 
if there is a record relating to you if applicable, such as your 
Merchant Mariner License or document number, the name and identifying 
number (documentation number, state registration number, IMO number, 
etc.) of any vessel with which you have been associated and the name 
and address of any facility (including platforms, deep water ports, 
marinas, or terminals) with which you have been associated. The request 
must be signed by the individual, or his/her legal representative, and 
must be notarized to certify the identity of the requesting individual 
pursuant to 28 U.S.C. 1746 (unsworn declarations under penalty of 
perjury). Submit a written request identifying the record system and 
the category and types of records sought to the Executive Agent. 
Request can also be submitted via the FOI/Privacy Acts. See http://www.uscg.mil/foia/ for additional information.

Record access procedures:
    Write to the System Manager at the address given above in 
accordance with the Notification Procedure.'' Provide your full name 
and a description of the information you seek, including the time frame 
during which the record(s) may have been generated. Individuals 
requesting access to their own records must comply with DHS's Privacy 
Act regulation on verification of identity (6 CFR 5.21(d)). Further 
information may also be found at http://www.dhs.gov/foia or at http://www.uscg.mil/foia/.

Contesting record procedures:
    See ``Notification'' procedures above.

Record source categories:
    The system contains data received from vessel carriers and 
operators regarding passengers, crewmembers, and cargo which arrive in, 
depart from, transit through the U.S. on a vessel carrier covered by 
notice of arrival and departure regulations.

Exemptions claimed for the system:
    This system, however, may contain records or information recompiled 
from or created from information contained in other systems of records, 
which are exempt from certain provisions of the Privacy Act. For these 
records or information only, in accordance with 5 U.S.C. 552a(j)(2), 
(k)(1), and (k)(2), DHS will also claim the original exemptions for 
these records or information from subsections (c)(3) and (4); (d)(1), 
(2), (3), and (4); (e)(1), (2), (3), (4)(G) through (I), (5), and (8); 
(f), and (g) of the Privacy Act of 1974, as amended, as necessary and 
appropriate to protect such information.

    Dated: October 13, 2011.
Mary Ellen Callahan,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2011-28975 Filed 11-8-11; 8:45 am]
BILLING CODE 9110-04-P