This section of the FEDERAL REGISTER

contains notices to the public of the proposed

issuance of rules and regulations. The

purpose of these notices is to give interested

persons an opportunity to participate in the

rule making prior to the adoption of the final

rules.

Proposed Rules Federal Register

4079 

Vol. 78, No. 13 

Friday, January 18, 2013 

DEPARTMENT OF HOMELAND 

SECURITY 

Office of the Secretary 

6 CFR Part 5 

[Docket No. DHS 2012–0076] 

Privacy Act of 1974: Implementation of 

Exemptions; Department of Homeland 

Security U.S. Customs and Border 

Protection—002 Global Enrollment 

System (GES), System of Records 

AGENCY: Privacy Office, DHS. 

ACTION: Notice of proposed rulemaking. 

SUMMARY: The Department of Homeland 

Security is giving concurrent notice of 

an updated and reissued system of 

records pursuant to the Privacy Act of 

1974 for the ‘‘Department of Homeland 

Security/U.S. Customs and Border 

Protection—002 Global Enrollment 

System (GES), System of Records’’ and 

this proposed rulemaking. In this 

proposed rulemaking, the Department 

proposes to exempt portions of the 

system of records from one or more 

provisions of the Privacy Act because of 

criminal, civil, and administrative 

enforcement requirements. 

DATES: Comments must be received on 

or before February 19, 2013. 

ADDRESSES: You may submit comments, 

identified by docket number DHS 2012– 

0076, 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: Jonathan R. Cantor, Acting 

Chief Privacy Officer, Privacy Office, 

Department of Homeland Security, 

Washington, DC 20528. 

Instructions: All submissions received 

must include the agency name and 

docket number for this notice. All 

comments received will be posted 

without change to http:// 

www.regulations.gov, including any 

personal information provided. 

Docket: For access to the docket to 

read background documents or 

comments received, go to http:// 

www.regulations.gov. 

FOR FURTHER INFORMATION CONTACT: For 

general questions please contact: 

Laurence Castelli, (202) 325–0280, CBP 

Privacy Officer, U.S. Customs and 

Border Protection, Mint Annex, 799 

Ninth Street NW., Washington, DC 

20229. For privacy issues please 

contact: Jonathan R. Cantor (202–343– 

1717), Acting Chief Privacy Officer, 

Privacy Office, Department of Homeland 

Security, Washington, DC 20528. 

SUPPLEMENTARY INFORMATION: 

I. Background 

In accordance with the Privacy Act of 

1974, 5 U.S.C. 552a, the Department of 

Homeland Security (DHS) U.S. Customs 

and Border Protection (CBP) proposes to 

exempt portions of a current DHS 

system of records titled, ‘‘DHS/CBP–002 

Global Enrollment System (GES)’’ 

system of records. 

Global Entry (GE) is the DHS/CBP 

program that enables CBP to expedite 

the inspection and security process for 

lower risk travelers and allows more 

scrutiny for those travelers who present 

an unknown risk. GE, previously a pilot 

program, is now a permanent trusted 

traveler program (77 FR 5681 (Feb. 6, 

2012)). Under GE, expedited processing 

into the United States and certain 

foreign countries will be expanded 

through a growing number of 

participating U.S. and foreign 

international airports and foreign 

partnerships. Through such 

partnerships, U.S. citizens and citizens 

of certain foreign countries will be able 

to apply for expedited processing at 

their respective airports. 

CBP has signed a number of joint 

statements with foreign partners that 

provide the basic framework for 

allowing U.S. citizens and citizens of 

the applicable foreign countries to apply 

for expedited processing at their 

respective airports. The general purpose 

of the joint statement is to offer 

expedited processing to U.S. citizens 

and the citizens of the foreign country 

that is party to that joint statement, 

based on a mutually determined set of 

vetting criteria and standards. CBP 

continues to work with government 

border authorities in various countries 

to create this growing international 

network in which, once individuals are 

screened and deemed trusted by the 

authorities in their own country, the 

other country in the alliance will accept 

them in their respective national trusted 

traveler programs. 

In addition to new foreign partners, 

CBP has consolidated the registered 

traveler programs under GES to include 

the Small Vessel Reporting System 

(SVRS) and the Decal and Transponder 

Online Procurement System (DTOPS). 

SVRS, as an enhancement to the Local 

Boater Option (LBO) pilot program, 

allows individuals with advance 

submission and CBP approval of float 

plans to use a designated telephone line 

to notify a CBP officer of their arrival to 

the United States. DTOPS is a registered 

traveler program that allows individuals 

to purchase, renew, or transfer user fees 

related to the transponders/Radio 

Frequency Identification (RFID) tags for 

their commercial vehicles or to the 

decals for their private aircraft or vessels 

in advance of crossing a U.S. border. 

