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[Federal Register Volume 73, Number 245 (Friday, December 19, 2008)]
[Notices]
[Pages 77753-77757]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-29799]
----------------------------------------------------------------------DEPARTMENT OF HOMELAND SECURITY
Office of the Secretary
[Docket No. DHS-2008-0155]
Privacy Act of 1974; U.S. Customs and Border Protection--010
Persons Engaged in International Trade in Customs and Border Protection
Licensed/Regulated Activities System of Records
AGENCY: Privacy Office; DHS.
ACTION: Notice of Privacy Act system of records.
----------------------------------------------------------------------SUMMARY: In accordance with the Privacy Act of 1974, the Department of
Homeland Security is giving notice that it proposes to consolidate
eight legacy record systems into a U.S. Customs and Border Protection
system of records notice titled, U.S. Customs and Border Protection
Persons Engaged in International Trade in Customs and Border Protection
Licensed/Regulated Activities: Treasury/CS.040 Carrier File, October
18, 2001; Treasury/CS.041 Cartmen or Lightermen, October 18, 2001;
Treasury/CS.057 Container Station Operator Files, October 18, 2001;
Treasury/CS.069 Customs Brokers File, October 18, 2001; Treasury/CS.137
List of Vessel Agents Employees, October 18, 2001; Treasury/CS.260
Warehouse Proprietor Files, October 18, 2001; Treasury/CS.271 Cargo
Security Record System, October 18, 2001; and Treasury/CS.274
Importers, Brokers, Carriers, Individuals and Sureties Master Files,
October 18, 2001. Categories of individuals, categories of records, and
the routine uses have been consolidated and updated to better reflect
the U.S. Customs and Border Protection record systems that collect and
maintain information on persons engaged in international trade in
Customs and Border Protection licensed/regulated activities. The
Department of Homeland Security is
[[Page 77754]]
issuing a Notice of Proposed Rulemaking concurrent with this SORN in
the Federal Register. The exemptions for the legacy system of records
notices will continue to be applicable until the final rule for this
system of records notice is completed. This system will be included in
the Department's inventory of record systems.
DATES: Written comments must be submitted on or before January 20,
2009. This new system will be effective January 20, 2009.
ADDRESSES: You may submit comments, identified by docket number DHS2008-0155 by one of the following methods:
Federal e-Rulemaking Portal: http://www.regulations.gov.
Follow the instructions for submitting comments.
Fax: 1-866-466-5370.
Mail: Hugo Teufel III, 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 rulemaking. All comments
received will be posted without change and may be read at 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:
Laurence E. Castelli (202-325-0280), Chief, Privacy Act Policy and
Procedures Branch, U.S. Customs and Border Protection, Office of
International Trade, Regulations & Rulings, Mint Annex, 1300
Pennsylvania Ave., NW., Washington, DC 20229. For privacy issues
contact: Hugo Teufel III (703-235-0780), Chief Privacy Officer, Privacy
Office, U.S. Department of Homeland Security, Washington, DC 20528.
SUPPLEMENTARY INFORMATION:
I. Background

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Pursuant to the savings clause in the Homeland Security Act of
2002, Public Law 107-296, Section 1512, 116 Stat. 2310 (November 25,
2002), the Department of Homeland Security (DHS)/U.S. Customs and
Border Protection (CBP) have relied on preexisting Privacy Act systems
of records notices for the collection and maintenance of records
pertaining to persons engaged in international trade in CBP licensed/
regulated activities.
As part of its efforts to streamline and consolidate its record
systems, DHS is establishing a component system of records under the
Privacy Act (5 U.S.C. 552a) for DHS/CBP that deals with persons engaged
in international trade in CBP licensed/regulated activities. This
record system is titled, U.S. Customs and Border Protection Persons
Engaged in International Trade in CBP Licensed/Regulated Activities.
This system will be used by DHS/CBP to collect and maintain records on
persons engaged in international trade in CBP licensed/regulated
activities.
