[Federal Register Volume 80, Number 228 (Friday, November 27, 2015)]
[Notices]
[Pages 74116-74120]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-30303]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2015-0078]


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

AGENCY: Department of Homeland Security, Privacy Office.

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 a current Department 
of Homeland Security 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 United States 
Coast Guard (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 complying with maritime safety and 
security regulations. As part of the Department's ongoing effort to 
promote transparency regarding its collection of information, the Coast 
Guard is updating this system of records notice to update the (1) 
authority for maintenance of the system, (2) security classification, 
(3) system location, (4) purpose(s), (5) categories of individuals, (6) 
categories of records, (7) routine uses, (8) retention and disposal, 
(9) notification procedures, and (10) system manager and address. 
Additionally, this notice includes non-substantive changes to simplify 
the formatting and text of the previously published notice.
    The Coast Guard is also issuing a Notice of Proposed Rulemaking 
(NPRM) to clarify the exemptions for this system concurrently with this 
notice. This updated system will be included in the Department of 
Homeland Security's inventory of record systems.

DATES: Submit comments on or before December 28, 2015. This updated 
system will be effective December 28, 2015.

ADDRESSES: You may submit comments, identified by docket number DHS-
2015-0078 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: 
Marilyn Scott-Perez, (202) 475-3515, Privacy Officer, Commandant (CG-
61), United States Coast Guard, 2703 Martin Luther King Jr. Ave SE., 
Mail Stop 7710, Washington, DC 20593. 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) United States Coast Guard (USCG) 
proposes to update and reissue a current DHS system of records titled, 
``DHS/USCG-029 Notice of Arrival and Departure (NOAD) System of 
Records.'' The collection and maintenance of this information assists 
DHS/USCG in meeting its statutory obligation to assign priorities while 
conducting maritime safety and security missions in accordance with 
international and U.S. regulations. DHS/USCG is updating this system of 
records to (1) clarify the authority for the maintenance of the system 
to align with the recently published Vessel Requirements for Notices of 
Arrival and Departure, and Automatic Identification System Final Rule 
(January 30, 2015, 80 FR 5281); (2) update the security classification; 
(3) change the system location to clarify that NOAD records may be 
stored on information technology (IT) systems connected to classified 
networks; (4) update the purpose(s) to align with the updated 
authorities for collection, pursuant to the newly issued Vessel 
Requirements for Notices of Arrival and Departure, and Automatic 
Identification System Final Rule and to allow for replication of data 
for analysis and vetting as part of the DHS Data Framework. DHS/USCG is 
also updating the categories of individuals and categories of records 
to clarify that individuals considered ``non-crew'' for the purposes of 
this system may include passenger records, as well as organizations; 
and removing routine use (M) because it is not compatible with the 
original purpose for collection of the records. Further DHS/USCG is 
updating the retention period and disposal standards to reflect that

[[Page 74117]]

records will follow the same retention schedule despite their storage 
in a classified environment; and modify the notification procedures to 
confirm that regardless of record storage on a classified environment, 
DHS/USCG will review all replicated records; and update the system 
manager and mailing address to reflect the new mail stop.
    Consistent with DHS's information sharing mission, information 
stored in this 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 and missions. In addition, DHS/USCG may 
share information with appropriate federal, state, local, tribal, 
territorial, foreign, or international government agencies consistent 
with the routine uses set forth in this system of records notice.
    The Coast Guard is issuing a new Notice of Proposed Rulemaking 
(NPRM) to clarify the exemptions for this system concurrently with this 
notice. 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 individuals when systems of records 
maintain information on U.S. citizens, lawful permanent residents, and 
visitors.
    Below is the description of the DHS/USCG-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 and to 
Congress.

System of Records

    Department of Homeland Security (DHS)/United States Coast Guard 
(USCG)-029
System name:
    DHS/USCG-029 Notice of Arrival and Departure System of Records

Security classification:
    Unclassified. The data may be retained on classified networks but 
this does not change the nature and character of the data until it is 
combined with classified information.

System location:
    The United States Coast Guard (USCG) maintains records in the 
operational system at the USCG Operations Systems Center, 
Kearneysville, West Virginia (WV), and in disaster recovery backup 
systems in other USCG field locations. USCG maintains records 
associated with this function in the Ship Arrival Notification System 
(SANS) operational information technology (IT) system.
    DHS replicates records from the operational IT system and maintains 
them in other IT systems connected on the DHS unclassified and 
classified networks.

