[Federal Register Volume 80, Number 158 (Monday, August 17, 2015)]
[Notices]
[Pages 49256-49262]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-19731]
[[Page 49256]]
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DEPARTMENT OF HOMELAND SECURITY
Office of the Secretary
[Docket No. DHS-2015-0047]
Privacy Act of 1974; Department of Homeland Security, U.S.
Customs and Border Protection, DHS/CBP-001, Import Information System,
System of Records
AGENCY: Privacy Office, Department of Homeland Security.
ACTION: Notice of Privacy Act system of records.
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SUMMARY: In accordance with the Privacy Act of 1974, the Department of
Homeland Security proposes to consolidate, update, and rename two
current Department of Homeland Security systems of records titled,
``Department of Homeland Security/U.S. Customs and Border Protection,
DHS/CBP-001 Automated Commercial Environment/International Trade Data
System System of Records'' (7 FR 3109, January 19, 2006) and
``Department of Homeland Security/U.S. Customs and Border Protection,
DHS/CBP-015 Automated Commercial System System of Records'' (73 FR
77759, December 19, 2008) as one new system of records. The
consolidated system of records notice will be titled, ``Department of
Homeland Security/U.S. Customs and Border Protection, DHS/CBP-001
Import Information System System of Records.'' This system of records
will continue to collect and maintain records on all commercial goods
imported into the United States, as well as information pertaining to
the carrier, broker, importer, and other persons associated with the
manifest, import, or commercial entry transactions for the goods.
As a result of a review of these two systems, the Department of
Homeland Security/U.S. Customs and Border Protection is combining the
system of records notices for these systems into one updated system of
records notice that includes changes to the categories of individuals
and to the categories of records regarding information maintained about
persons who have account access to trade data in the system. The
Department of Homeland Security/U.S. Customs and Border Protection is
also including an additional routine use for disclosing vessel manifest
information as required by statute, in addition to the new compilation
of routine uses reconciled from the prior systems of records notices.
Data from this system of records may be shared with law enforcement
and/or intelligence agencies pursuant to the routine uses identified
below. Additionally, the Department of Homeland Security is issuing a
Notice of Proposed Rulemaking to exempt this system of records from
certain provisions of the Privacy Act elsewhere in the Federal
Register. Lastly, this notice includes non-substantive changes to
simplify the formatting and text of the previously published notices.
This updated system will be included in the Department of Homeland
Security's inventory of record systems.
DATES: Submit comments on or before September 16, 2015. This updated
system will be effective September 16, 2015.
ADDRESSES: You may submit comments, identified by docket number DHS-
2015-0047 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: Karen L. Neuman, 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 for this rulemaking. 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, please visit http://www.regulations.gov.
FOR FURTHER INFORMATION CONTACT: For general questions, please contact:
John Connors (202) 344-1610, CBP Privacy Officer, Office of the
Commissioner, U.S. Customs and Border Protection, Washington, DC 20229.
For privacy questions, please contact: Karen L. Neuman, (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, the
Department of Homeland Security (DHS), U.S. Customs and Border
Protection (CBP) proposes to consolidate, update, and rename as one
system of records notice (SORN) the information currently contained in
two DHS SORNs titled, ``DHS/CBP-001 Automated Commercial Environment/
International Trade Data System (ACE/ITDS) System of Records'' (7 FR
3109, January 19, 2006) and ``DHS/CBP-015 Automated Commercial System
(ACS) System of Records'' (73 FR 77759, December 19, 2008) . This new
SORN, entitled ``DHS/CBP-001 Import Information System (IIS),'' will
inform the public about changes to the categories of individuals,
categories of records, and routine uses contained in the consolidation
of the former ACS and ACE/ITDS SORNs.
