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

55657 

Vol. 78, No. 176 

Wednesday, September 11, 2013 

1Further information on information collection 

can be found in Intent To Request Approval From 

OMB of One New Public Collection of Information: 

TSA Pre✓TM Trusted Traveler Program; 

Republication, 78 FR 45256 (July 26, 2013) 

(republished for technical correction). 

2Passengers who are eligible for expedited 

screening through a dedicated TSA Pre✓TM lane 

typically will receive more limited physical 

screening, e.g., will be able to leave on their shoes, 

light outerwear, and belt, to keep their laptop in its 

case, and to keep their 3–1–1 compliant liquids/gels 

bag in a carry-on. TSA Pre✓TM lanes are available 

at 40 airports nationwide, with additional 

expansion planned. See TSA Pre✓TM Now Available 

at 40 Airports Nationwide: Expedited Screening 

Begins at Raleigh-Durham International Airport, 

http://www.tsa.gov/press/releases/2013/03/28/tsapre%E2%9C%93%E2%84%A2-now-available-40- 

airports-nationwide-expedited-screening-begins. 

DEPARTMENT OF HOMELAND 

SECURITY 

6 CFR Part 5 

[Docket No. DHS–2013–0041] 

Privacy Act of 1974: Implementation of 

Exemptions; Department of Homeland 

Security Transportation Security 

Administration, DHS/TSA–021, TSA 

Pre✓TM Application Program System 

of Records 

AGENCY: Department of Homeland 

Security. 

ACTION: Notice of proposed rulemaking. 

SUMMARY: The Department of Homeland 

Security is giving concurrent notice of a 

newly established system of records 

pursuant to the Privacy Act of 1974 for 

the ‘‘Department of Homeland Security/ 

Transportation Security Administration021, TSA Pre✓TM; Application Program 

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 October 11, 2013. 

ADDRESSES: You may submit comments, 

identified by docket number DHS– 

2013–0041, 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: Peter 

Pietra, TSA Privacy Officer, TSA–036, 

601 South 12th Street, Arlington, VA 

20598–6036; or email at TSAprivacy@

dhs.gov. For privacy questions, 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)/

Transportation Security Administration 

(TSA) proposes to establish a new DHS 

system of records titled, ‘‘DHS/TSA–021 

TSA Pre✓TM Application Program 

System of Records.’’ 

TSA is establishing this new system 

of records to inform the public of the 

collection, maintenance, dissemination, 

and use of records on individuals who 

voluntarily submit personally 

identifiable information to the TSA 

Pre✓TM Application Program. TSA will 

use the information provided by 

applicants 1 to the Program to perform a 

security threat assessment to identify 

individuals who present a low risk to 

transportation security. This passenger 

prescreening enables TSA to determine 

the appropriate level of security 

screening the passenger will receive 

before the passenger receives a boarding 

pass. 

TSA Pre✓TM Application Program. 

TSA Pre✓TM is a passenger prescreening 

initiative for low risk passengers who 

are eligible to receive expedited 

screening at participating U.S. airport 

security checkpoints.2 TSA Pre✓TM is 

one of several expedited screening 

initiatives that TSA is implementing. 

TSA Pre✓TM, as well as the larger set of 

expedited screening initiatives, enhance 

aviation security by permitting TSA to 

better focus its limited security 

resources on passengers who are more 

likely to pose a threat to civil aviation, 

while also facilitating and improving 

the commercial aviation travel 

experience for the public. 

TSA is implementing the TSA Pre✓TM

Application Program pursuant to its 

authority under section 109(a)(3) of the 

Aviation and Transportation Security 

Act (ATSA), Public Law 107–71 (115 

Stat. 597, 613, Nov. 19, 2001, codified 

at 49 U.S.C. 114 note). That section 

authorizes TSA to ‘‘[e]stablish 

requirements to implement trusted 

passenger programs and use available 

technologies to expedite security 

screening of passengers who participate 

in such programs, thereby allowing 

security screening personnel to focus on 

those passengers who should be subject 

to more extensive screening.’’ 

Members of the public who apply to 

the TSA Pre✓TM Application Program 

will be required to pay a fee. Section 

540 of the DHS Appropriations Act, 

2006, Public Law 109–90 (119 Stat. 

2064, 2088–89, Oct. 18, 2005), 

authorizes TSA to establish and collect 

a fee for any registered traveler program 

by publication of a notice in the Federal 

Register. The Department of Homeland 

Security will issue a separate notice of 

the fee for the TSA Pre✓TM Application 

Program in the Federal Register. 

