[Federal Register Volume 73, Number 245 (Friday, December 19, 2008)]
[Notices]
[Pages 77807-77810]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-29846]
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DEPARTMENT OF HOMELAND SECURITY
Office of the Secretary
[Docket No. DHS-2008-0156]
Privacy Act of 1974; U.S. Customs and Border Protection-014
Regulatory Audit Archive System (RAAS) System of Records
AGENCY: Privacy Office; DHS.
ACTION: Notice of Privacy Act system of records.
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SUMMARY: In accordance with the Privacy Act of 1974 and as part of the
Department of Homeland Security's ongoing effort to review and update
legacy system of record notices, the Department of Homeland Security/
U.S. Customs and Border Protection proposes to update and reissue the
following legacy record system, Treasury/CS.206 Regulatory Audits of
Customhouse Brokers, October 18, 2001, as a U.S. Customs and Border
Protection system of records notice titled, U.S. Customs and Border
Protection Regulatory Audits of Customs Brokers. Categories of
individuals, categories of records, and the routine uses of this legacy
system of records notice have been reviewed and updated to better
reflect the Department of Homeland Security/U.S. Customs and Border
Protection Regulatory Audit Archive System (RAAS). Additionally, the
Department of Homeland Security is issuing a notice of proposed
rulemaking concurrent with this system of records notice 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 reissued system will be included in
the Department of Homeland Security's inventory of record systems.
DATES: Written comments must be submitted on or before January 20,
2009.
ADDRESSES: You may submit comments, identified by docket number DHS-
2008-0156 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 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:
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
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 system
of records notices for the collection and maintenance of records that
concern records on regulatory audits of customs brokers.
As part of its efforts to streamline and consolidate its record
systems, DHS is updating and reissuing a DHS/CBP system of records
under the Privacy Act (5 U.S.C. 552a) that deals with
[[Page 77808]]
regulatory audits of customs brokers. These audits are part of CBP's
continuing oversight of Customs Brokers, who are licensed by CBP,
pursuant to 19 U.S.C. 1641, to act as agents for importers in the entry
of merchandise and payment of duties and fees. This SORN also covers
information maintained with respect to other persons, engaged in
international trade, who are the subject of a regulatory audit or are
identified in and related to the scope of an audit report.
In accordance with the Privacy Act of 1974 and as part of DHS's
ongoing effort to review and update legacy system of record notices,
DHS proposes to update and reissue the following legacy record system,
Treasury/CS.206 Regulatory Audits of Customhouse Brokers (66 FR 52984
October 18, 2001), as a DHS/CBP system of records notice titled, U.S.
Customs and Border Protection--014 Regulatory Audit Archive System
(RAAS). Categories of individuals and categories of records have been
reviewed, and the routine uses of this legacy system of records notice
have been updated to better reflect the DHS/CBP--014 Regulatory Audit
Archive System (RAAS) record system. 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 SORN will continue to be applicable until the final rule for
this SORN is completed. This reissued system will be included in DHS'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 that each agency publish in the Federal
Register a description denoting the type and character of each system
of records in order to make agency recordkeeping practices transparent,
to notify individuals about the use of their records, and to assist the
individual to more easily find files within the agency. Below is a
description of the Regulatory Audits of Customs Brokers System of
Records.
In accordance with 5 U.S.C. 552a(r), DHS has provided a report of
this revised system of records to the Office of Management and Budget
and to the Congress.
System of Records:
DHS/CBP-014.
System name:
U.S. Customs and Border Protection--014 Regulatory Audit Archive
System (RAAS).
Security classification:
Unclassified.
System location:
Records are maintained at the U.S. Customs and Border Protection
Headquarters in Washington, DC and in field offices.
Categories of individuals covered by the system:
Categories of individuals covered by this system include persons
licensed as a customs broker, employees of a customs broker, clients,
and other persons engaged in international trade who are identified in
an audit report. Additionally, individuals who have been given access
to RAAS for authorized purposes.
Categories of records in the system:
Categories of records in this system include:
Individual's name, including names of officers of customs
broker firms or other business entities engaged in international trade
and identified as a subject of an audit or related to the scope of an
audit;
Audit reports of subject accounts and records;
Correspondence with the subject of the audits and such
audit reports;
Congressional inquiries concerning customs brokers or
other audit subjects and disposition made of such inquiries; and
License and permit numbers and dates issued and district
or port covered.
Authority for maintenance of the system:
5 U.S.C. 301; the Federal Records Act, 44 U.S.C. 3101; 19 U.S.C.
1508, 1509, 1641; and 19 CFR parts 111, 143, and 163.
Purpose(s):
The purpose of this system is to collect and maintain records on
the regulatory audits of customs brokers. These audits are part of
CBP's continuing oversight of Customs Brokers, who are licensed by CBP,
pursuant to 19 U.S.C. 1641, to act as agents for importers in the entry
of merchandise and payment of duties and fees. The system also
maintains the records of audits conducted on other persons or business
entities engaged in international trade.
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
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
[[Page 77809]]
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 from a court of competent jurisdiction.
J. To third parties during the course of a law enforcement
investigation 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,
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:
Individual's name or audit report file number.
Safeguards:
Records in this system are safeguarded in accordance with
applicable rules and policies, including all applicable DHS automated
systems security and access policies. Strict controls have been imposed
to minimize the risk of compromising the information that is being
stored. Access to this 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:
Regulatory Audit files are retained for 10 years, and then placed
in General Service Administration long-term archival storage.
System Manager and address:
Executive Director, Office of Regulatory Audit, Customs and Border
Protection Headquarters, 1300 Pennsylvania Avenue, NW., Mint Annex,
Washington, DC 20229.
Notification procedure:
Individuals seeking notification of and access to any record
contained in this system of records, or seeking to contest its content,
may submit a request in writing to 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
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:
The information contained in these files originates in connection
with customs broker audits and audits of other persons engaged in
international
[[Page 77810]]
commerce conducted by the regulatory audit staffs. The audits may be
supplemented with information furnished by the Office of the Chief
Counsel or its field offices, Office of International Trade, Office of
Regulations and Rulings, and the Office of Investigations, U.S.
Immigration and Customs Enforcement. These audits include examinations
of brokers, importers, and other persons, who are engaged in
international trade, business records, including data maintained in
support of client customs business.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1),
(e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) of the Privacy Act pursuant to
5 U.S.C. 552a(k)(2).
Dated: December 10, 2008.
Hugo Teufel III,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. E8-29846 Filed 12-18-08; 8:45 am]
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