[Federal Register Volume 85, Number 31 (Friday, February 14, 2020)]
[Notices]
[Pages 8539-8542]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-03007]


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DEPARTMENT OF AGRICULTURE

Animal and Plant Health Inspection Service

[Docket No. APHIS-2015-0085]


Privacy Act of 1974; System of Records

AGENCY: Animal and Plant Health Inspection Service, USDA.

ACTION: Notice of a new system of records.

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SUMMARY: Pursuant to the Privacy Act of 1974 and Office of Management 
and Budget Circular No. A-108, the U.S. Department of Agriculture 
(USDA) gives notice that a component agency, the Animal and Plant 
Health Inspection Service (APHIS) proposes to add a new system of 
records to its inventory of records. The system of records being 
proposed is the APHIS Plant Protection and Quarantine's Lacey Act 
Declaration Information Systems (LADIS), USDA/APHIS-24. The purpose of 
this system is enable businesses to file Lacey Act declarations. LADIS 
collects these records as part of an effort to combat illegal timber 
imports and to protect global natural resources. Under the Lacey Act, 
it is unlawful to import certain plants and plant products without an 
import declaration. The records in LADIS contain information regarding 
imported shipments, description of shipments, and the name and address 
of the importer and consignee.

DATES: In accordance with 5 U.S.C. 552a(e)(4) and (11), this notice 
will become applicable upon publication, subject to a 30-day notice and 
comment period in which to comment on the routine uses described in the 
``ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM'' section of this 
system of records notice. Please submit any comments by March 16, 2020.

ADDRESSES: You may submit comments by either of the following methods:
     Federal eRulemaking Portal: Go to: http://www.regulations.gov/#!docketDetail;D=APHIS-2015-0085.
     Postal Mail/Commercial Delivery: Send your comment to 
Docket No. APHIS-2015-0085, Regulatory Analysis and Development, PPD, 
APHIS, Station 3A-03.8, 4700 River Road Unit 118, Riverdale, MD 20737-
1238.
    Supporting documents and any comments we receive on this docket may 
be viewed at http://www.regulations.gov/#!docketDetail;D=APHIS-2015-
0085 or in our reading room, which is located in room 1141 of the USDA 
South Building, 14th Street and Independence Avenue SW, Washington, DC. 
Normal reading room hours are 8 a.m. to 4:30 p.m., Monday through 
Friday, except holidays. To be sure someone is there to help you, 
please call (202) 799-7039 before coming.

FOR FURTHER INFORMATION CONTACT: For general questions, please contact 
Dr. Robert Baca, Assistant Director, Permitting and Compliance 
Coordination, Compliance and Environmental Coordination Branch, PPQ, 
APHIS, 4700 River Road Unit 150, Riverdale, MD 20737; (301) 851-2292. 
For Privacy Act questions concerning this system of records notice, 
please contact Ms. Tonya Woods, Director, Freedom of Information and 
Privacy Act Staff, 4700 River Road Unit 50, Riverdale, MD 20737; (301) 
851-4076. For USDA Privacy Act questions, please contact the USDA Chief 
Privacy Officer, Information Security Center, Office of Chief 
Information Officer, USDA, Jamie L. Whitten Building, 1400 Independence 
Ave., SW, Washington, DC 20250; email: [email protected].

SUPPLEMENTARY INFORMATION: Pursuant to the provisions of the Privacy 
Act of 1974, as amended (5 U.S.C. 552a), notice is given that the 
Animal and Plant Health Inspection Service (APHIS) of the United States 
Department of Agriculture (USDA) is proposing to add a new system of 
records, titled Lacey Act Declaration Information Systems (LADIS), to 
maintain records of activities conducted by the agency pursuant to its 
mission and responsibilities authorized by the Lacey Act (16 U.S.C. 
3371 et seq.).
    LADIS supports the mission of the Lacey Act program in APHIS by 
providing to agency personnel information that can be used to assist 
with combatting illegal timber imports and protecting global natural 
resources. For formal customs entries, importers are required to submit 
a Lacey Act plant declaration based on products as listed on the 
implementation schedule of enforcement of Harmonized Tariff Schedule 
codes. The declaration information may be filed electronically through 
U.S. Customs and Border Protection's (CBP) Automated Commercial 
Environment (ACE) or through APHIS' Lacey Act Web Governance System 
(LAWGS) importer interface. (Using ACE or LAWGS, APHIS can more quickly 
review the declaration information for accuracy and completeness to 
assist APHIS in verifying that plants and plant products imported into 
the United States are

