[Federal Register Volume 85, Number 226 (Monday, November 23, 2020)]
[Proposed Rules]
[Pages 74616-74618]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-25541]


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 Proposed Rules
                                                 Federal Register
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 This section of the FEDERAL REGISTER contains notices to the public of 
 the proposed issuance of rules and regulations. The purpose of these 
 notices is to give interested persons an opportunity to participate in 
 the rule making prior to the adoption of the final rules.
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  Federal Register / Vol. 85, No. 226 / Monday, November 23, 2020 / 
Proposed Rules  

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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

6 CFR Part 5

[Docket No. DHS-2020-0232]


Privacy Act of 1974: Implementation of Exemptions; Department of 
Homeland Security United States Coast Guard-061 Maritime Analytic 
Support System (MASS) System of Records

AGENCY: Department of Homeland Security, United States Coast Guard.

ACTION: Notice of proposed rulemaking.

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SUMMARY: The Department of Homeland Security is giving concurrent 
notice of a modified and reissued system of records pursuant to the 
Privacy Act of 1974 for the ``Department of Homeland Security/United 
States Coast Guard-061 Maritime Analytic Support System (MASS) System 
of Records'' and this proposed rulemaking. In this proposed rulemaking, 
the Department and the United States Coast Guard propose 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 23, 2020.

ADDRESSES: You may submit comments, identified by docket number DHS-
2020-0232, 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: Constantina Kozanas, Chief Privacy Officer, Privacy 
Office, Department of Homeland Security, Washington, DC 20528.
    Instructions: All submissions received must include the agency name 
and docket number for this notice. All comments received will be posted 
without change to http://www.regulations.gov, including any personal 
information provided.
    Docket: For access to the docket to read background documents or 
comments received, go to http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: For general questions, please contact: 
Kathleen Claffie, (202) 475-3515, Chief, Office of Privacy Management 
(CG-6P), United States Coast Guard, 2703 Martin Luther King, Jr. Ave. 
SE, Stop 7710, Washington, DC 20593-7710. For privacy issues, please 
contact: Constantina Kozanas, (202) 343-1717, Chief Privacy Officer, 
Privacy Office, Department of Homeland Security, Washington, DC 20528.

SUPPLEMENTARY INFORMATION:

 I. Background

    In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, the 
Department of Homeland Security (DHS) U.S. Coast Guard (USCG) proposes 
to modify and reissue a current DHS system of records titled, ``DHS/
USCG-061 Maritime Awareness Global Network (MAGNet) System of 
Records.'' The modified system of records is to be reissued and renamed 
as ``DHS/USCG Maritime Analytic Support System (MASS) System of 
Records.''
    The Coast Guard's enterprise modernization to the MAGNet framework 
prompted the need to modify and reissue the SORN. The updated framework 
enables the U.S. Coast Guard to: (1) Improve the system's security 
protocols by enhancing system access authentication processes; (2) 
Enhance data management services by hosting MASS in a cloud 
environment, allowing USCG to apply new technologies to better tag data 
for retention, access, and use purposes; (3) Refresh user interfaces 
making MASS more user friendly and intuitive to access and use; (4) 
Ingest new data sources on an as-needed basis in the future more 
easily; (5) Update routine uses for MASS by either adding or removing 
previous routine uses, as explained in the revised system of records 
notice reissued concurrently with this proposed rule.
    These updates better accommodate the accomplishment of the eleven 
U.S. Coast Guard statutory missions. Those missions require the 
collection of a wide range of information, including personally 
identifiable information (PII). The collection and use of PII is 
required to effectively conduct the responsibilities associated with 
these mission areas and promote Maritime Domain Awareness (MDA).
    MASS collects information from numerous data sources in order for 
the Coast Guard to successfully execute its eleven statutory missions. 
MASS provides storage and access to maritime information and provides 
basic search capabilities either by a person or by vessel. Person 
searches may be retrieved by passport or merchant mariner license 
number. Vessel searches may be retrieved by vessel name, hull 
identification, or registration number. MASS enhances current 
capabilities by adding data sources, media storage, access 
capabilities, and infrastructure to provide rapid, near real-time data 
to the USCG and other authorized organizations. MASS users leverage the 
ability to share, correlate, and provide classified and unclassified 
data across agency lines to provide MDA critical to homeland and 
national security and safety.
    MASS receives data from several systems both within and outside of 
DHS through electronic transfers of information. These electronic 
transfers include the use of Secure File Transfer Protocol (SFTP), 
system-to-system communications via specially written internet Protocol 
socket-based data streaming, database-to-database replication of data, 
electronic transfer of database transactional backup files, and 
delivery of formatted data via electronic mail.
    Consistent with DHS's information sharing mission, information 
stored in MASS 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, 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.
    DHS is issuing this Notice of Proposed Rulemaking to exempt this 
system of records from certain provisions of the Privacy Act.