ACS, a decades old trade information database and information
technology (IT) system, was deployed to track, control, and process all
commercial goods imported into the United States. ACE, part of a multi-
year modernization effort since 2001 to replace ACS, continues to be
designed to manage CBP's import trade data and related transaction
information. ACE/ITDS serves three sets of core stakeholders: The
internal DHS/CBP users, Partner Government Agencies (PGA), and the
trade community. ACE is the IT backbone for the ITDS, an interagency
initiative formalized under the SAFE Port Act of 2006 to create a
single window for the trade community and PGAs involved in importing
and exporting. DHS/CBP has provided notice to the public and trade
community that in the future, the ACS IT system will be fully phased
out and replaced by ACE. As such, and to simplify the trade community's
and the public's understanding of how trade information will be handled
after ACE implementation, DHS/CBP is publishing this Import Information
System (IIS) SORN to identify a single repository for import trade
information. DHS/CBP is also publishing an updated ACE Privacy Impact
Assessment on its Web site (http://www.dhs.gov/privacy) to inform the
public of the operation and inter-connectedness of the IT systems, ACS
and ACE, and to assess the privacy impact of these systems using the
fair information practice principles. This IIS system of records allows
DHS/CBP to collect and maintain records on all commercial goods
imported into the United States, along with related information about
persons associated with those transactions, and manifest information.
As part of this consolidation and issuance of IIS, the category of
individuals and category of records sections in the former ACS and ACE-
ITDS have been merged to account for the data in both IT systems, as
well as paper records related to the information in these systems. The
category of individuals section is amended to remove reference to DHS/
CBP employees and employees of other federal agencies for purposes of
maintaining their user access accounts to the ACE-ITDS Portal, because
these
[[Page 49257]]
individuals are now covered under a DHS-wide SORN, ``DHS/ALL-004
General Information Technology Access Account Records System (GITAARS)
(77 FR 70792, November 27, 2012). The category of records for IIS will
also include notations and results of examinations and document review
for cleared merchandise to clarify and better identify DHS and PGA-
generated information related to the processing of the import entry
transaction. Additionally, the category of records is being expanded to
address the expansion of information DHS/CBP proposes to collect on its
revised Importer ID Input Record (CBP Form 5106). DHS/CBP is adding
required elements for the name (First, Middle, Last) and business
contact information (job title and phone) of Senior Company Officers of
the Importer; DHS/CBP is also adding optional data fields on the form
for the Senior Officers to provide Social Security number (SSN) or
Passport Number and Country of Issuance. These latter, optional data
elements are to facilitate Importer screening and verification.
The authorities sections from the previous SORNs have been
combined, reconciled to address duplication, and updated to account for
expanded information collected about business associations as part of
the ACE-ITDS Portal user account. The purpose section for IIS reflects
an update to the combined purposes for ACS and ACE-ITDS and addresses
DHS/CBP's broad use of its import trade transaction IT systems (ACS and
ACE) to collect and manage records to track, control, and process all
commercial goods imported into the United States.
Consistent with DHS's information-sharing mission, information
stored in the DHS/CBP-001 Import Information System (IIS) may be shared
with other DHS Components that have a need to know the information to
carry out their national security, law enforcement, immigration, or
other homeland security functions. In addition, information may be
shared with appropriate federal, state, local, tribal, territorial,
foreign, or international government agencies consistent with the
routine uses set forth in this SORN and as otherwise authorized under
the Privacy Act.
Information in IIS may be shared for the same routine uses as were
previously published in ACS and ACE-ITDS, and are now updated in this
document:
ACS's former Routine Use K is now reclassified as Routine
Use G.
[cir] Routine Use G permits sharing of data under the following
circumstances: ``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 when DHS determines that the
information would assist in the enforcement of civil or criminal
laws.''
ACE-ITDS's former Routine Use 3 is now reclassified as
Routine Use K.
[cir] Routine Use K permits sharing of data under the following
circumstances: ``To a federal, state, local, tribal, territorial,
foreign, or international agency, maintaining civil, criminal, or other
relevant enforcement information or other pertinent information, which
has requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit.''
Additionally, DHS/CBP is adding another routine use to IIS, Routine
Use R, to provide explicit coverage for the mandated release of
Manifest Information as set forth in section 1431 of title 19, United
States Code and implemented through title 19, Code of Federal
Regulations, part 103:
Routine Use R permits sharing of data under the following
circumstances: ``To paid subscribers, in accordance with applicable
regulations, for the purpose of providing access to manifest
information as set forth in 19 U.S.C. 1431.''