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legally harvested, sold, and transported.) ACE enables importers or 
brokers to file their declaration information when they file their 
customs entry information and enables them to correct erroneous data 
entries through the ACE system. LAWGS may also be used to file 
declaration information through the internet into a system owned and 
operated by APHIS. LAWGS enables APHIS to assist importers or brokers 
in correcting declaration information they filed through a notification 
option in the system. Alternatively, paper declaration forms may be 
submitted to APHIS by U.S. mail service to APHIS headquarters in 
Riverdale, MD.
    LAWGS collects declaration information during a self-registration 
process through which APHIS customers and employees may obtain accounts 
as authorized users of APHIS services. Users will be able to securely 
generate and file the declaration form, and save it for their records 
electronically via the internet for future use.
    The CBP ACE users will submit the Lacey Act declaration information 
using systems that are not owned or managed by APHIS. The users 
(importers or brokers) enter data required under the Act into to a set 
of fields or message set that was designed by APHIS to ensure all 
information is captured. The data is then moved to LADIS for storage by 
APHIS.
    APHIS personnel use the information in LADIS to monitor compliance 
with the Lacey Act declaration requirement, identify trends in 
international trade, and alert other Federal enforcement agencies of 
unusual or suspicious activity. All individuals about whom information 
in this system is maintained voluntarily submit the information for the 
express purpose of participating in the program and will receive 
benefits equal to or greater than any potential impact on their 
privacy.
    APHIS will share information from the system pursuant to the 
requirements of the Privacy Act and, in the case of its routine uses, 
when the disclosure is compatible with the purpose for which the 
information was compiled. A full list of routine uses is included in 
the routine uses section of the document published with this notice.
    A report on the new system of records, required by 5 U.S.C. 
552a(r), as implemented by Office of Management and Budget (OMB) 
Circular A-108, was sent to the Chairman, Committee on Homeland 
Security and Governmental Affairs, United States Senate; the Chairman, 
Committee on Oversight and Reform, House of Representatives; and the 
Administrator, Office of Information and Regulatory Affairs, OMB.

    Done in Washington, DC, this 7th day of February 2020.
 Kevin Shea,
 Administrator, Animal and Plant Health Inspection Service.

SYSTEM NAME AND NUMBER:
    Lacey Act Declaration Information System (LADIS), USDA/APHIS-24.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    The master data for the Lacey Act Declaration Information System 
(LADIS) are stored and maintained electronically via the National 
Information Center (NITC) on a secure U.S. Department of Agriculture 
(USDA) owned and operated system at 8930 Ward Parkway, Kansas City, MO 
64114. Paper declarations are securely maintained under the control of 
Plant Protection and Quarantine at 4700 River Road, Riverdale, MD 
20737.

SYSTEM MANAGERS:
    Lacey Act Program Manager, 4700 River Road Unit 150, Riverdale, MD 
20737-1234; IT Project Manager, 4700 River Road Unit 144, Riverdale, MD 
20737-1234; phone (301) 851-2021.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The Lacey Act, 16 U.S.C. 3372 et seq.

PURPOSES OF THE SYSTEM:
    The Animal and Plant Health Inspection Service (APHIS) Lacey Act 
Declaration Information Systems (LADIS) is an online tool which enables 
the users (importers) to securely generate and file the declaration 
form, and save it for their records electronically via the internet for 
future use. LADIS also enables filers to save commonly used declaration 
data in templates for quick and easy future submissions. Filers are 
able to view, edit, and resubmit declarations they created. The forms, 
as physical hardcopy or electronic format, are used to obtain the 
information required by the Lacey Act. The declaration form contains 
the estimated date of arrival, shipment information, description of 
merchandise, scientific name of the plant, value, quantity of plant 
material, the name of the country from which the plant was taken. The 
form also contains the name and address of the importer and consignee 
to provide contact information for APHIS. APHIS uses this information 
to verify compliance with the declaration requirement and examine 
trends associated with imported plants and plant products.
    The U.S. Customs and Border Protection (CBP) Automated Commercial 
Environment (ACE) users will submit the Lacey Act declaration 
information using systems not associated with APHIS. The data is then 
moved to LADIS by APHIS. LADIS enables the Plant Protection and 
Quarantine (PPQ) Lacey Act Program officials to review the submitted 
declaration for accuracy and completeness.
    APHIS' Lacey Act Web Governance System (LAWGS) generates the 
declaration form containing all data collected in PDF format. The 
importer can file the electronic declaration form and print it for 
their records.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    All individuals granted access to the LADIS are covered: (1) 
Employees and contractors of the USDA (``USDA personnel''); (2) other 
Government officials; and (3) business personnel. All individuals, even 
if they are not users of the LADIS, who are mentioned or referenced in 
any documents entered into LADIS by a user are also covered. This group 
may include, but is not limited to, plant workers, vendors, agents, 
consignees, importers of record, and brokers with a CBP power of 
attorney who import or aid in the importation of merchandise subject to 
the provisions of the Lacey Act.