II. Privacy Act

    The Privacy Act embodies fair information practice principles in a 
statutory framework governing the

[[Page 74617]]

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 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. 
Similarly, the Judicial Redress Act (JRA) provides a statutory right to 
covered persons 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.
    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-061 Maritime Analytic Support System (MASS) System of 
Records. Some information in DHS/USCG-061 Maritime Analytic Support 
System (MASS) System of Records relates to official DHS national 
security, law enforcement, and intelligence activities. These 
exemptions are needed to protect information relating to DHS activities 
from disclosure to subjects or others related to these activities. 
Specifically, the exemptions are required to preclude subjects of these 
activities from frustrating these processes; to avoid disclosure of 
activity techniques; to protect the identities and physical safety of 
confidential informants and law enforcement personnel; to ensure DHS's 
ability to obtain information from third parties and other sources; to 
protect the privacy of third parties; and to safeguard classified 
information. Disclosure of information to the subject of the inquiry 
could also permit the subject to avoid detection or apprehension.
    In appropriate circumstances, when compliance would not appear to 
interfere with or adversely affect the law enforcement purposes of this 
system and the overall law enforcement process, the applicable 
exemptions may be waived on a case-by-case basis.
    A notice of system of records for DHS/USCG-061 Maritime Analytic 
Support System (MASS) System of Records is also publishing elsewhere in 
this issue of the Federal Register.

List of Subjects in 6 CFR Part 5

    Freedom of information; Privacy.

    For the reasons stated in the preamble, DHS proposes to amend 
chapter I of title 6, Code of Federal Regulations, as follows:

PART 5--DISCLOSURE OF RECORDS AND INFORMATION

0
1. The authority citation for Part 5 continues to read as follows:

    Authority: 6 U.S.C. 101 et seq.; Pub. L. 107-296, 116 Stat. 
2135; 5 U.S.C. 301.

0
2. In Appendix C to Part 5, revise paragraph 8 to read as follows:

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

* * * * *
    8. The Department of Homeland Security (DHS)/United States Coast 
Guard (USCG)-061 Maritime Analytic Support System (MASS) System of 
Records consists of electronic and paper records and will be used by 
DHS and its components. The DHS/USCG-061 Maritime Analytic Support 
System (MASS) 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; and national security and intelligence activities. The DHS/
USCG-061 Maritime Analytic Support System (MASS) 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), has exempted this system from the following provisions 
of the Privacy Act: 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1) through 
(3), (e)(4)(G) through (I), (e)(5) and (8); (f); and (g)(1). 
Additionally, the Secretary of Homeland Security, pursuant to 5 
U.S.C. 552a(k)(1) and (k)(2), has exempted this system from the 
following provisions of the Privacy Act: 5 U.S.C. 552a(c)(3); (d); 
(e)(1), (e)(4)(G) through (I), and (f).
    Where a record received from another system has been exempted in 
that source system under 5 U.S.C. 552a(j)(2), DHS will claim the 
same exemptions for those records that are claimed for the original 
primary systems of records from which they originated and claims any 
additional exemptions set forth here.
    Exemptions from these particular subsections are justified, on a 
case-by-case basis to be determined at the time a request is made, 
for the following reasons:
    (a) From subsection (c)(3) and (4) (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 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. When an investigation 
has been completed, information on disclosures made may continue to 
be exempted if the fact that an investigation occurred remains 
sensitive after completion.
    (b) From subsection (d) (Access and Amendment to Records) 
because access to the records contained in this system of records 
could inform 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 or another agency. Access to the records could 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. Amendment of the records could interfere 
with ongoing investigations and law enforcement activities and would 
impose an unreasonable administrative burden by requiring 
investigations to be continually reinvestigated. In addition, 
permitting access and amendment to such information could disclose 
security-sensitive information that could be detrimental to homeland 
security.
    (c) From subsection (e)(1) (Relevancy and Necessity of 
Information) because in the course of investigations into potential 
violations of federal law, the accuracy of information obtained or 
introduced occasionally may be unclear, or the information may not 
be strictly relevant or necessary to a specific investigation. In 
the interests of effective law enforcement, it is appropriate to 
retain all information that may aid in establishing patterns of 
unlawful activity.
    (d) From subsection (e)(2) (Collection of Information from 
Individuals) because requiring that information be collected from 
the subject of an investigation would alert the subject to the 
nature or existence of the investigation, thereby interfering with 
that investigation and related law enforcement activities.
    (e) From subsection (e)(3) (Notice to Subjects) because 
providing such detailed information could impede law enforcement by 
compromising the existence of a confidential investigation or reveal 
the identity of witnesses or confidential informants.
    (f) From subsections (e)(4)(G) through (I) (Agency Requirements) 
and (f) (Agency Rules), because portions of this system are exempt 
from the individual access provisions of subsection (d) for the 
reasons noted above, and therefore DHS is not required to establish 
requirements, rules, or procedures with respect to such access. 
Providing notice to

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individuals with respect to existence of records pertaining to them 
in the system of records or otherwise setting up procedures pursuant 
to which individuals may access and view records pertaining to 
themselves in the system would undermine investigative efforts and 
reveal the identities of witnesses, and potential witnesses, and 
confidential informants.
    (g) From subsection (e)(5) (Collection of Information) because 
with the collection of information for law enforcement purposes, it 
is impossible to determine in advance what information is accurate, 
relevant, timely, and complete. Compliance with subsection (e)(5) 
would preclude DHS agents from using their investigative training 
and exercise of good judgment to both conduct and report on 
investigations.
    (h) 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.
    (i) From subsection (g)(1) (Civil Remedies) to the extent that 
the system is exempt from other specific subsections of the Privacy 
Act.
* * * * *

Constantina Kozanas,
Chief Privacy Officer, Department of Homeland Security.

[FR Doc. 2020-25541 Filed 11-20-20; 8:45 am]
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