The system of records notice is being 

re-published to update the categories of 

records, authorities, purposes, routine 

uses, retrievability, retention and 

disposal, notification procedures, record 

sources, and Privacy Act exemptions for 

the system of records. Specifically, DHS 

is updating the category of records to 

clarify that GES maintains limited law 

enforcement information, consisting of 

the case number references to law 

enforcement databases used to support 

or deny the membership decision for 

GES trusted traveler programs, as well 

as the membership decision for trusted 

traveler programs with foreign partners. 

These results were previously covered 

by the DHS/CBP–011 TECS SORN (73 

FR 77778 (Dec. 19, 2008.) DHS/CBP is 

also retaining the fact of the other 

foreign governments’ decisions either to 

approve or deny an application, 

pursuant to the applicable joint 

statements. 

Participation in these programs is 

entirely voluntary. Joint statements with 

foreign partners establish that each 

country’s use of GES information for 

vetting will be consistent with 

applicable domestic laws and policies. 

Participants should be aware that when 

they submit their information to a 

foreign country, or agree to share their 

information with a foreign partner, the 

foreign country uses, maintains, retains, 

or disseminates their information in 

accordance with that foreign country’s 

laws and privacy protections. 


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4080 Federal Register / Vol. 78, No. 13 / Friday, January 18, 2013 / Proposed Rules 

The Secretary of Homeland Security, 

pursuant to 5 U.S.C. 552a(j)(2), has 

exempted the law enforcement related 

records, including the pointer 

information to other law enforcement 

databases that support the DHS/CBP 

membership decision, and the law 

enforcement risk assessment worksheet 

that have been created during the 

background check and vetting process, 

from the following provisions of the 

Privacy Act: 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)(1). Additionally, the Secretary of 

Homeland Security, pursuant to 5 

U.S.C. 552a(k)(2), has exempted records 

created during the background check 

and vetting process from the following 

provisions of the Privacy Act: 5 U.S.C. 

552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), 

(e)(4)(I); and (f). In addition, when a 

record contains information from other 

exempt systems of records, DHS/CBP 

will claim the same exemptions for that 

record as are claimed for the original 

systems of records, and will claim any 

additional exemptions provided here. 

CBP will not assert any exemptions 

with regard to accessing or amending an 

individual’s application data and final 

membership determination in the 

trusted traveler program. However, this 

data may be shared with law 

enforcement and/or intelligence 

agencies pursuant to the routine uses 

identified in this SORN. The Privacy 

Act requires DHS 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, the 

Secretary of Homeland Security 

pursuant to 5 U.S.C. 552a (j)(2) and 

(k)(2), will claim an exemption from 

(c)(3), (e)(8), and (g)(1) of the Privacy 

Act, as is necessary and appropriate to 

protect this information. The 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 personally identifiable 

information. The Privacy Act applies to 

information that is maintained in a 

‘‘system of records.’’ A ‘‘system of 

records’’ is a group of any records under 

the control of an agency from which 

information is retrieved by the name of 

the individual or by some identifying 

number, symbol, or other identifying 

particular assigned to the individual. In 

the Privacy Act, an individual is defined 

to encompass U.S. citizens and lawful 

permanent residents. As a matter of 

policy, DHS extends administrative 

Privacy Act protections to all 

individuals when systems of records 

maintain information on U.S. citizens, 

lawful permanent residents, and 

visitors. 

The Privacy Act allows government 

agencies to exempt certain records from 

the access and amendment provisions. If 

an agency claims an exemption, 

however, it must issue a Notice of 

Proposed Rulemaking to make clear to 

the public the reasons why a particular 

exemption is claimed. 

DHS is claiming exemptions from 

certain requirements of the Privacy Act 

for DHS/CBP—002 GES. Some 

information in DHS/CBP—002 GES 

System of Records relates to official 

DHS national security, law enforcement, 

and immigration activities. These 

exemptions are needed to protect 

information relating to DHS activities 

from disclosure to subjects or others 

related to these activities. Specifically, 

the exemptions are required to preclude 

subjects of these activities from 

frustrating these processes or to avoid 

disclosure of activity techniques. 

Disclosure of information to the subject 

of the inquiry could also permit the 

subject to avoid detection or 

apprehension. 

In appropriate circumstances, when 

compliance would not appear to 

interfere with or adversely affect the law 

enforcement purposes of this system 

and the overall law enforcement 

process, the applicable exemptions may 

be waived on a case by case basis. 