To apply to the TSA Pre✓TM

Application Program, individuals will 

submit biographic and biometric 

information to TSA. TSA will use the 

information to conduct a security threat 

assessment of law enforcement, 

immigration, and intelligence databases, 

including a fingerprint-based criminal 

history records check conducted 

through the Federal Bureau of 

Investigation (FBI). The results will be 

used by TSA to decide if an individual 

poses a low risk to transportation or 

national security. TSA will provide 

individuals who meet the standards of 


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55658 Federal Register / Vol. 78, No. 176 / Wednesday, September 11, 2013 / Proposed Rules 

3The Known Traveler Number is a component of 

Secure Flight Passenger Data (SFPD), both of which 

are defined in the Secure Flight regulations at 49 

CFR 1560.3. See also the Secure Flight regulations 

at 49 CFR Part 1560. 

4See the Privacy Impact Assessment for the 

Secure Flight Program, DHS/TSA/PIA–018(e), at 

http://www.dhs.gov/xlibrary/assets/privacy/

privacy_pia_tsa_secureflight_update018(e).pdf. See 

also the Secure Flight SORN, DHS/TSA 019, 

https://www.federalregister.gov/articles/2012/11/

19/2012–28058/privacy-act-of-1974-system-ofrecords-secure-flight-records. The Secure Flight 

SORN is being updated for other reasons. 

5This System of Records Notice does not cover 

all individuals who may be eligible for TSA Pre✓TM

expedited screening through some other means (for 

example, U.S. Customs and Border Protection 

Global Entry members, Members of the Armed 

Forces). This system only covers individuals who 

apply to TSA for enrollment in the TSA Pre✓TM

Application Program. 

6SFPD consists of name, gender, date of birth, 

passport information (if available), redress number 

(if available), Known Traveler number (if available), 

reservation control number, record sequence 

number, record type, passenger update indicator, 

traveler reference number, and itinerary 

information. 

the security threat assessment a Known 

Traveler Number (KTN).3

The list of individuals approved 

under the TSA Pre✓TM Application 

Program, including their name, date of 

birth, gender, and KTN, will be 

provided to the TSA Secure Flight 

passenger prescreening system.4 The 

Secure Flight system will not receive 

other applicant information that is 

maintained in the TSA Pre✓TM

Application Program system of records.5

Eligibility for the TSA Pre✓TM

Application Program is within the sole 

discretion of TSA, which will notify 

individuals who are denied eligibility in 

writing of the reasons for the denial. If 

initially deemed ineligible, applicants 

will have an opportunity to correct 

cases of misidentification or inaccurate 

criminal or immigration records. 

Consistent with 28 CFR 50.12 in cases 

involving criminal records, and before 

making a final eligibility decision, TSA 

will advise the applicant that the FBI 

criminal record discloses information 

that would disqualify him or her from 

the TSA Pre✓TM Application Program. 

Within 30 days after being advised 

that the criminal record received from 

the FBI discloses a disqualifying 

criminal offense, the applicant must 

notify TSA in writing of his or her 

intent to correct any information he or 

she believes to be inaccurate. The 

applicant must provide a certified 

revised record, or the appropriate court 

must forward a certified true copy of the 

information, prior to TSA approving 

eligibility of the applicant for the TSA 

Pre✓TM Application Program. With 

respect to immigration records, within 

30 days after being advised that the 

immigration records indicate that the 

applicant is ineligible for the TSA 

Pre✓TM Application Program, the 

applicant must notify TSA in writing of 

his or her intent to correct any 

information believed to be inaccurate. 

TSA will review any information 

submitted and make a final decision. If 

neither notification nor a corrected 

record is received by TSA, TSA may 

make a final determination to deny 

eligibility. Individuals whom TSA 

determines are ineligible for the 

program will continue to be screened at 

airport security checkpoints according 

to TSA standard screening protocols. 

To be eligible for expedited screening 

in a TSA Pre✓TM lane, the passenger 

will provide his or her KTN to the 

airline when making flight reservations. 

When the airline sends the passenger’s 

Secure Flight Passenger Data (SFPD) 6

that includes a KTN to the Secure Flight 

passenger prescreening system, TSA 

will compare that information against 

the TSA Pre✓TM Application Program 

list (as well as watch lists) in Secure 

Flight before issuing an appropriate 

boarding pass printing instruction. If the 

passenger’s identifying information 

matches the entry on the TSA Pre✓TM

Application Program list, the passenger 

will be eligible for expedited screening, 

except that watch list matches will 

receive screening appropriate for their 

watch list status. 

Enrollment into the TSA Pre✓TM

Application Program, and use of the 

associated KTN, does not guarantee that 

an individual always will receive 

expedited screening at airport security 

checkpoints. The Program retains a 

component of randomness to maintain 

the element of unpredictability for 

security purposes. Accordingly, persons 

who have been enrolled in the TSA 

Pre✓TM Application Program may be 

randomly selected for standard physical 

screening on occasion. In addition, 

although the number of TSA Pre✓TM

lanes at U.S. airports is increasing, TSA 

Pre✓TM is not yet available for all 

airports, all airlines, or all flights. 