Categories of individuals covered by the system:
    Categories of individuals covered by this notice include:
     Crew members who arrive or depart the United States by 
sea; and
     Other individuals or organizations associated with a 
vessel and whose information is submitted as part of a notice of 
arrival or notice of departure, such as vessel owners, operators, 
charterers, reporting parties, 24-hour contacts, company security 
officers, and passengers who arrive and depart the United States by 
sea.

Categories of records in the system:
     Records on vessels include: Name of vessel; name of 
registered owner; country of registry; call sign; International 
Maritime Organization (IMO) number or, if a vessel does not have an IMO 
number the official number; name of the operator; name of charterer; 
and name of classification society.
     Records on arrival information pertaining to the voyage 
include: Names of last five foreign ports or places the vessel visited; 
dates of arrival and departure for last five foreign ports or places it 
visited; for each port or place in the United States the vessel will 
visit, the name of the receiving facility; for the port or place in the 
United States the estimated date and time of arrival; for the port or 
place in the United States 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; and the name and telephone number of a 24-hour point of 
contact (POC). This individual may be a crew or non-crew member.
     Records on departure information pertaining to the voyage 
include: The name of the departing port or waterway of the United 
States; the estimated date and time of departure; next port or place of 
call (including foreign); the estimated date and time of arrival at the 
next port or place of call; and the name and telephone number of a 24-
hour POC.
     Records about crewmembers includes: Full name; date of 
birth; nationality; identification type (e.g., passport, U.S. Alien 
Registration Card, U.S. Merchant Mariner Document, foreign mariner 
document, government-issued picture identification (ID) (Canada) or 
(United States)); identification issue and expiration dates; position 
or duties on the vessel; location where the crewmember embarked (list 
port or place and country); and location where the crewmember will 
disembark.
     Records about ``other individuals associated with a vessel 
and whose information is submitted as part of a notice of arrival or 
notice of departure'' (e.g., passenger information) includes: Full 
name; date of birth; nationality; identification type (e.g., passport, 
U.S. Alien Registration Card, government-issued picture ID); 
identification number, issuing country, issue date, expiration date; 
U.S. address information; and location where the individual 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); 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 Code of Federal Regulations (CFR) part 164 include: The 
date of issuance for the company's document of compliance certificate; 
the date of issuance of the vessel's safety management certificate; and 
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:
    The Secretary of the Department of Homeland Security has delegated 
to the Coast Guard authority from the Ports and Waterways Safety Act 
(33 U.S.C. 1221 et se.). See specifically 33 U.S.C.

[[Page 74118]]

1223(a)(5), 1225, and 1231; 46 U.S.C. 3717; 46 U.S.C. 12501; the 
Maritime Transportation Act of 2002, Pub. L. 107-295; the Homeland 
Security Act of 2002, Public Law 107-296; 33 CFR part 160; and 36 CFR 
chapter XII.

Purpose(s):
    The purpose of this system is to maintain NOAD information to 
improve navigation safety, enhance the Coast Guard's ability to 
identify and track vessels, and heighten the Coast Guard's overall 
situational and maritime domain awareness (MDA), which will enhance 
mariner's navigation safety and the Coast Guard's ability to address 
threats to maritime transportation security.
    DHS maintains a replica of some or all of the NOAD data in 
operational IT systems residing on unclassified and classified DHS 
networks to allow for analysis and vetting consistent with the above 
stated purposes and this published notice.