DHS/CBP will not assert any exemptions with regard to information
provided by or on behalf of an individual. However, this data may be
shared with law enforcement and/or intelligence agencies pursuant to
the routine uses identified in the IIS SORN and as otherwise authorized
under the Privacy Act. The Privacy Act requires that DHS maintain an
accounting of such disclosures. Disclosing the fact that a law
enforcement and/or intelligence agency has sought particular records
may interfere with or disclose techniques and procedures related to
ongoing law enforcement investigations. As such, DHS is issuing a
Notice of Proposed Rulemaking to exempt this system of records from
certain provisions of the Privacy Act elsewhere in the Federal
Register. This updated 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. As a matter of policy, DHS extends administrative
Privacy Act protections to all persons when systems of records maintain
information on U.S. citizens, lawful permanent residents, and non-
immigrant aliens.
Below is the description of the DHS/CBP-001 Import Information
System (IIS) System of Records.
In accordance with 5 U.S.C. 552a(r), DHS has provided a report of
these systems of records to the Office of Management and Budget and to
Congress.
System of Records
Department of Homeland Security (DHS)/U.S. Customs and Border
Protection (CBP)-001.
System name:
DHS/CBP-001 Import Information System (IIS).
Security classification:
Unclassified.
System location:
Records are maintained at the DHS/CBP Headquarters in Washington,
DC and field offices.
Categories of individuals covered by the system:
Categories of individuals in this system include members of the
public involved in the importation of merchandise and international
trade, such as importers, brokers, carriers, manufacturers, shippers,
consignees, cartmen/lightermen, filers, sureties, facility operators,
foreign trade zone operators, drivers/crew, attorneys/consultants, and
agents, in addition to persons required to file Customs Declarations
for international mail transactions (including sender and recipient).
Categories of records in the system:
Information maintained by ACE as part of the user account creation
process includes:
Account Information--Including Name of Company, Name of
Company Officer, Title of Company Officer, Company Organization
Structure, and
[[Page 49258]]
Officer's Date of Birth (optional). For Operators, this information
must match the name on the company's bond.
[cir] Account Owner Information--Name, Application Data, Email,
Date of Birth, Country, Address, and Business Phone Number.
[cir] Legal Entity Information--Name, Application Data, Email,
Country, Address, and Business Phone Number.
[cir] Point of Contact Information--Name, Application Data, Email,
Country, Date of Birth, Address, and Business Phone Number.
Business Activity Information--Depending on the account
type being established, CBP requires the following identifying
information to set up an ACE portal account. Users are limited to a
single identification number for the portal account being requested
with the exception of: Importer, broker, filer, software vendor,
service bureau, port authority, preparer, or surety agent, which can
use up to three identifying numbers for each portal view:
[cir] Importer/Broker/Filer/Surety: Importer Record Number; Filer
Code; Taxpayer Identification Number (TIN) [e.g., Internal Revenue
Service (IRS) Employer Identification Number (EIN)/SSN]; Surety Code.
[cir] Service Provider: Standard Carrier Alpha Code (SCAC) or Filer
Code; EIN/SSN.
[cir] Operator: EIN/SSN; Bond Number; Facilities Information and
Resources Management System (FIRMS) Code; Zone Number; Site Number.
Operators must also note whether their background investigation has
been completed by CBP, and whether their fingerprints are on file with
CBP.
[cir] Cartman/Lighterman: Cartman/Lighterman Identification Number;
Customhouse License (CHL) Number; Passport Number; Country of Issuance;
Date of Expiration; U.S. Visa Number; Birth Certification Number;
Permanent Resident Card Number; Certificate of Naturalization;
Certificate of U.S. Citizenship; Re-entry Permit Number (I-327);
Refugee Permit Number; Other Identification (such as Military
Dependent's Card, Temporary Resident Card, Voter Registration Card). A
Cartman/Lighterman must also note whether his or her background
investigation has been completed by CBP, and whether his or her
fingerprints are on file with CBP.