A notice of system of records for DHS/ 

CBP—002 GES System of Records is 

also published in this issue of the 

Federal Register. 

List of Subjects in 6 CFR Part 5 

Freedom of information; Privacy. 

For the reasons stated in the 

preamble, DHS proposes to amend 

Chapter I of Title 6, Code of Federal 

Regulations, as follows: 

PART 5—DISCLOSURE OF RECORDS 

AND INFORMATION 

■ 1. The authority citation for Part 5 

continues to read as follows: 

Authority: Pub. L. 107–296, 116 Stat. 2135; 

(6 U.S.C. 101 et seq.); 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. 

■ 2. In Appendix C to Part 5, revise 

paragraph ‘‘68’’, to read as follows: 

Appendix C to Part 5—DHS Systems of 

Records Exempt From the Privacy Act 

* * * * * 

68. The DHS/U.S. Customs and Border 

Protection (CBP)—002 Global Enrollment 

System (GES) system of records consists of 

electronic and paper records and will be used 

by DHS and its components. The DHS/CBP– 

002 GES system of records collects and 

maintains records on individuals who 

voluntarily provide personally identifiable 

information to U.S. Customs and Border 

Protection in return for enrollment in a 

program that will make them eligible for 

expedited processing at designated U.S. 

border ports of entry. The DHS/CBP–002 GES 

system of records contains personally 

identifiable information in biographic 

application data, biometric information, 

conveyance information, pointer information 

to other law enforcement databases that 

support the DHS/CBP membership decision, 

Law Enforcement risk assessment 

worksheets, payment tracking numbers, and 

U.S. or foreign trusted traveler membership 

decisions in the form of a ‘‘pass/fail.’’ 

The Secretary of Homeland Security, 

pursuant to 5 U.S.C. 552a(j)(2), has exempted 

the law enforcement related records, 

including the pointer information to other 

law enforcement databases that support the 

DHS/CBP membership decision, and the law 

enforcement risk assessment worksheet that 

have been created during the background 

check and vetting process 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)(1). Additionally, the Secretary of 

Homeland Security, pursuant to 5 U.S.C. 

552a(k)(2), has exempted records created 

during the background check and vetting 

process from the following provisions of the 

Privacy Act: 5 U.S.C. 552a(c)(3), (d), (e)(1), 

(e)(4)(G), (e)(4)(H), (e)(4)(I), and (f). 

CBP will not assert any exemptions with 

regard to accessing or amending an 

individual’s application data in a trusted or 

registered traveler program and/or final 

membership determination in the trusted 

traveler programs. However, this data may be 

shared with law enforcement and/or 

intelligence agencies pursuant to the 

published routine uses in the system of 

records notice, DHS/CBP–002 GES. The 

Privacy Act requires DHS 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, the Secretary of Homeland 

Security, pursuant to 5 U.S.C. 552a(j)(2) and 

(k)(2) has exempted these records from (c)(3), 

(e)(8), and (g)(1) of the Privacy Act, as is 

necessary and appropriate to protect this 

information. When a record received from 

another system has been exempted in that 

source system, DHS will claim the same 

exemptions for those records that are claimed 

for the original primary systems of records 

from which they originated and claims any 

additional exemptions set forth here. 

Exemptions from these particular 

subsections are justified, on a case-by-case 


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Federal Register / Vol. 78, No. 13 / Friday, January 18, 2013 / Proposed Rules 4081 

basis to be determined at the time a request 

is made, for the following reasons: 

(a) From subsection (c)(3) and (4) 

(Accounting for Disclosures) because release 

of the accounting of disclosures could alert 

the subject of an investigation of an actual or 

potential criminal, civil, or regulatory 

violation to the existence of that investigation 

and reveal investigative interest on the part 

of DHS as well as the recipient agency. 

Disclosure of the accounting would therefore 

present a serious impediment to law 

enforcement efforts and/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 and would 

impose an unreasonable administrative 

burden by requiring investigations to be 

continually reinvestigated. In addition, 

permitting access and amendment to such 

information could disclose security-sensitive 

information that could be detrimental to 

homeland security. 

(c) From subsection (e)(1) (Relevancy and 

Necessity of Information) because in the 

course of investigations into potential 

violations of federal law, the accuracy of 

information obtained or introduced 

occasionally may be unclear, or the 

information may not be strictly relevant or 

necessary to a specific investigation. In the 

interests of effective law enforcement, it is 

appropriate to retain all information that may 

aid in establishing patterns of unlawful 

activity. 