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 
U.S. 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/her official 
capacity;
    3. Any employee or former employee of DHS in his/her individual 
capacity when DOJ or DHS has agreed to represent the employee; or
    4. The United States or any agency thereof.
    B. To a congressional office from the record of an individual in 
response to an inquiry from that congressional office made at the 
request of the individual to whom the record pertains.
    C. To the National Archives and Records Administration (NARA) or 
General Services Administration pursuant to records management 
inspections being conducted under the authority of 44 U.S.C. 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 an appropriate federal, state, tribal, local, international, 
or foreign law enforcement agency or other appropriate authority 
charged with investigating or prosecuting a violation or enforcing or 
implementing a law, rule, regulation, or order, when a record, either 
on its face or in conjunction with other information, indicates a 
violation or potential violation of law, which includes criminal, 
civil, or regulatory violations and such disclosure is proper and 
consistent with the official duties of the person making the 
disclosure.
    H. To federal and foreign government intelligence or 
counterterrorism agencies or components if USCG becomes aware of an 
indication of a threat or potential threat to national or international 
security, or if 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, foreign or domestic, if 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, territorial, or 
foreign governmental agencies or multilateral governmental 
organizations for the purpose of protecting the vital interests of a 
data subject or other persons, USCG will provide appropriate notice of 
any identified health threat or risk 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;
    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 appropriate federal, state, local, tribal, territorial, or 
foreign governmental agencies or multilateral governmental 
organizations if 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, provided 
disclosure is appropriate in the proper performance of the official 
duties of the person making the disclosure;
    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, when 
disclosure is necessary to preserve confidence in the integrity of DHS, 
or when disclosure is necessary to demonstrate the accountability of 
DHS's officers, employees, or individuals covered by the system, except 
to the extent the Chief Privacy Officer determines that release of the 
specific information in the context of a particular case would 
constitute an unwarranted invasion of personal privacy.

[[Page 74119]]

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 in the operational 
IT system as well as on other IT systems residing on the unclassified 
and classified networks 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.
    USCG stores NOAD information electronically in the Ship Arrival 
Notice System (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 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's mission.

Retrievability:
    USCG retrieves records from the SANS by vessel. Information from 
the retrieved records may then be extracted by name, passport number, 
or other unique personal identifier. NOAD information maintained in the 
SANS operational IT system is not directly retrievable by name or other 
unique personal identifier.
    NOAD data that is replicated on the unclassified and classified DHS 
networks to allow for analysis and vetting consistent with the above 
stated purposes and this published notice may be retrieved by all core 
and extended biographic fields (e.g., full name; date of birth; 
nationality).

Safeguards:
    USCG safeguards NOAD data 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. In addition, 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, whichever is later. Outputs, which include ad-hoc reports 
generated for local and immediate use to provide a variety of 
interested parties with necessary information are deleted after five 
years if they do not constitute a permanent record according to NARA. 
For example, in accordance with this schedule, USCG shares outputs with 
the Captain of the Port and marine safety offices, sea marshals, U.S. 
Customs and Border Protection, U.S. Immigration and Customs Enforcement 
require such information to set up security zones, schedule boarding 
and inspections activities, take 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. Records replicated to IT 
systems residing on the unclassified and classified networks will also 
follow the same retention schedule.

System Manager and address:
    Commandant (CG-26), United States Coast Guard, 2703 Martin Luther 
King Jr. Ave. SE., Mail Stop 7301, Washington, DC 20593-0001.

Notification procedure:
    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 Chief Privacy Officer and USCG's 
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 herself, the individual may submit the 
request to the Chief Privacy Officer and Chief FOIA Officer, Department 
of Homeland Security, Washington, DC 20528-0655.
    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 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;
    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 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.
    In processing requests for access to information in this system, 
the USCG will review not only the records in the operational IT system 
but also the records replicated on IT systems residing on the 
unclassified and classified networks; and provide appropriate access to 
the information based on this notice.

Record access procedures:
    See ``Notification procedure'' above.

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

Record source categories:
    USCG obtains NOAD records from vessel carriers and operators 
regarding passengers, crewmembers, and cargo that arrive in, depart 
from, or transit through the United States on a vessel carrier covered 
by notice of arrival and departure regulations.

Exemptions claimed for the system:
    No exemption shall be asserted with respect to information 
maintained in the

[[Page 74120]]

system that is collected from a person if that person, or his or her 
agent, seeks access or amendment of such information.
    The Privacy Act, however, requires DHS to maintain an accounting of 
the disclosures made pursuant to all routines uses. Disclosing the fact 
that a law enforcement or intelligence agency has sought particular 
records may affect ongoing law enforcement activities. The Secretary of 
Homeland Security, pursuant to 5 U.S.C. 552a(j)(2), exempted this 
system from the following provisions of the Privacy Act: Sections 
(c)(3), (e)(8), and (g) of the Privacy Act of 1974, as amended, as is 
necessary and appropriate to protect this information. Further, DHS has 
exempted section (c)(3) of the Privacy Act of 1974, as amended, 
pursuant to 5 U.S.C. 552a(k)(2) as is necessary and appropriate to 
protect this information.

    Dated: November 16, 2015.
Karen L. Neuman,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2015-30303 Filed 11-25-15; 8:45 am]
BILLING CODE 9110-04-P