[cir] Carriers: SCAC; Bond Numbers; Importer Record for Type 2 Bond
(if applicable).
[cir] Drivers/Crew: Commercial Driver License (CDL) Number; State/
Province of Issuance; Country; whether the Driver has an Enhanced CDL
or is HAZMAT endorsed; Full Name; Date of Birth; Gender; Citizenship;
Travel Documentation (and Country of Issuance) such as: Passport Number
or Permanent Resident Card; or other type of identification including:
SENTRI Card; NEXUS \1\; U.S. Visa (non-immigrant or immigrant);
Permanent Resident Card; U.S. Alien Registration Card; U.S. Passport
Card; DHS Refugee Travel Document; DHS Re-Entry Permit; U.S. Military
ID Document; or U.S. Merchant Mariner Document.
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\1\ SENTRI and NEXUS are Trusted Traveler Cards used for
expedited border crossing along the southern and northern borders,
respectively. See, http://www.cbp.gov/travel/trusted-traveler-programs.
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Information maintained by ACE as part of the trade facilitation
process includes:
Filer Information
[cir] Importer of Record Name and Address--The name and address,
including the standard postal two-letter state or territory
abbreviation, of the importer of record. The importer of record is
defined as the owner or purchaser of the goods, or when designated by
the owner, purchaser, or consignee, a licensed customs broker. The
importer of record is the individual or firm liable for payment of all
duties and meeting all statutory and regulatory requirements incurred
as a result of importation, as described in 19 CFR 141.1(b).
[cir] Consignee Number--IRS EIN, SSN, or CBP-assigned number of the
consignee. This number must reflect a valid identification number filed
with CBP via the CBP Form 5106 or its electronic equivalent.
[cir] Importer Number--The IRS EIN, SSN, or CBP-assigned number of
the importer of record.
[cir] Reference Number--The IRS EIN, SSN, or CBP-assigned number of
the individual or firm to whom refunds, bills, or notices of extension
or suspension of liquidation are to be sent (if other than the importer
of record and only when a CBP Form 4811 is on file).
[cir] Ultimate Consignee Name and Address--The name and address of
the individual or firm purchasing the merchandise or, if a consigned
shipment, to whom the merchandise is consigned.
[cir] Broker/Filer Information--A broker or filer name, address,
and phone number.
[cir] Broker/Importer File Number--A broker or importer internal
file or reference number.
[cir] Bond Agent Information--Bond agent name, SSN or a surety
created identification, and surety name.
[cir] Declarant Name, Title, Signature, and Date--The name, job
title, and signature of the owner, purchaser, or agent who signs the
declaration. The month, day, and year when the declaration was signed.
[cir] Importer Business Description--Including the Importer Dun &
Bradstreet (DUNS) Number and the North American Industry Classification
System (NAICS) number for Importer Business.
[cir] Senior Officers of the Importing Company--Information
pertaining to Senior Officers of the Importing Company with an
importing or financial role in trade transactions: Position title; Name
(First, Middle, Last); Business Phone; SSN (Optional); Passport Number
(Optional); Passport Country of Issuance (Optional).
[cir] Additional Data Elements--Filers may, on their own
initiative, provide additional or clarifying information on the form
provided such additional information does not interfere with the
reporting of those required data elements.
Supply Chain Information
[cir] Manufacturer Information:
[ssquf] Manufacturer (or supplier) name;
[ssquf] Manufacturer (or supplier) address;
[ssquf] Foreign manufacturer identification code and/or shipper
identification code;
[ssquf] Foreign manufacturer name and/or shipper name; and
[ssquf] Foreign manufacturer address and/or shipper address.
[cir] Carrier Information:
[ssquf] Importing Carrier--For merchandise arriving in the U.S. by
vessel, CBP records the name of the vessel that transported the
merchandise from the foreign port of lading to the first U.S. port of
unlading.