In accordance with the Privacy Act of 1974, DHS is giving notice
that it proposes to consolidate eight legacy record systems into a DHS/
CBP system of records notice titled, U.S. Customs and Border Protection
Persons Engaged in International Trade in Customs and Border Protection
Licensed/Regulated Activities: Treasury/CS.040 Carrier File (66 FR
52984 October 18, 2001); Treasury/CS.041 Cartmen or Lightermen (66 FR
52984 October 18, 2001); Treasury/CS.057 Container Station Operator
Files (66 FR 52984 October 18, 2001); Treasury/CS.069 Customs Brokers
File (66 FR 52984 October 18, 2001); Treasury/CS.137 List of Vessel
Agents Employees (66 FR 52984 October 18, 2001); Treasury/CS.260
Warehouse Proprietor Files (66 FR 52984 October 18, 2001); Treasury/
CS.271 Cargo Security Record System (66 FR 52984 October 18, 2001); and
Treasury/CS.274 Importers, Brokers, Carriers, Individuals and Sureties
Master Files (66 FR 52984 October 18, 2001). Categories of individuals,
categories of records, and the routine uses have been consolidated and
updated to better reflect DHS/CBP record systems that collect and
maintain information on persons engaged in international trade in CBP
licensed/regulated activities. Additionally, DHS is issuing a Notice of
Proposed Rulemaking (NPRM) concurrent with this system of records
notice (SORN) in the Federal Register. The exemptions for the legacy
system of records notices will continue to be applicable until the
final rule for this SORN is completed. This system will be included in
the Department's inventory of record systems.
II. Privacy Act
The Privacy Act embodies fair information principles in a statutory
framework governing the means by which the U.S. Government collects,
maintains, uses, and disseminates 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 for 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. 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. Individuals may
request access to their own records that are maintained in a system of
records in the possession or under the control of DHS by complying with
DHS Privacy Act regulations, 6 CFR part 5.
The Privacy Act requires each agency to publish in the Federal
Register a description denoting the type and character of each system
of records that the agency maintains, and the routine uses that are
contained in each system in order to make agency record keeping
practices transparent, to notify individuals regarding the uses of
their records, and to assist individuals to more easily find such files
within the agency. Below is the description of the DHS/CBP Persons
Engaged in International Trade in CBP Licensed/Regulated Activities
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 (OMB) and
to Congress.
System of Records: DHS/CBP-010
System name:
U.S. Customs and Border Protection Persons Engaged in International
Trade in Customs and Border Protection Licensed/Regulated Activities.
Security classification:
Unclassified.
System location:
Records are maintained at the U.S. Customs and Border Protection
Headquarters in Washington, DC and in field offices.

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Categories of individuals covered by the system:
Categories of individuals covered by this system include importers,
brokers, carriers, sureties; officers/owners, employees, associates of
customs bonded carriers, drivers of motor vehicles, licensed cartmen,
licensed lightermen, individuals and firms who have applied for or hold
a license as a bonded cartman or lighterman, individuals employed by
cartmen or lightermen, present and past container station operators and
warehouse proprietors and their employees, including those who require
an
[[Page 77755]]
investigation, licensed customs brokers, employees of customs brokers,
individuals or firms who have applied for a broker's license, airport
and airline employees with access to the CBP controlled area of a
terminal, and employees of vessel agents.
Categories of records in the system:
Categories of records in this system may include:
Individual's name;
Social security number;
Date and place of birth;
Addresses and notification of change of address;
Personal characteristics;
Photograph or other biometrics;
History of past employment;
Previous five years residences,
Alias;
Citizenship;
Military records;
Criminal record other than traffic violations;
Use of narcotic drugs;
Organization's name;
Copies of bonds, entries, bills, and data center listings;
Location of business records;
Status reports of individuals' application including
issuance, denial or renewal;
Copies of incoming and outgoing correspondence relating to
persons engaged in international trade in CBP licensed/regulated
activities;
Requests for written approval to employ persons who have
been convicted of a felony;
Applications for cartmen/lightermen licenses and
identification cards;
Applications and approvals/denials of bonds to act as
container station operator or warehouse proprietor;
Reports of investigations;
Fingerprint cards;
Information regarding proposed administrative disciplinary
action against customs brokers for violation of the regulations
governing the conduct of their business; and
Determinations as to whether CBP issued or did not issue a
particular license or permit and the type of license or permit.
