[Federal Register Volume 86, Number 191 (Wednesday, October 6, 2021)]
[Rules and Regulations]
[Pages 55475-55476]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-21138]



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 Rules and Regulations
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  Federal Register / Vol. 86, No. 191 / Wednesday, October 6, 2021 / 
Rules and Regulations  

[[Page 55475]]



DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

6 CFR Part 5

[Docket No. DHS-2021-USCBP-2021-0036]


Privacy Act of 1974: Implementation of Exemptions; Department of 
Homeland Security U.S. Customs and Border Protection-018 Customs Trade 
Partnership Against Terrorism System of Records

AGENCY: U.S. Customs and Border Protection, U.S. Department of Homeland 
Security.

ACTION: Final rule.

-----------------------------------------------------------------------

SUMMARY: The U.S. Department of Homeland Security (DHS) is issuing a 
final rule to amend its regulations to exempt portions of a newly 
updated and reissued system of records titled, ``DHS/U.S. Customs and 
Border Protection-018 Customs Trade Partnership Against Terrorism 
(CTPAT) System of Records'' from certain provisions of the Privacy Act. 
Specifically, the Department exempts portions of this system of records 
from one or more provisions of the Privacy Act because of criminal, 
civil, and administrative enforcement requirements.

DATES: This final rule is effective October 6, 2021.

FOR FURTHER INFORMATION CONTACT: For general questions please contact: 
Debra Danisek, [email protected], (202) 344-1610, CBP Privacy 
Officer, U.S. Customs and Border Protection, 1300 Pennsylvania Avenue 
NW, Washington, DC 20229. For privacy issues please contact: Lynn 
Parker Dupree, (202) 343-1717, Chief Privacy Officer, Privacy Office, 
U.S. Department of Homeland Security, Washington, DC 20528-0655.

SUPPLEMENTARY INFORMATION:

I. Background

    The U.S. Department of Homeland Security (DHS) U.S. Customs and 
Border Protection (CBP) published a notice of proposed rulemaking in 
the Federal Register, 86 FR 15136 (March 22, 2021), proposing 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. In concert with that rulemaking, DHS/CBP issued an 
updated system of records notice, ``DHS/CBP-018 Customs Trade 
Partnership Against Terrorism System of Records'' in the Federal 
Register at 86 FR 15136 (March 22, 2021), outlining that (1) DHS/CBP 
updated its description of how CBP collects and maintains information 
pertaining to prospective, ineligible, current, or former trade 
partners that participate in the CTPAT Program; other entities and 
individuals in their supply chains; and members of foreign governments' 
secure supply chain programs that have been recognized by CBP, through 
a mutual recognition arrangement or comparable arrangement, as being 
compatible with the CTPAT Program; (2) DHS/CBP expanded the categories 
of records to include date of birth (DOB); country of birth; country of 
citizenship; travel document number; immigration status information; 
driver's license information; Trusted Traveler membership type and 
number; Registro Federal de Contribuventes (RFC) Persona Fisica (for 
Mexican Foreign Manufacturers, Highway Carriers, and Long Haul Carriers 
Only); and the U.S. Social Security number beyond sole proprietors to 
now include the collection from all individuals listed as associated 
with partner companies; (3) to clarify that CTPAT members may also 
submit information to DHS/CBP under the CTPAT Trade Compliance program, 
to include importer self-assessments and other documentation; and (4) 
to clarify and expand several previously issued routine uses.
    DHS/CBP invited comments on both the Notice of Proposed Rulemaking 
(NPRM) and System of Records Notice (SORN).

II. Public Comments

    DHS received no comments on the NPRM and one non-substantive 
comment on the SORN. After full consideration of the public comment, 
the Department will implement the rulemaking as proposed for the 
reasons described in the NPRM and as described here in the final rule.

List of Subjects in 6 CFR Part 5

    Freedom of information, Privacy.

    For the reasons stated in the preamble, DHS amends 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. Subpart A also issued under 5 U.S.C. 552. 
Subpart B also issued under 5 U.S.C. 552a.

0
2. Amend Appendix C to part 5, by adding paragraph ``85'' to read as 
follows:

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

* * * * *
    85. The U.S. Department of Homeland Security (DHS)/U.S. Customs 
and Border Protection (CBP)-018 Customs Trade Partnership Against 
Terrorism (CTPAT) System of Records consists of electronic and paper 
records and will be used by DHS and its components. The DHS/CBP-018 
CTPAT 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 thereunder; and 
national security activities. The 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), (c)(4); (d); (e)(1), 
(e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8); 
(f); and (g). Additionally, the Secretary of Homeland Security 
pursuant to 5 U.S.C. 552a(k)(2) has exempted this system from the 
following provisions of the Privacy Act, subject to limitations set 
forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), 
(e)(4)(I); and (f). 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:

[[Page 55476]]

    (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/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 (d) (Access 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 when weighing and 
evaluating all available information. Further, permitting amendment 
to records after an investigation has been completed could impose 
administrative burdens on investigators. 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), (e)(4)(H), and (e)(4)(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 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.
    (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.

Lynn Parker Dupree,
Chief Privacy Officer, U.S. Department of Homeland Security.
[FR Doc. 2021-21138 Filed 10-5-21; 8:45 am]
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