Vessel Identifier Code;
Vessel Name;
Carrier Name;
Carrier Address;
Carrier codes (non-SSN) (Standard Carrier Agent Code
(SCAC) for vessel carriers, International Air Transport Association
(IATA) for air carriers);
Department of Transportation (DOT) number,
Tax Identification Number;
DUNS;
Organizational structure; and
Insurance information including name of insurer, policy
number, date of issuance, and amount.
The carrier can create users and points of contact, and
may also choose to store details associated with the driver and crew,
conveyance, and equipment for purposes of expediting the creation of
manifests.
[ssquf] Mode of Transport--The mode of transportation by which the
imported merchandise entered the U.S. port of arrival from the last
foreign country.
[[Page 49259]]
The mode of transport may include vessel, rail, truck, air, or mail.
[ssquf] Export Date--The month, day, and year on which the carrier
departed the last port (or airport, for merchandise exported by air) in
the exporting country.
[cir] Liquidator identification (non-SSN);
[cir] Seller (full name and address or a widely accepted industry
number such as a DUNS number);
[cir] Buyer (full name and address or a widely accepted industry
number such as a DUNS number);
[cir] Ship to party name;
[cir] Consolidator (stuffer);
[cir] Foreign trade zone applicant identification number;
[cir] Country of origin;
[cir] Commodity Harmonized Tariff Schedule of the United States
(HTSUS) number;
[cir] Booking party; and
[cir] Other identification information regarding the party to the
transaction.
Crewmember/Passenger Information
[cir] Carrier Information--Including vessel flag and vessel name,
date of arrival, and port of arrival (CBP Form 5129);
[cir] Person on arriving conveyance who is in charge;
[cir] Names of all crew members and passengers;
[cir] Date of birth of each crew member and passenger;
[cir] Commercial driver license (CDL)/driver license number for
each crew member;
[cir] CDL state or province of issuance for each crew member;
[cir] CDL country of issuance for each crew member;
[cir] Travel document number for each crew member and passenger;
[cir] Travel document country of issuance for each crew member and
passenger;
[cir] Travel document for state/province of issuance for each crew
member and passenger;
[cir] Travel document type for each crew member and passenger;
[cir] Address for each crew member and passenger;
[cir] Gender of each crew member and passenger;
[cir] Nationality/citizenship of each crew member and passenger;
and
[cir] HAZMAT endorsement for each crew member.
Federal Employee Information (including CBP and PGA
employees)
[cir] CBP employee names;
[cir] CBP employee hash identification, SSN, or other employee
identification number; and
[cir] Federal Government employee names, work addresses, work phone
numbers, and ACE identification if already an ACE-ITDS user.
Manifest Information
[cir] Bill of Lading (B/L) or Air Waybill (AWB) Number--The number
assigned on the manifest by the international carrier delivering the
goods to the United States.
[cir] Immediate Transportation Number--The Immediate Transportation
number obtained from the CBP Form 7512, the AWB number from the Transit
Air Cargo Manifest (TACM), or Automated Manifest System (AMS) master
in-bond (MIB) movement number.
[cir] Immediate Transportation Date--The month, day, and year
obtained from the CBP Form 7512, TACM, or AMS MIB record. Note that
Immediate Transportation date cannot be prior to import date.
[cir] Missing Documents--Codes that indicate which documents are
not available at the time of filing the entry summary.
[cir] Foreign Port of Lading--The five digit numeric code listed in
the ``Schedule K'' (Classification of Foreign Ports by Geographic Trade
Area and Country) for the foreign port at which the merchandise was
actually laden on the vessel that carried the merchandise to the United
States.\2\
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\2\ The ``Schedule K'' may be retrieved at: http://www.iwr.usace.army.mil/ndc/wcsc/scheduleK/schedulek.htm.
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[cir] U.S. Port of Unlading--The U.S. port code where the
merchandise was unladen (or, delivered) from the importing vessel,
aircraft, or train.
[cir] Location of Goods/General Order (GO) Number--Also known as a
``container stuffing location,'' the pier or site where the goods are
available for examination. For air shipments, this is the flight
number.
