[Federal Register Volume 83, Number 167 (Tuesday, August 28, 2018)]
[Notices]
[Pages 43888-43892]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-18558]


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DEPARTMENT OF HOMELAND SECURITY

[Docket No. DHS-2018-0017]


Privacy Act of 1974; System of Records

AGENCY: Department of Homeland Security, Transportation Security 
Administration.

ACTION: Notice of a modified system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, the Department of 
Homeland Security (DHS) proposes to modify and reissue a current DHS 
system of records titled, ``DHS/Transportation Security Administration-
001 Transportation Security Enforcement Record System System of 
Records.'' This system of records allows DHS/Transportation Security 
Administration (TSA) to collect and maintain records related to the 
TSA's screening of passengers and property, as well as records related 
to the investigation or enforcement of transportation security laws, 
regulations, directives, or Federal, State, local, or international 
law. For example, records relating to an investigation of a security 
incident that occurred during passenger or property screening would be 
covered by this system. DHS is updating this system of records notice 
to cover records relating to the TSA Insider Threat program, modify the 
category of individuals and category of records, reflect an approved 
records retention schedule for records covered by this system, and 
modify two existing routine uses. Additionally, this notice includes 
non-substantive changes to simplify the formatting and text of the 
previously published notice. The existing Privacy Act exemptions for 
this system of records will continue to apply.
    This modified system will be included in DHS's inventory of record 
systems.

DATES: Submit comments on or before September 27, 2018. This modified 
system will be effective upon publication. New or modified routine uses 
for this modified system of records will be effective September 27, 
2018.

ADDRESSES: You may submit comments, identified by docket number DHS-
2018-0017 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: Philip S. Kaplan, 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 DHS-2018-0017. 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: 
Peter Pietra, [email protected], Privacy Officer, Transportation 
Security Administration, 701 South 12th Street, Arlington, VA 20598-
6036. For privacy questions, please contact: Philip S. Kaplan, 
[email protected], (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, DHS/TSA 
proposes to modify and reissue a current DHS system of records notice 
(SORN) titled, ``DHS/TSA-001 Transportation Security Enforcement Record 
System System of Records.''
    This modification more clearly identifies that this SORN contains 
records relating to the TSA Insider Threat program. In furtherance of 
TSA's responsibility for security in all modes of transportation and to 
ensure the adequacy of security measures at airports and other 
transportation facilities pursuant to its establishing legislation, the 
Aviation and Transportation Security Act (ATSA), Public Law 107-71, 49 
U.S.C. 114(d) and (f), provides authority for TSA to establish its 
Insider Threat program in order to deter, detect, and mitigate insider 
threats to TSA's personnel, operations, information, critical 
infrastructure, and transportation sectors subject to TSA authorities. 
For purposes of this TSA system of records, ``insider threats'' are, or 
present themselves to be, current or former transportation sector 
workers (including both TSA and private sector personnel) and 
individuals employed or otherwise engaged in providing services 
requiring authorized access to transportation facilities, assets, or 
infrastructure who intend to cause harm to the transportation domain.
    This system of records is being modified to: Cover records relating 
to the TSA's Insider Threat program; include a new category of 
individuals and category of records; reflect an approved records 
retention schedules for records covered by this system; and change 
existing routine uses. The category of individuals covered under this 
SORN will be modified to reflect that the system may contain 
information on both current and former owners, operators, and employees 
in all modes of transportation for which DHS/TSA has security-related 
duties; and will also cover individuals who have access to Sensitive 
Security Information (SSI) and are ``covered persons'' under the 
Sensitive Security Information regulation, 49 CFR part 1520.7. The 
category of records in this SORN will be modified to include place of 
birth; Government-issued identification; citizenship; results of any 
law enforcement, criminal history record, or open source checks; 
employment information and work history; and security and access 
clearances and background investigation information. This SORN also 
reflects that the applicable records retention schedules are approved 
by the National Archives and Records Administration (NARA). This SORN 
modifies routine uses ``E'' and ``F'' to be in conformity with Office 
of Management and Budget Memorandum M-17-12. This SORN

