[Federal Register Volume 80, Number 228 (Friday, November 27, 2015)]
[Proposed Rules]
[Pages 74018-74020]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-30304]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

6 CFR Part 5

[Docket No. DHS 2015-0079]


Privacy Act of 1974: Implementation of Exemptions; Department of 
Homeland Security/United States Coast Guard-029 Notice of Arrival and 
Departure 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 of an updated and reissued system of records pursuant to the 
Privacy Act of 1974 for the ``Department of Homeland Security/United 
States Coast Guard-029 Notice of Arrival and Departure System of 
Records'' and this proposed rulemaking. In this proposed rulemaking, 
the Department 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 December 28, 2015.

ADDRESSES: You may submit comments, identified by docket number DHS 
2015-0079, 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 document. 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, 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) 
is giving notice of a proposed rulemaking that DHS/USCG intends to 
update its regulations to exempt portions of a system of records from 
certain provisions of the Privacy Act. Specifically, DHS/USCG proposes 
to exempt portions of the ``DHS/USCG-029 Notice of Arrival and 
Departure System of Records'' from one of more provisions of the 
Privacy Act because of criminal, civil, and administrative enforcement 
requirements. DHS/USCG is issuing an updated notice and proposed rule 
for proposed exemptions for these new categories of records pursuant to 
5 U.S.C. 552a(j)(2) and 5 U.S.C. 552 a(k)(2). Furthermore, to the 
extent certain categories of records are ingested from other systems, 
the

[[Page 74019]]

exemptions applicable to the source systems will remain in effect.
    Concurrent with this document, DHS/USCG is updating and reissuing 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. 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; (5) update 
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; (6) remove routine 
use (M) because it is not compatible with the original purpose for 
collection of the records (7) update the retention period and disposal 
standards to reflect that records will follow the same retention 
schedule despite their storage in a classified environment; (8) modify 
the notification procedures to confirm that regardless of record 
storage on a classified environment, DHS/USCG will review all 
replicated records; and (9) update the system manager and mailing 
address to reflect the new mail stop.

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 
individuals where systems of records maintain information on U.S. 
citizens, lawful permanent residents, and visitors.
    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/USCG-029 Notice of Arrival and Departure System of Records. 
Some information in DHS/USCG-029 Notice of Arrival and Departure System 
of Records may be used to support official DHS national security or law 
enforcement 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 protect information relating to DHS law enforcement 
investigations from disclosure to subjects of investigations and others 
who could interfere with investigatory and law enforcement activities. 
The exemptions are required to preclude subjects of these activities 
from frustrating the investigative process; to avoid disclosure of 
investigative techniques; protect the identities and physical safety of 
confidential informants and of law enforcement personnel; ensure DHS's 
and other federal agencies' ability to obtain information from third 
parties and other sources; protect the privacy of third parties; and 
safeguard sensitive information. 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.
    DHS will not assert any exemption with respect to information 
maintained in the system that is collected from a person at the time of 
arrival or departure, if that person, or his or her agent, seeks access 
or amendment of such information. The DHS/USCG-029 Notice of Arrival 
and Departure System of Records Notice 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. Revise the authority citation for part 5 to read as follows:

    Authority:  6 U.S.C. 101 et seq.; Pub. L. 107-296, 116 Stat. 
2135; 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.

0
2. In appendix C to part 5, revise paragraph 34 to read as follows:

Appendix C to Part 5--DHS Systems of Records Exempt From the Privacy 
Act

* * * * *
    34. The DHS/USCG-029 Notice of Arrival and Departure System of 
Records consists of electronic and paper records and will be used by 
DHS and its components. The DHS/USCG-029 Notice of Arrival and 
Departure System of Records is a repository of information held by 
DHS in connection with its several and varied missions and 
functions, including, but not limited to the enforcement of civil 
and criminal laws; investigations, inquiries, and proceedings there 
under. The DHS/USCG-029 Notice of Arrival and Departure System of 
Records contains information that is collected by, on behalf of, in 
support of, or in cooperation with DHS and its components and may 
contain personally identifiable information collected by other 
federal, state, local, tribal, foreign, or international government 
agencies.
    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.
    Exemptions from these particular subsections are justified, on a 
case-by-case

[[Page 74020]]

basis to be determined at the time a request is made, for the 
following reasons:
    (a) From subsection (c)(3) (Accounting for Disclosures) because 
release of the accounting of disclosures could alert the subject of 
an investigation of an actual or potential criminal, civil, or 
regulatory violation to the existence of that investigation and 
reveal investigative interest on the part of DHS as well as the 
recipient agency. Disclosure of the accounting would therefore 
present a serious impediment to law enforcement efforts and/or 
efforts to preserve national security. Disclosure of the accounting 
would also permit the individual who is the subject of a record to 
impede the investigation, to tamper with witnesses or evidence, and 
to avoid detection or apprehension, which would undermine the entire 
investigative process.
    (b) From subsection (e)(8) (Notice on Individuals) because 
compliance would interfere with DHS's ability to obtain, serve, and 
issue subpoenas, warrants, and other law enforcement mechanisms that 
may be filed under seal and could result in disclosure of 
investigative techniques, procedures, and evidence.
    (c) From subsection (g)(1) (Civil Remedies) to the extent that 
the system is exempt from other specific subsections of the Privacy 
Act.
* * * * *

Karen L. Neuman,
Chief Privacy Officer, Department of Homeland Security.

[FR Doc. 2015-30304 Filed 11-25-15; 8:45 a.m.]
 BILLING CODE 9110-04-P