CBP Generated Records
[cir] Entry Number--The entry number is a CBP-assigned number that
is unique to each Entry Summary (CBP Form 7501).
[cir] Entry Type--Entry type denotes which type of entry summary is
being filed (i.e., consumption, information, and warehouse). The sub-
entry type further defines the specific processing type within the
entry category (i.e., free and dutiable, quota/visa, anti-dumping/
countervailing duty, and appraisement).\3\
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\3\ Automated Broker Interface (ABI) processing requires an ABI
status indicator. This indicator must be recorded in the entry type
code block. It is to be shown for those entry summaries with ABI
status only.
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[cir] Summary Date--The month, day, and year on which the entry
summary is filed with CBP. The record copy of the entry summary will be
time stamped by the filer at the time of presentation of the entry
summary. Use of this field is optional for ABI statement entries. The
time stamp will serve as the entry summary date. The filer will record
the proper team number designation in the upper right portion of the
form above this block (three-character team number code).\4\
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\4\ For ABI entry summaries, the team number is supplied by
CBP's automated system in the summary processing output message.
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[cir] Port Code--The port is where the merchandise was entered
under an entry or released under an immediate delivery permit. CBP
relies on the U.S. port codes from Schedule D, Customs District and
Port Codes, listed in Annex C of the Harmonized Tariff Schedule (HTS).
[cir] Entry Date--The month, day, and year on which the goods are
released, except for immediate delivery, quota goods, or when the filer
requests another date prior to release.\5\ It is the responsibility of
the filer to ensure that the entry date shown for entry/entry summaries
is the date of presentation (i.e., the time stamp date). The entry date
for a warehouse withdrawal is the date of withdrawal.
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\5\ 19 CFR 141.68.
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[cir] Manufacturer ID--This code identifies the manufacture/shipper
of the merchandise by a CBP-constructed code. The manufacturer/shipper
identification code is required for all entry summaries and entry/entry
summaries, including informal entries, filed on the CBP Form 7501.
[cir] Notes--Notations and results of examinations and document
review for cleared merchandise.
[cir] Trade violation statistics.
[cir] Protest and appeal decision case information.
Surety and Bond Information
[cir] Surety Information--Full legal name of entity, address.
[cir] Surety Number--A three-digit numeric code that identifies the
surety company on the Customs Bond. This code can be found in block 7
of the CBP Form 301, or is available through CBP's automated system to
ABI filers, via the importer bond query transaction.
[cir] Bond Type--A three-digit numeric code identifying the
following type of bond: U.S. Government or entry types not requiring a
bond; Continuous; or Single Transaction.
[cir] Additional Bond Information--All authorized users of bond,
bond expiration date.
Merchandise-Specific Information
[cir] Line Number--A commodity from one country, covered by a line
which
[[Page 49260]]
includes a net quantity, entered value, HTS number, charges, rate of
duty and tax.
[cir] Description of Merchandise--A description of the articles in
sufficient detail (i.e., gross weight, manifest quantity, net quantity
in HTS units, U.S. dollar value, all other charges, costs, and expenses
incurred while bringing the merchandise from alongside the carrier at
the port of exportation in the country of exportation and placing it
alongside the carrier at the first U.S. port of entry).
[cir] License Numbers--For merchandise subject to agriculture
licensing.
[cir] Country of Origin--The country of origin is the country of
manufacture, production, or growth of any article. When merchandise is
invoiced in or exported from a country other than that in which it
originated, the actual country of origin shall be specified rather than
the country of invoice or exportation.
[cir] Import Date--The month, day, and year on which the importing
vessel transporting the merchandise from the foreign country arrived
within the limits of the U.S. port with the intent to unlade.
[cir] Exporting Country--The country of which the merchandise was
last part of the commerce and from which the merchandise was shipped to
the United States.