[[Page 43889]]

also combines two previous routines uses into one routine use ``K'' 
regarding the sharing of information relevant and necessary to a 
requesting agency's decision concerning the hiring or retention of an 
individual or issuance of a credential or clearance. Additionally, this 
notice includes non-substantive changes to simplify the formatting and 
text of the previously published notice.
    Consistent with DHS's information sharing mission, information 
covered by DHS/TSA-001 Transportation Security Enforcement Record 
System 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, TSA may share information with appropriate Federal, State, 
local, tribal, territorial, foreign, or international government 
agencies consistent with any applicable laws, rules, regulations, and 
information sharing and access agreements or arrangements, and as 
permitted pursuant to an applicable Privacy Act authorized disclosure, 
including routine uses set forth in this system of records notice.
    As stated above, this modified system of records will rely on an 
existing rule for exempting TSA from certain provisions of the Privacy 
Act pursuant to 5 U.S.C. secs. 552a(j)(2), (k)(1), and (k)(2). These 
exemptions are reflected in the final rule published on August 4, 2006, 
in 71 FR 44223. This modified 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. Additionally, the Judicial Redress Act (JRA) 
provides covered persons with a statutory right to make requests for 
access and amendment to covered records, as defined by the JRA, along 
with judicial review for denials of such requests. In addition, the JRA 
prohibits disclosures of covered records, except as otherwise permitted 
by the Privacy Act.
    Below is the description of the DHS/TSA-001 Transportation Security 
Enforcement Record 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 NAME AND NUMBER
    Department of Homeland Security (DHS) Transportation Security 
Administration (TSA)-001 Transportation Security Enforcement Record 
System System of Records.

SECURITY CLASSIFICATION:
    Classified, sensitive.

SYSTEM LOCATION:
    Records are maintained at the TSA Headquarters offices, 601 South 
12th Street, Arlington, Virginia, 20598 and at various TSA field 
offices.

SYSTEM MANAGER(S):
    Information Systems Program Manager, [email protected], 
Office of Information Technology, TSA Headquarters, TSA-11, 601 South 
12th Street, Arlington, VA 20598.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    49 U.S.C. 114(d), 44901, 44903, 44916, 46101, and 46301.

PURPOSE(S) OF THE SYSTEM:
    The purpose of this system is to maintain an enforcement and 
inspections system for all modes of transportation for which TSA has 
security-related duties and to maintain records related to the 
investigation or prosecution of violations or potential violations of 
Federal, State, local, or international criminal law. They may be used, 
generally, to identify, review, analyze, investigate, and prosecute 
violations or potential violations of transportation security laws, 
regulations, and directives or other laws as well as to identify and 
address potential threats to transportation security. They may also be 
used to record the details of TSA security-related activity, such as 
passenger or property screening.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Current and former owners, operators, and employees, including TSA 
personnel, in all modes of transportation for which DHS/TSA has 
security-related duties; individuals reported or investigated as 
insider threat risks (that is, individuals who are, or present 
themselves to be, current or former transportation sector workers 
(including both TSA and private sector personnel) and individuals 
employed or otherwise engaged in providing services requiring 
authorized access to transportation facilities, assets, or 
infrastructure who intend to cause harm to the transportation domain); 
individuals who have access to SSI and are ``covered persons'' under 
the Sensitive Security Information regulation, 49 CFR part 1520; 
witnesses and other third parties who provide information; individuals 
undergoing screening of their person (including identity verification) 
or property; individuals against whom investigative, administrative, or 
civil or criminal enforcement action has been initiated for violation 
of certain TSA regulations or security directives, relevant provisions 
of 49 U.S.C. 449, or other laws; and individuals who communicate 
security incidents, potential security incidents, or otherwise 
suspicious activities.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Information related to the screening of property and the security 
screening and identity verification of individuals, including 
identification media and identifying information such as:
     Individual's name;
     Address;
     Date and place of birth;
     Gender;
     Contact information (e.g., email addresses, phone 
numbers);
     Social Security number;
     Government-issued identification (e.g., Passport 
information, Driver's License number, Alien Registration number);
     Citizenship;
     Fingerprints or other biometric identifiers;
     Physical description, photographs or video;
     Travel information or boarding passes;
     Results of any law enforcement, criminal history record, 
intelligence, immigration, public records or open source checks;
     Military status (branch, traveling on orders);
     Employment information and work history;
     Security and access clearances and background 
investigations information.
     TSA Information technology network activity information; 
and
     Information from other agencies (e.g., FBI, Financial 
Crimes Enforcement Network (FinCEN)).
    Additionally, information related to the investigation or 
prosecution of any

[[Page 43890]]

alleged violation; place of violation; Enforcement Investigative 
Reports (EIR); security incident reports, screening reports, 
suspicious-activity reports, and other incident or investigative 
reports; statements of alleged violators, witnesses, and other third 
parties who provide information; proposed penalty; investigators' 
analyses and work papers; enforcement actions taken; findings; 
documentation of physical evidence; correspondence of TSA employees and 
others in enforcement cases; pleadings and other court filings; legal 
opinions and attorney work papers; and information obtained from 
various law enforcement or prosecuting authorities relating to the 
enforcement of laws or regulations.

