[Federal Register Volume 80, Number 170 (Wednesday, September 2, 2015)]
[Proposed Rules]
[Pages 53019-53021]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-21674]
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Proposed Rules
Federal Register
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This section of the FEDERAL REGISTER contains notices to the public of
the proposed issuance of rules and regulations. The purpose of these
notices is to give interested persons an opportunity to participate in
the rule making prior to the adoption of the final rules.
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Federal Register / Vol. 80, No. 170 / Wednesday, September 2, 2015 /
Proposed Rules
[[Page 53019]]
DEPARTMENT OF HOMELAND SECURITY
Office of the Secretary
6 CFR Part 5
[Docket No. DHS-2015-0053]
Privacy Act of 1974: Implementation of Exemptions; Department of
Homeland Security U.S. Customs and Border Protection--DHS/CBP-020
Export Information System (EIS) System of Records System of Records
AGENCY: Privacy Office, Department of Homeland Security.
ACTION: Notice of proposed rulemaking.
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SUMMARY: The Department of Homeland Security is giving concurrent
notice for the newly established ``Department of Homeland Security/U.S.
Customs and Border Protection--DHS/CBP-020, Export Information System,
System of Records'' and this proposed rulemaking. This system of
records will collect and maintain records on cargo exported from the
United States, as well as information pertaining to the filer,
transmitter, exporter, U.S. Principal Party in Interest (USPPI),
freight forwarder, shipper, consignee, other U.S. authorized agent
filing for the USPPI, and individuals related to the specific cargo
that is the subject of the export transaction. In accordance with the
Privacy Act of 1974 and this proposed rulemaking, the Department of
Homeland Security concurrently proposes to exempt portions of the
system of records from one or more provisions of the Privacy Act
because of criminal, civil, and administrative enforcement
requirements.
DATES: Comments must be received on or before October 2, 2015.
ADDRESSES: You may submit comments, identified by docket number DHS-
2015-0053, 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.
Instructions: All submissions received must include the agency name
and docket number for this notice. 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:
John Connors (202-344-1610), CBP Privacy Officer, U.S. Customs and
Border Protection, Department of Homeland Security, Washington, DC
20229. For privacy issues please contact: Karen L. Neuman, (202-343-
1717), Chief Privacy Officer, Privacy Office, 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), U.S. Customs and Border
Protection (CBP) proposes to establish a new DHS system of records
titled, ``DHS/CBP-020 Export Information System (EIS) System of
Records.'' The system of records is used by DHS/CBP to collect, use,
and maintain paper and electronic records required to track, control,
and process cargo exported from the United States. EIS allows CBP to
enhance national security, enforce U.S. law, and facilitate legitimate
international trade.
DHS is issuing this Notice of Proposed Rulemaking to exempt this
system of records from certain provisions of the Privacy Act. This
system will be included in DHS's inventory of record systems. Elsewhere
in the Federal Register, CBP is publishing a system of records notice
(SORN) for EIS because the exporting community must report export data
that contains personally identifiable information (PII) to CBP.
Subsection (a) of Section 343 of the Trade Act of 2002 (19 U.S.C.
2071) mandates that the Secretary of Homeland Security (formerly the
Secretary of Treasury) collect cargo information ``through an
electronic data interchange system,'' prior to the departure of the
cargo from the United States by any mode of commercial transportation
(see 19 U.S.C. 2071 note.) Pursuant to statute, CBP promulgated a
regulation requiring pre-departure filing of electronic information to
allow CBP to examine the data before cargo leaves the United States
(see Electronic Information for Outward Cargo Required in Advance of
Departure (19 CFR 192.14)). CBP required exporters to provide
electronic cargo information through the Automated Export System (AES)
to avoid redundancy as specifically mandated by Congress (see Mandatory
Pre-Departure Filing of Export Cargo Information Through the Automated
Export System, 73 FR 32466 (June 9, 2008)).