Authority for maintenance of the system:
IIS derives its authority from 19 U.S.C. 66, 1431, 1448, 1481,
1484, 1505, 1514, 1624, and 2071; 26 U.S.C. 6109(d); 31 U.S.C. 7701(c);
section 203 of the Security and Accountability for Every (SAFE) Port
Act of 2006 and section 343(a) of the Trade Act of 2002, as amended by
the Maritime Transportation Security Act of 2002; Title 19 of the Code
of Federal Regulations, including 19 CFR 24.5, 149.3, 101.9, and
103.31(e).
Purpose(s):
This system of records allows DHS/CBP to collect and maintain
records on all commercial goods imported into the United States, along
with carrier, broker, importer, and other ACE-ITDS Portal user account
and manifest information. The purpose of this system of records is to
track, control, and process all commercial goods imported into the
United States. This facilitates the flow of legitimate shipments, and
assists DHS/CBP in securing U.S. borders and targeting illicit goods.
IIS covers two principle information technology systems: The Automated
Commercial System (ACS) and ACE-ITDS. ACS employs multiple modules to
receive data transmissions from a variety of parties involved in
international commercial transactions and provides DHS/CBP with the
capability to track both the transport transactions and the financial
transactions associated with the movement of merchandise through
international commerce. ACE-ITDS modernizes and enhances trade
processing with features that will consolidate and automate border
processing. ACE-ITDS serves three sets of core stakeholders: The
internal DHS/CBP users, PGAs, and the trade community in the movement
of merchandise through international commerce.
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 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
United States 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 or her official
capacity;
3. Any employee or former employee of DHS in his or 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 the security or
confidentiality of information in the system of records has been
compromised;
2. DHS has determined that as a result of the suspected or
confirmed compromise, there is a risk of identity theft or fraud, harm
to economic or property interests, harm to an individual, or harm to
the security or integrity of this system or other systems or programs
(whether maintained by DHS or another agency or entity) that rely upon
the compromised information; 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 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, 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.
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 when DHS determines that the information would assist in the
enforcement of civil or criminal laws.
H. To a federal, state, or local agency, or other appropriate
entity or individual, or through established liaison channels to
selected foreign governments, in order to provide intelligence,
counterintelligence, or other information for the purposes of
intelligence, counterintelligence, or antiterrorism activities
authorized by U.S. law, Executive Order, or other applicable national
security directive.
I. To the Department of Commerce, United States Census Bureau for
statistical analysis of foreign trade data.
J. To a federal agency, pursuant to an International Trade Data
System Memorandum of Understanding, consistent with the receiving
agency's legal authority to collect information pertaining to and/or
regulate transactions in international trade.
K. To a federal, state, local, tribal, territorial, foreign, or
international agency, maintaining civil, criminal, or other relevant
enforcement information
[[Page 49261]]
or other pertinent information, which has requested information
relevant or necessary to the requesting agency's hiring or retention of
an individual, or issuance of a security clearance, license, contract,
grant, or other benefit;
L. 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, in response to a subpoena, or in connection with criminal
law proceedings;
M. To third parties during the course of an investigation to the
extent necessary to obtain information pertinent to the investigation;
N. To the Department of Justice, Offices of the United States
Attorneys or a consumer reporting agency as defined by the Fair Credit
Reporting Act, address or physical location information concerning the
debtor, for further collection action on any delinquent debt when
circumstances warrant;
O. To appropriate federal, state, local, tribal, or foreign
governmental agencies or multilateral governmental organizations when
DHS is aware of a need to use relevant data for purposes of testing new
technology and systems designed to enhance national security or
identify other violations of law;
P. 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 when
the Department requires information or consultation assistance from the
former employee regarding a matter within that person's former area of
responsibility;
Q. To an organization or individual in either the public or private
sector, either foreign or domestic, when there is a reason to believe
that the recipient is or could become the target of a particular
terrorist activity or conspiracy, to the extent the information is
relevant to the protection of life or property;
R. To paid subscribers, in accordance with applicable regulations,
for the purpose of providing access to manifest information as set
forth in 19 U.S.C. 1431;
S. 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:
Yes, CBP may disclose, pursuant to 5 U.S.C. 552a(b)(12), to
consumer reporting agencies in accordance with the provision of 15
U.S.C. 1681, et seq. or the Federal Claims Collection Act of 1966 as
amended (31 U.S.C. 3701, et seq.). The purpose of this disclosure is to
aid in the collection of outstanding debts owed to the Federal
Government, typically, to provide an incentive for debtors to repay
delinquent Federal Government debts by making these part of their
credit records.