RECORD SOURCE CATEGORIES:
    Records are obtained from the alleged violator, TSA employees or 
contractors, witnesses to the alleged violation or events surrounding 
the alleged violation, other third parties who provided information 
regarding the alleged violation, State and local agencies, and other 
Federal agencies.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND 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 there has been a breach of this system 
of records; and (2) DHS has determined that as a result of the 
suspected or confirmed breach, there is a risk of harm to individuals, 
harm to DHS (including its information systems, programs, and 
operations), the Federal Government, or national security; 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 breach or to prevent, minimize, or remedy such 
harm.
    F. To another Federal agency or Federal entity when DHS determines 
that information from this system of records is reasonably necessary to 
assist another Federal recipient agency or entity in (1) responding to 
a suspected or confirmed breach or (2) preventing, minimizing, or 
remedying the risk of harm to individuals, the recipient agency or 
entity (including its information systems, programs, and operations), 
the Federal Government, or national security, resulting from a 
suspected or confirmed breach.
    G. 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.
    H. 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.
    I. To the United States Department of Transportation, its operating 
administrations, or the appropriate State or local agency, when 
relevant or necessary to:
    1. Ensure safety and security in any mode of transportation;
    2. Enforce safety- and security-related regulations and 
requirements;
    3. Assess and distribute intelligence or law enforcement 
information related to transportation security;
    4. Assess and respond to threats to transportation;
    5. Oversee the implementation and ensure the adequacy of security 
measures at airports and other transportation facilities;
    6. Plan and coordinate any actions or activities that may affect 
transportation safety and security or the operations of transportation 
operators; or
    7. Issue, maintain, or renew a license, certificate, contract, 
grant, or other benefit.
    J. To the appropriate Federal, State, local, tribal, territorial, 
foreign, or international agency, regarding individuals who pose, or 
are suspected of posing, a risk to transportation or national security.
    K. To federal, state, local, tribal, territorial, foreign, or 
international agencies, if the information is relevant and necessary to 
a requesting agency's decision concerning the hiring or retention of an 
individual, or the issuance, grant, renewal, suspension, or revocation 
of a security clearance, license, contract, grant, or other benefit; or 
to the extent necessary to obtain information 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.
    L. To international and foreign governmental authorities in 
accordance with law and formal or informal international agreement.
    M. To third parties during the course of an investigation into any 
matter before DHS/TSA to the extent necessary to obtain information 
pertinent to the investigation.
    N. To airport operators, aircraft operators, and maritime and 
surface transportation operators, indirect air carriers, and other 
facility operators about individuals who are their employees, job 
applicants, or contractors, or persons to whom they issue 
identification credentials or grant clearances to secured areas in 
transportation facilities when relevant to such employment, 
application, contract, or the issuance of such credentials or 
clearances.
    O. To any agency or instrumentality charged under applicable law 
with the protection of the public health or safety

[[Page 43891]]

under circumstances in which the public health or safety is at risk.
    P. With respect to members of the armed forces who may have 
violated transportation security or safety requirements and laws, to 
disclose the individual's identifying information and details of their 
travel on the date of the incident in question to the appropriate 
branch of the armed forces to the extent necessary to determine whether 
the individual was performing official duties at the time of the 
incident. Members of the armed forces include active duty and reserve 
members, and members of the National Guard. This routine use is 
intended to permit TSA to determine whether the potential violation 
must be referred to the appropriate branch of the armed forces for 
action pursuant to 49 U.S.C. 46301(h).
    Q. To the DOJ, U.S. Attorney's Office, or other Federal agencies 
for further collection action on any delinquent debt when circumstances 
warrant.
    R. To a debt collection agency for the purpose of debt collection.
    S. To airport operators, aircraft operators, air carriers, 
maritime, and surface transportation operators, indirect air carriers, 
or other facility operators when appropriate to address a threat or 
potential threat to transportation security or national security, or 
when required for administrative purposes related to the effective and 
efficient administration of transportation security laws.
    T. To a former employee of DHS, in accordance with applicable 
regulations, for purposes of responding to an official inquiry by a 
Federal, State, or local government entity or professional licensing 
authority; or facilitating communications with a former employee that 
may be necessary for personnel-related or other official purposes where 
the Department requires information or consultation assistance from the 
former employee regarding a matter within that person's former area of 
responsibility.
    U. To a court, magistrate, or administrative tribunal when a 
Federal agency is a party to the litigation or administrative 
proceeding 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 connection with criminal 
law proceedings.
    V. To the public, on the TSA website at www.tsa.gov, final agency 
and Administrative Law Judge decisions in criminal enforcement and 
other administrative matters, except that personal information about 
individuals will be deleted if release of that information would 
constitute an unwarranted invasion of privacy, including but not 
limited to medical information.
    W. 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 a clearly unwarranted invasion of personal privacy.
    X. To the appropriate Federal, State, local, tribal, territorial, 
foreign, or international agency responsible for investigating, 
prosecuting, enforcing, or implementing a statute, rule, regulation, 
order, license, or treaty, when DHS/TSA determines that the information 
would assist in the enforcement of a civil or criminal law.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    DHS/TSA stores records in this system electronically or on paper in 
secure facilities in a locked drawer behind a locked door. The records 
may be stored on magnetic disc, tape, and digital media.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    DHS/TSA retrieves records by name, address, Social Security number, 
administrative action or legal enforcement numbers, or other assigned 
identifier of the individual on whom the records are maintained.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Retention and disposal varies depending on the type of record. 
Passenger, baggage, and cargo screening incident reports that are not 
referred for investigation are maintained for three years from the end 
of the fiscal year in which they were created, in accordance with NARA 
authority, N1-560-12-002. Security incident reports are cut off at the 
end of involvement and destroyed four years after cut-off (N1-560-03-
6). Items that are referred for investigation within TSA or to an 
outside agency are destroyed 25 years after the case is closed (N1-560-
03-6). Insider Threat information and inquiry records are destroyed no 
sooner than five years after an inquiry is opened and 25 years after a 
case is closed, in accordance with NARA authority DAA-GRS-2017-0006.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    DHS/TSA safeguards records in this system according to applicable 
rules and policies, including all applicable DHS automated systems 
security and access policies. TSA has imposed strict controls 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.