(d) From subsection (e)(2) (Collection of 

Information from Individuals) because 

requiring that information be collected from 

the subject of an investigation would alert the 

subject to the nature or existence of the 

investigation, thereby interfering with that 

investigation and related law enforcement 

activities. 

(e) From subsection (e)(3) (Notice to 

Subjects) because providing such detailed 

information could impede law enforcement 

by compromising the existence of a 

confidential investigation or reveal the 

identity of witnesses or confidential 

informants. 

(f) From subsections (e)(4)(G), (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. Compliance with subsection (e)(5) 

would preclude DHS agents from using their 

investigative training and exercise of good 

judgment to both conduct and report on 

investigations. 

(h) From subsection (e)(8) (Notice on 

Individuals) because compliance would 

interfere with DHS’s ability to obtain, serve, 

and issue subpoenas, warrants, and other law 

enforcement mechanisms that may be filed 

under seal and could result in disclosure of 

investigative techniques, procedures, and 

evidence. 

(j) From subsection (g)(1) (Civil Remedies) 

to the extent that the system is exempt from 

other specific subsections of the Privacy Act. 

* * * * * 

Dated: December 31, 2012. 

Jonathan R. Cantor, 

Acting Chief Privacy Officer, Department of 

Homeland Security. 

[FR Doc. 2013–00800 Filed 1–17–13; 8:45 am] 

BILLING CODE 9111–14–P 

FEDERAL ELECTION COMMISSION 

11 CFR Part 111 

[Notice 2013–01] 

Request for Comment on Enforcement 

Process 

AGENCY: Federal Election Commission. 

ACTION: Request for comments. 

SUMMARY: The Federal Election 

Commission is requesting comment on 

certain aspects of its enforcement 

process. First and foremost, the 

Commission welcomes public comment 

on whether this agency is doing an 

effective job in enforcing the Act and 

Commission regulations. Additionally, 

the Commission is currently reviewing 

and seeks public comment on: Its 

policies, practices, and procedures 

during the enforcement process stage set 

forth in 2 U.S.C. 437g(a)(1), prior to the 

Commission’s determination of whether 

there is ‘‘reason to believe’’ that a 

person has committed, or is about to 

commit, a violation of the Federal 

Election Campaign Act of 1971, as 

amended, 2 U.S.C. 431 et seq. (‘‘FECA’’ 

or ‘‘the Act’’) and/or the Commission’s 

implementing regulations; and the 

Commission’s authority under 2 U.S.C. 

437g(a)(5) to seek civil penalties from 

respondents pursuant to a finding of 

‘‘probable cause to believe’’ that a 

respondent has violated the Act and/or 

Commission regulations, as well as the 

Commission’s practice of seeking civil 

penalties prior to a finding of probable 

cause. 

DATES: Comments must be received on 

or before Friday, April 19, 2013. The 

Commission will determine at a later 

date whether to hold a hearing. 

ADDRESSES: All comments must be in 

writing. Comments may be submitted 

electronically via email to 

process@fec.gov. Commenters are 

encouraged to submit comments 

electronically to ensure timely receipt 

and consideration. Alternatively, 

comments may be submitted in paper 

form. Paper comments must be sent to 

the Federal Election Commission, Attn.: 

Commission Secretary, 999 E Street 

NW., Washington, DC 20463. All 

comments must include the full name 

and postal service address of the 

commenter, and of each commenter if 

filed jointly, or they will not be 

considered. The Commission will post 

comments on its Web site at the 

conclusion of the comment period. 

FOR FURTHER INFORMATION CONTACT: Mr. 

Stephen A. Gura, Deputy Associate 

General Counsel for Enforcement, 999 E 

Street NW., Washington, DC 20463, 

(202) 694–1650 or (800) 424–9530. 

SUPPLEMENTARY INFORMATION: 

Background 

I. Past Commission Hearings and 

Enforcement Process Reforms 

The Commission is currently 

reviewing, and seeks public comment 

on, certain enforcement policies, 

practices, and procedures. The 

Commission will use the comments 

received to determine whether its 

policies, practices, or procedures should 

be adjusted, and whether rulemaking in 

these areas is advised. The Commission 

has made no decisions in these areas 

and may choose to take no action. The 

Commission last conducted a 

comprehensive review of its 

enforcement policies, practices, and 

procedures, among other issues, in late 

2008 and early 2009. See Agency 

Procedures, 73 FR 74494 (Dec. 8, 2008). 

Comments filed in the 2008/2009 

review, as well as a transcript of the 

public hearing, are available on the 

Commission’s Web site at http:// 

www.fec.gov/law/policy/enforcement/ 

publichearing011409.shtml. Subsequent 

to that review, the Commission adopted 

or formalized several procedures 


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