Authority for maintenance of the system:
5 U.S.C. 301; the Federal Records Act, 44 U.S.C. 3101; Executive
Order 9373; 19 U.S.C. 1484, 1485, 1498, 1499, 1509, 1551, 1551a, 1555,
1556, 1565, 1624, and 1641; 19 CFR parts 19, 111, 112, 113, 141, 142,
148, and 163..
Purpose(s):
The purpose of this system is to collect and maintain records on
persons engaged in international trade in CBP licensed/regulated
activities. These records include identifying information as well as
the results of background checks or official vetting performed to
ensure that CBP's approval of the individuals' right to perform the
licensed or regulated activity is appropriate.
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, all or a portion of the records of
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 or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or
administrative body, when it is 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 of DHS or any component in his/her official
capacity;
3. Any employee of DHS or any component in his/her individual

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capacity where DOJ or DHS has agreed to represent the employee; or
4. The U.S. or any agency thereof, is a party to the litigation or
has an interest in such litigation, and DHS or CBP determines that the
records are both relevant and necessary to the litigation and the use
of such records is compatible with the purpose for which DHS or CBP
collected the records.
B. To a congressional office 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 or other
Federal government agencies pursuant to records management inspections
being conducted under the authority of 44 U.S.C. 2904 and 2906.
D. To an agency, organization, or individual 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 or CBP suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised;
2. DHS or CBP has determined that as a result of the suspected or
confirmed compromise there is a risk of harm to economic or property
interests, identity theft or fraud, or harm to the security or
integrity of this system or other systems or programs (whether
maintained by DHS, CBP, or another agency or entity) or harm to the
individual who relies upon the compromised information; and
3. The disclosure made to such agencies, entities, and persons is
reasonably necessary to assist in connection with DHS or CBP's efforts
to respond to the suspected or confirmed compromise and prevent,
minimize, or remedy such harm.
F. 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 or CBP, 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/CBP officers and employees.
G. To appropriate Federal, State, local, tribal, or foreign
governmental agencies or multilateral governmental organizations
responsible for investigating or prosecuting the violations of, or for
enforcing or implementing, a statute, rule, regulation, order, license,
or treaty where DHS determines that the information would assist in the
enforcement of civil or criminal laws.
H. To an appropriate Federal, State, local, tribal, foreign, or
international agency, if the information is relevant and necessary to a
requesting agency's decision concerning the hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant, or other benefit, or if the information is 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 and disclosure is
appropriate to the proper performance of the official duties of the
person making the request.
I. To a court, magistrate, or administrative tribunal 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 or in
response to a subpoena form a court of competent jurisdiction.
J. To third parties during the course of a law enforcement
investigation or
[[Page 77756]]
background check to the extent necessary to obtain information
pertinent to the investigation, provided disclosure is appropriate to
the proper performance of the official duties of the officer making the
disclosure.
K. 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 or when
disclosure is necessary to preserve confidence in the integrity of DHS
or is necessary to demonstrate the accountability of DHS's officers,
employees, or individuals covered by the system, except to the extent
it is determined that release of the specific information in the
context of a particular case would constitute an unwarranted invasion
of personal privacy.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,

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and disposing of records in the system:
Storage:
Records in this system are stored electronically or on paper in
secure facilities in a locked drawer behind a locked door. The records
are stored on magnetic disc, tape, digital media, and CD-ROM.
Retrievability:
Records are retrieved by individual's name or organization's name.