To comply with the regulation, exporters must file the Electronic
Export Information (EEI), formerly the Shipper's Export Declaration
(SED) \1\ when the value of the commodity classified under each
individual Schedule B number is over $2,500 or if a validated export
license is required to export the commodity. The exporter is
responsible for preparing the EEI and the carrier files it with CBP
through the AES or AES Direct (operated by the U.S. Census Bureau).
Cargo information collected by CBP includes PII such as a shipper's
name, address, and Taxpayer Identification Number (TIN). According to
the U.S. Census Bureau, in a standard export transaction, it is the
U.S. Principal Party In Interest's (USPPI) responsibility to prepare
the EEI. However, the USPPI can give the freight forwarder a power of
attorney (POA) or written statement (WA) authorizing them to prepare
and file the EEI on their behalf. In a routed export transaction,
however, the Foreign Principal Party in Interest (FPPI) must provide a
POA or WA to prepare the EEI to either the USPPI or a U.S. Authorized
Agent.
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\1\ 13 U.S.C. 301 (The Census Bureau root authority to collect
the SED, now EEI); pursuant to section 303, CBP (then U.S. Customs
Service, Dept. of Treasury) is required to develop an automated
system for collecting this export data. Through title 13, the Census
Bureau holds stewardship of export data. Under the Trade Act of 2002
(19 U.S.C. 2071 note), CBP is required to collect an export manifest
containing a declaration identifying the parties to the transaction,
a physical description of the commodity, its quantity, mode of
conveyance, and ports of origin and destination. Through title 19,
CBP, similarly, holds stewardship of export data.
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[[Page 53020]]
The Internal Transaction Number (ITN) or exemption citation must be
provided by the EEI filer to the carrier when the goods are presented
for export. The carrier is responsible for providing the ITN or
exemption citation to CBP. CBP Officers will verify that the ITN or
exemption citations clearly stated on export documents and provided to
the carrier(s) within the prescribed timeframes. The procedures for
filing vary by cargo type (vessel, truck, air, or rail). The timeframes
for filing varies according to the method of transportation for pre-
departure filing (State Department United States Munitions List (USML)
shipments, and non-USML shipments).
DHS/CBP is publishing this system of records notice to provide
notice of the records maintained by CBP concerning individuals who
participate in exporting goods from the United States. CBP previously
published a Privacy Impact Assessment (PIA) for EIS last year.\2\
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\2\ http://www.dhs.gov/publication/export-information-system-eis.
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Consistent with DHS's information-sharing mission, information
stored in the DHS/CBP-020 EIS System of Records may be shared with
other DHS components that have a need to know the information to carry
out their national security, law enforcement, immigration,
intelligence, or other homeland security functions. In addition,
information may be shared with appropriate federal, state, local,
tribal, territorial, foreign, or international government agencies or
other parties consistent with the routine uses set forth in this SORN.
In particular, information may be shared with the Department of
Commerce, Bureau of Industry and Science, and the Department of State,
Office of Defense Trade Controls, relating to compliance and
enforcement of licenses issued by these respective agencies concerning
the controlled nature or sensitive technology present in the exported
commodities (e.g., certain central processing unit designs, weapons
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 personally
identifiable information. 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 the 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 where systems of records maintain information on U.S. citizens,
lawful permanent residents, and non-immigrant aliens.
The Privacy Act allows government agencies to exempt certain
records from the access and amendment provisions. If an agency claims
an exemption, however, it must issue a Notice of Proposed Rulemaking to
make clear to the public the reasons why a particular exemption is
claimed.
DHS is claiming exemptions from certain requirements of the Privacy
Act for DHS/CBP-020 Export Information System, System of Records.
No exemption shall be asserted with respect to information
maintained in the system as it relates to data submitted by or on
behalf of a person who travels from the United States, nor shall an
exemption be asserted with respect to the resulting determination
(authorized to travel, not authorized to travel, pending).