RECORD ACCESS PROCEDURES:
    The Secretary of Homeland Security has exempted this system from 
the notification, access, and amendment procedures of the Privacy Act, 
and the Judicial Redress Act if applicable, because it is a law 
enforcement system. However, DHS/TSA will consider individual requests 
to determine whether or not information may be released. Thus, 
individuals seeking access to and notification of 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 the TSA 
Freedom of Information Act (FOIA) Officer, whose contact information 
can be found at http://www.dhs.gov/foia under ``Contacts Information.'' 
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 and Chief FOIA Officer, Department of 
Homeland Security, Washington, DC 20528-0655. Even if neither the 
Privacy Act nor the Judicial Redress Act provide a right of access, 
certain records about you may be available under FOIA.
    When an individual is seeking records about himself or herself from 
this system of records or any other Departmental system of records, the 
individual's request must conform with the Privacy Act regulations set 
forth in 6 CFR part 5. The individual must first verify your identity, 
meaning that the individual must provide his/her full name, current 
address, and date and place of birth. The individual must sign his/her 
request, and the individual's 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, an individual may obtain

[[Page 43892]]

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, the 
individual should:
     Explain why he or she believes the Department would have 
information on him/her;
     Identify which component(s) of the Department the 
individual believes may have the information about him/her;
     Specify when the individual believes 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 an individual's request is seeking records pertaining to another 
living individual, the first individual must include a statement from 
the second 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 the individual's request may be denied 
due to lack of specificity or lack of compliance with applicable 
regulations.

CONTESTING RECORD PROCEDURES:
    For records covered by the Privacy Act or covered JRA records, 
individuals may make a request for amendment or correction of a record 
of the Department about the individual by writing directly to the 
Department component that maintains the record, unless the record is 
not subject to amendment or correction. The request should identify 
each particular record in question, state the amendment or correction 
desired, and state why the individual believes that the record is not 
accurate, relevant, timely, or complete. The individual may submit any 
documentation that would be helpful. If the individual believes that 
the same record is in more than one system of records, the request 
should state that and be addressed to each component that maintains a 
system of records containing the record.

NOTIFICATION PROCEDURES:
    See ``Record Access Procedures.''

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    The Secretary of Homeland Security, pursuant to 5 U.S.C. 
552a(j)(2), has exempted portions of this system from the following 
provisions of the Privacy Act: 5 U.S.C. 552a(c)(3); (d); (e)(1), 
(e)(3), (e)(4)(G), (H), and (I); and (f). Portions of the system 
pertaining to investigations or prosecutions of violations of criminal 
law are exempt under 5 U.S.C. 552a(j)(2). Further, the Secretary of 
Homeland Security, pursuant to 5 U.S.C. 552a(k)(1) and (k)(2), has 
exempted portions of this system from the following provisions of the 
Privacy Act: 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (H), and (I); 
and (f).

HISTORY:
    78 FR 73868 (Dec. 9, 2013); 75 FR 28042 (May 19, 2010); 71 FR 44223 
(Aug. 4, 2006).

Philip S. Kaplan,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2018-18558 Filed 8-27-18; 8:45 am]
 BILLING CODE 9110-05-P