Safeguards:
Records in this system are safeguarded in accordance with
applicable rules and policies, including all applicable DHS automated
system security access policies. Strict controls have been imposed 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.
Retention and disposal:
Carrier records are retained by CBP for six years after
the death of the licensee or revocation in accordance with the CBP,
Records Control Manual, Schedule 6, Custody of Merchandise, Item 2.
Broker files and records of broker's employees are
retained by CBP for six years after the death of the licensee or
revocation in accordance with the CBP, Records Control Manual, Schedule
6, Custody of Merchandise, Item 2. These files are periodically updated
and removed to an inactive file, as necessary.
Cartmen and lightermen files are reviewed annually at
which time cancelled identification cards are removed. Closed CBP Form
3078s (Application for Identification Card) may also be removed, but
normally are held for approximately three years incase a new
application is received from the same company or transferred to another
company after investigation.
Container station operator files are disposed of in
accordance with the CBP Records Control Manual, Schedule 6, Custody of
Merchandise Records, Item 10.
Records on warehouse proprietor and vessel agent employees
are maintained by the organization for the duration of the individual's
employment and retained by CBP for six years after the death of the
licensee or revocation in accordance with the CBP, Records Control
Manual, Schedule 6, Custody of Merchandise, Item 2.
Records on drivers are maintained in an active file until
revoked or cancelled. After revocation or cancellation, the information
folder is placed in an inactive file for five years, and then disposed
of in accordance with the General Services Administration Disposal
Manual.
Information on proprietor bonded warehouse operators and
employees is retained on file until Customs bonded operations cease and
are discontinued, and then maintained in an inactive file for three
years. Final disposition is in accordance with the General Services
Administration Disposal Manual.
Files on brokers, carriers, and sureties are maintained
for six years after death of licensee or revocation in accordance with
the CBP Records Control Manual. In accordance with the Records Control
Manual, Schedule 9 Entry Processing, files on importers are maintained
in connection with the respective entry of merchandise for eight years
after liquidation of the entry, which is the final determination of
classification and duty relating to the imported merchandise by CBP.
System Manager and address:
Executive Director, Commercial Targeting and Enforcement, Office of
International Trade, U.S. Customs and Border Protection, Customs and
Border Protection Headquarters, 1300 Pennsylvania Avenue, NW., Mint
Annex, Washington, DC 20229.
Notification procedure:
The Secretary of Homeland Security has exempted this system from
certain aspects of the notification, access, and amendment requirements
of the Privacy Act. CBP will review each request to determine whether
or not notification, access, or amendment should be provided.
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 CBP's FOIA Officer, 1300 Pennsylvania
Avenue, NW., Mint Annex, Washington, DC 20229.
When seeking records about yourself from this system of records or
any other CBP 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

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of perjury as a substitute for notarization. While no specific form is
required, you may obtain forms for this purpose from the Director,
Disclosure and FOIA, http://www.dhs.gov or 1-866-431-0486. In addition
you should provide the following:
An explanation of why you believe the Department would
have information on you,
Specify when you believe the records would have been
created,
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 CBP 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.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Records are obtained by authorized Customs forms or electronic
formats from individuals and/or companies incidental to the conduct of
foreign trade and required by the Customs Service in administering the
tariff laws and regulations of the United States. Individuals;
organizations; DHS/CBP; correspondence; investigation reports
[[Page 77757]]
and supporting materials; applications for bonds and licenses, and
other DHS/CBP memoranda.
Exemptions claimed for the system:
The Secretary of Homeland Security has exempted this system
pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act, portions
of this system are exempt from 5 U.S.C. 552a(c)(3) and (4); (d);
(e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5) and
(e)(8); (f), and (g). Additionally, the Secretary has exempted this
system pursuant to 5 U.S.C. 552a(k)(2) of the Privacy Act from
subsections (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and
(f).
Dated: December 10, 2008.
Hugo Teufel III,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. E8-29799 Filed 12-18-08; 8:45 am]
BILLING CODE 4410-10-P

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