CATEGORIES OF RECORDS IN THE SYSTEM:
    LADIS collects, uses, disseminates and maintains records received 
from business personnel. They provide declaration information regarding 
the shipment details, entry information, Lacey Act compliance data, and 
contact information associated with the business.
    The information includes the importer name, importer address, 
importer email address, consignee name, consignee address, the shipment 
estimated date of arrival, entry number, harmonized tariff code number, 
container number, bill of lading, manufacturing identification code, 
and description of merchandise. The compliance data includes the value, 
description of the article or component of the article, plant 
scientific name (genus and species), country of harvest, quantity of 
plant material, unit of measure, and percent of recycled plant 
material.

RECORD SOURCE CATEGORIES:
    The information source is primarily provided by the importers or 
customs brokers, and Federal regulatory agencies. For formal customs 
entries,

[[Page 8541]]

importers are required to submit a Lacey Act plant declaration 
consisting of the data elements on the Plant and Plant Product 
Declaration form via a paper form, or CBP's ACE, or APHIS' LAWGS 
importer interface.

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, records maintained in the system may be 
disclosed outside USDA as a routine use under 5 U.S.C. 552a(b)(3), as 
follows, to the extent that such disclosures are compatible with the 
purposes for which the information was collected:
    (1) To other Federal enforcement agencies, including the U.S. Fish 
and Wildlife Service (Department of the Interior), U.S. Department of 
Justice, and including CBP and Homeland Security Investigations within 
the U.S. Department of Homeland Security, who will treat the data as 
law enforcement sensitive primarily for the purpose of enforcing the 
Lacey Act or the Convention on International Trade in Endangered 
Species of Wild Fauna and Flora (CITES);
    (2) To other cooperating Federal, State, and local government 
officials, employees, or contractors, and other parties assisting in 
administering the Lacey Act program who will be bound by the 
nondisclosure provision of the Privacy Act and the Trade Secrets Act;
    (3) To appropriate law enforcement agencies, entities, and persons, 
whether Federal, foreign, State, Tribal, local, or other public 
authority responsible for enforcing, investigating, or prosecuting an 
alleged violation or a violation of law or charged with enforcing, 
implementing, or complying with a statute, rule, regulation, or order 
issued pursuant thereto, when a record in this system on its face, or 
in conjunction with other records, indicates a violation or potential 
violation of law, whether civil, criminal, or regulatory in nature, and 
whether arising by general statute or particular program statute, or by 
regulation, rule, or court order issued pursuant thereto, if the 
information disclosed is relevant to any enforcement, regulatory, 
investigative, or prosecutive responsibility of the receiving entity;
    (4) To the Department of Justice when: (a) USDA, or any component 
thereof; or (b) any employee of USDA in his or her official capacity 
where the Department of Justice has agreed to represent the employee; 
or (c) the United States Government, is a party to litigation or has an 
interest in such litigation, and by careful review, USDA determines 
that the records are both relevant and necessary to the litigation and 
the use of such records by the Department of Justice is therefore 
deemed by USDA to be for a purpose for which USDA collected the 
records;
    (5) To a court or adjudicative body in a proceeding when: (a) USDA 
or any component thereof; or (b) any employee of USDA in his or her 
official capacity; or (c) any employee of USDA in his or her individual 
capacity where USDA has agreed to represent the employee; or (d) the 
United States Government, is a party to litigation or has an interest 
in such litigation, and by careful review, USDA determines that the 
records are both relevant and necessary to the litigation and the use 
of such records is therefore deemed by USDA to be for a purpose that is 
compatible with the purpose for which USDA collected the records;
    (6) To appropriate agencies, entities, and persons when: (a) USDA 
suspects or has confirmed that the security or confidentiality of 
information in the system of records has been compromised; (b) USDA has 
determined that as a result of the suspected or confirmed breach there 
is a risk of harm to individuals, USDA (including its information 
systems, programs, and operations), the Federal Government, or national 
security; and (c) the disclosure made to such agencies, entities, and 
persons is reasonably necessary to assist in connection with USDA's 
efforts to respond to the suspected or confirmed compromise and 
prevent, minimize, or remedy such harm;
    (7) To another Federal agency or Federal entity, when information 
from this system of records is reasonably necessary to assist the 
recipient agency or entity in (a) responding to a suspected or 
confirmed breach or (b) preventing, minimizing, or remedying the risk 
of harm to individuals, the agency (including its information systems, 
programs, and operations), the Federal Government, or national 
security;
    (8) To a Congressional office in response to an inquiry made at the 
written request of the individual to whom the record pertains;
    (9) To USDA contractors and other parties engaged to assist in 
administering the program, analyzing data, and conducting audits. Such 
contractors and other parties will be bound by the nondisclosure 
provisions of the Privacy Act;
    (10) To USDA contractors, partner agency employees or contractors, 
or private industry employed to identify patterns, trends, or anomalies 
indicative of fraud, waste, or abuse; and
    (11) To the National Archives and Records Administration (NARA) or 
to other Federal government agencies pursuant to records management 
activities being conducted under the authority of 44 U.S.C. 2904 and 
2906.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Electronic records are maintained on the LADIS server at NITC in 
Kansas City, MO; and the backup server is at St. Louis, MO, on magnetic 
hard-disk. Paper records are temporarily maintained in a secured 
building which requires LincPass ID for entry. The Lacey Act Program 
will move the paper records to a separate, secure USDA building, under 
control of PPQ personnel, or in a National Archives and Records 
Administration-approved records storage facility until the records are 
no longer necessary for the conduct of business and the records are 
disposed of in accordance with an approved records disposition 
authority.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records are retrieved by importer or consignee name, entry number 
or unique LAWGS assigned identifier, manufacturer identification 
number, container number, and bill of lading. Users of the electronic 
systems can retrieve their own records in the systems by their name, 
entry or submission date, entry number, or unique LAWGS assigned 
identifier.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    APHIS records disposition authority from the National Archives and 
Records Administration allows for retention of records for at least 5 
years, and records will then be disposed of in accordance with the 
authority granted.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Records, both paper and electronic, are only accessible to 
authorized personnel. The following physical security measures are in 
place to prevent outsiders from entering LADIS:
    The electronic records are stored on secure file servers. To gain 
access to LAWGS, all users are required to have a USDA e-Authentication 
account. This a 2-step process where the user name identifies the user 
and the password authenticates that the user is in fact who he claims 
to be. On the Government side, PPQ Lacey Act Program officials who have 
level 2 e-Authentication can review, print, and analyze the data to 
meet program needs. Access to system