Some information in DHS/CBP-020 EIS System of Records relates to
official DHS national security, law enforcement, and intelligence
activities. These exemptions are needed to protect information relating
to DHS activities from disclosure to subjects or others related to
these activities. Specifically, the exemptions are required for
information pertaining to the accounting of disclosures made from this
system to other law enforcement or intelligence agencies (federal,
state, local, foreign, international, or tribal) in accordance with the
published routine uses or statutory basis for disclosure pursuant to 5
U.S.C. 552a(b). The exemptions will preclude subjects from frustrating
official national security, law enforcement, or intelligence processes.
Disclosure of information to the subject of the inquiry could also
permit the subject to avoid detection or apprehension.
In appropriate circumstances, where compliance would not appear to
interfere with or adversely affect the law enforcement purposes of this
system and the overall law enforcement process, the applicable
exemptions may be waived on a case by case basis.
A notice of system of records for DHS/CBP-020 EIS System of Records
is also published in this issue of the Federal Register.
List of Subjects in 6 CFR Part 5
Freedom of information; Privacy.
For the reasons stated in the preamble, DHS proposes to amend
chapter I of title 6, Code of Federal Regulations, as follows:
PART 5--DISCLOSURE OF RECORDS AND INFORMATION
0
1. The authority citation for part 5 continues to read as follows:
Authority: Pub. L. 107-296, 116 Stat. 2135; (6 U.S.C. 101 et
seq.); 5 U.S.C. 301. Subpart A also issued under 5 U.S.C. 552.
Subpart B also issued under 5 U.S.C. 552a.
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2. Add, at the end of appendix C to part 5, paragraph 74 to read as
follows:
Appendix C to Part 5--DHS Systems of Records Exempt From the Privacy
Act.
* * * * *
74. DHS/CBP-020 Export Information System (EIS). A portion of
the following system of records is exempt from 5 U.S.C. 552a(c)(3),
(e)(8), and (g)(1) pursuant to 5 U.S.C. 552a(j)(2), and from 5
U.S.C. 552a(c)(3) pursuant to 5 U.S.C. 552a(k)(2). Further, no
exemption shall be asserted with respect to information maintained
in the system as it relates to data submitted by or on behalf of a
person who travels from the United States and crosses the border,
nor shall an exemption be asserted with respect to the resulting
determination (approval or denial). After conferring with the
appropriate component or agency, DHS may waive applicable exemptions
in appropriate circumstances and where it would not appear to
interfere with or adversely affect the law enforcement purposes of
the systems from which the information is recompiled or in which it
is contained. Exemptions from the above particular subsections are
justified, on a case-by-case basis to be determined at the time a
request is made, when information in this system of records is may
impede a law enforcement, intelligence activities and national
security investigation:
(a) From subsection (c)(3) (Accounting for Disclosures) because
making available to a record subject the accounting of disclosures
from records concerning him or her would specifically reveal any
investigative interest in the individual. Revealing this information
could reasonably be expected to compromise ongoing efforts to
investigate a violation of U.S. law, including investigations of a
known or suspected terrorist, by notifying the record subject that
he or she is under investigation. This information could also permit
the record subject to take measures to impede the investigation,
e.g., destroy evidence, intimidate potential witnesses, or flee the
area to avoid or impede the investigation.
(b) From subsection (e)(8) (Notice on Individuals) because to
require individual notice of disclosure of information due to
compulsory legal process would pose an impossible administrative
burden on DHS and other agencies and could alert the subjects of
counterterrorism or law enforcement investigations to the fact of
[[Page 53021]]
those investigations when not previously known.
(c) From subsection (g)(1) (Civil Remedies) to the extent that
the system is exempt from other specific subsections of the Privacy
Act.
Dated: August 19, 2015.
Karen L. Neuman,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2015-21674 Filed 9-1-15; 8:45 am]
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