Disclosure of records is limited to the individual's name, address,
EIN/SSN, and other information necessary to establish the individual's
identity; the amount, status, and history of the claim; and the agency
or program under which the claim arose. The disclosure will be made
only after the procedural requirements of 31 U.S.C. 3711(e) have been
followed.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
CBP 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, digital media, and CD-ROM.
Retrievability:
CBP retrieves records by file identification codes, name or other
personal identifier.
Safeguards:
CBP safeguards records in this system in accordance with applicable
rules and policies, including all applicable DHS automated systems
security and access policies. CBP imposes 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. The systems maintain a real-time auditing
function of individuals who access them. Additional safeguards may vary
by Component and program.
Retention and disposal:
The Importer Security Filing form is retained for fifteen years
from date of submission unless it becomes linked to law enforcement
action. All other import records contained within IIS are maintained
for a period of six years from the date of entry.
Some records are retained online in a system database, while others
may be retained in hard copy in ports of entry, as appropriate.
Personally identifiable information collected in IIS as part of the
regulation of incoming cargo will be retained in accordance with the
U.S. Customs Records Schedules approved by the National Archive and
Records Administration for the forms on which the data is submitted.
This means that cargo, crew, driver, and passenger information
collected from a manifest presented in connection with the arrival of a
vessel, vehicle, or aircraft will be retained for six years.
Information collected in connection with the submission of a Postal
Declaration for a mail importation will be retained for a maximum of
six years and three months (as set forth pursuant to NARA Authority N1-
36-86-1, U.S. Customs Records Schedule, Schedule 9 Entry Processing,
Items 4 and 5).
System Manager and address:
Director, Integrated Logistic Support, Cargo Systems Program
Office, Office of Information Technology, U.S. Customs and Border
Protection, who is located at 1801 North Beauregard Street, Alexandria,
Virginia 22311.
Notification procedure:
ACE-ITDS portal users may log in to ACE-ITDS to change their
profile information and make permissible amendments or corrections to
their records. 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 DHS/CBP Freedom of
Information Act (FOIA) Officer, whose contact information can be found
at http://www.dhs.gov/foia 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 Privacy Officer and Chief FOIA Officer, Department of Homeland
Security, 245 Murray Drive SW., Building 410, STOP-0655, Washington, DC
20528.
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,
[[Page 49262]]
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. Although no specific form is required, you may obtain
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, you
should:
Explain 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; and
Provide any other information that will help the FOIA
staff determine which DHS 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 or her agreement for you to access his or her records.
Without the above information, the Component(s) 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 through authorized DHS/CBP or other federal
agency forms, related documents, or electronic submissions from
individuals and/or companies incidental to the conduct of foreign trade
and required to administer the transportation and trade laws and
regulations of the United States.
Exemptions claimed for the system:
DHS/CBP will not assert any exemptions with regard to information
provided by or on behalf of an individual, when requested by the data
subject. However, this data may be shared with law enforcement and/or
intelligence agencies pursuant to the routine uses identified in the
IIS SORN. The Privacy Act requires DHS to maintain an accounting of
such disclosures made pursuant to all routine uses. Disclosing the fact
that a law enforcement and/or intelligence agency has sought particular
records may affect ongoing law enforcement activity. As such, DHS will
claim exemption pursuant to 5 U.S.C. 552a(j)(2) from sections (c)(3),
(e)(8), and (g)(1) of the Privacy Act, and pursuant to 5 U.S.C.
552a(k)(2) from section (c)(3) of the Privacy Act, from providing an
individual the accounting of disclosures, as necessary and appropriate
to protect this information.
Dated: July 31, 2015.
Karen L. Neuman,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2015-19731 Filed 8-14-15; 8:45 am]
BILLING CODE 9111-14-P
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