[[Page 8542]]

data is granted to Lacey Act Program employees, administrators, and 
federal contractors, including help desk individuals to facilitate 
assisting system users. All APHIS officials and contractors must take 
the annual security awareness training provided by USDA.
    LAWGS users are granted access to their own basic information. 
LAWGS users can use their account's user ID and password and can modify 
basic personal data such as address and email. Users can adjust the 
level of access and permissions within their own organization's 
account; however, users do not have access to modify sensitive data 
such as level of access and permissions associated with another 
account. Also, they cannot access the declaration information submitted 
by other users of the system.
    System security measures in place to protect the safety and 
integrity of declaration information filed in ACE, including access 
controls, is administered by CBP. Neither importers nor brokers using 
ACE to file declaration information have access to the data stored in 
the LADIS database.
    Paper files are kept in a safeguarded environment with controlled 
access only by authorized personnel. All APHIS personnel are required 
to go through a basic security clearance and are required to complete 
appropriate training to learn requirements for safeguarding records 
maintained under the Privacy Act.
    USDA's NITC safeguards records and ensures privacy requirements are 
met in accordance with Federal cyber security mandates. NITC provides 
continuous storage management, security administration, regular dataset 
backups and contingency planning including disaster recovery.

RECORD ACCESS PROCEDURES:
    An individual who is the subject of a record in this system may 
seek access to those records that are not exempt from the access 
provisions. Exemptions apply only to the extent that the information in 
the system is subject to exemption pursuant to 5 U.S.C. 552a(k)(2), if 
applicable. A determination whether a record may be accessed will be 
made at the time a request is received. All inquiries should be 
addressed under ``Notification procedures.''

CONTESTING RECORD PROCEDURES:
    Individuals seeking to contest or amend information maintained in 
the system should direct their requests to the address indicated in the 
``Notification procedures'' section, below. Some information may be 
exempt from the amendment provisions, as described in the section 
entitled ``Exemptions promulgated for the system.'' An individual who 
is the subject of a record in this system may seek amendment of those 
records that are not exempt. A determination whether a record may be 
amended will be made at the time a request is received.

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 Headquarters or component's 
Freedom of Information Act (FOIA) Officer, whose contact information 
can be found at http://www.da.usda.gov/foia.htm under ``contacts.'' 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 FOIA Officer, Department of Agriculture, 1400 Independence 
Avenue SW, Washington, DC 20250.
    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 FOIA 
Officer, Department of Agriculture, 1400 Independence Avenue SW, 
Washington, DC 20250. In addition you should provide the following:
     An explanation of 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;
     Provide any other information that will help the FOIA 
staff determine which USDA component agency may have responsive 
records; and
     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 this bulleted information the agency 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.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.

HISTORY:
    N/A.

[FR Doc. 2020-03007 Filed 2-13-20; 8:45 am]
 BILLING CODE 3410-34-P