DHS Information Sharing. Consistent 

with DHS’s information-sharing 

mission, TSA may share information 

stored in the DHS/TSA–021 TSA 

Pre✓TM Application Program system of 

records with other DHS components 

that have a need to know the 

information to carry out their national 

security, law enforcement, immigration, 

intelligence, or other homeland security 

functions. In addition, TSA may share 

information with appropriate federal, 

state, local, tribal, territorial, or foreign 

government agencies consistent with the 

routine uses set forth in the system of 

records notice. 

Notice of Proposed Rulemaking. DHS 

is issuing this notice of proposed 

rulemaking to exempt this system of 

records (see ‘‘Exemptions claimed for 

this system’’) from certain provisions of 

the Privacy Act. This newly established 

system will be included in DHS’s 

inventory. 

No exemption shall be asserted with 

respect to information maintained in the 

system that is submitted by a person if 

that person, or his or her agent, seeks 

access to or amendment of such 

information. This system, however, may 

contain records or information created 

or recompiled from information 

contained in other systems of records 

that are exempt from certain provisions 

of the Privacy Act. For these records or 

information only, as necessary and 

appropriate to protect such information, 

in accordance with 5 U.S.C. 552a(k)(1) 

and (k)(2), DHS also will claim the 

original exemptions for these records or 

information from the following Privacy 

Act (5 U.S.C. 552a) subsections: (c)(3); 

(d); (e)(1); (e)(4)(G), (H), and (I); and (f). 

Moreover, DHS will add these 

exemptions to Appendix C of 6 CFR Part 

5, DHS Systems of Records Exempt from 

the Privacy Act. Such exempt records or 

information may be law enforcement or 

national security investigation or 

encounter records, or terrorist screening 

records. 

DHS needs these exemptions in order 

to protect information relating to 

investigations from disclosure to 

subjects of investigations and others 

who could interfere with investigatory 

material compiled for law enforcement 

or national security purposes. 

Specifically, the exemptions are 

required to: preclude subjects of 

investigations from learning of and 

exploiting sensitive investigatory 

material that would interfere with the 

investigative process; avoid disclosure 

of investigative techniques; protect 

sensitive and classified information 

compiled during the investigation; 

protect Transportation Security 

Administration Office of Intelligence 

and Analysis and other federal agency 

information; ensure DHS’s and other 

federal agencies’ ability to obtain 

information from third parties and other 

sources; protect the privacy of third 

parties; and safeguard Sensitive Security 

Information pursuant to 49 U.S.C. 

114(r). 

Nonetheless, DHS will examine each 

request on a case-by-case basis and, after 

conferring with the appropriate 

component or agency, may waive 

applicable exemptions in appropriate 

circumstances and when it would not 

appear to interfere with or adversely 

affect the investigatory purposes of the 


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Federal Register / Vol. 78, No. 176 / Wednesday, September 11, 2013 / Proposed Rules 55659 

systems from which the information is 

recompiled or in which it is contained. 

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 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/TSA–021 TSA Pre✓TM

Application Program System of Records. 

Some information in DHS/TSA–021 

TSA Pre✓TM Application Program 

System of Records relates to official 

DHS national security, immigration, and 

intelligence activities, and also may be 

Sensitive Security Information. 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; to avoid 

disclosure of investigative techniques; 

to ensure DHS’s ability to obtain 

information from third parties and other 

sources; to protect the privacy of third 

parties; and to safeguard classified 

information. Disclosure of information 

to the subject of the inquiry also could 

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 or national security 

purposes of this system and the overall 

law enforcement or national security 

processes, the applicable exemptions 

may be waived on a case-by-case basis. 

A notice of system of records for DHS/ 

TSA–021 TSA Pre✓TM Application 

Program 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: 6 U.S.C. 101 et seq.; Pub. L. 

107–296, 116 Stat. 2135; 5 U.S.C. 301. 

Subpart A also issued under 5 U.S.C. 552. 

Subpart B also issued under 5 U.S.C. 552a. 

■ 2. Amend Appendix C to Part 5 by 

adding paragraph 70 to read as follows: 

Appendix C to Part 5—DHS Systems of 

Records Exempt From the Privacy Act 

* * * * * 

70. The DHS/TSA–021 TSA Pre✓TM

Application Program System of Records 

consists of electronic and paper records and 

will be used by DHS/TSA. The DHS/TSA– 

021 Pre✓TM Application Program System of 

Records is a repository of information held 

by DHS on individuals who voluntarily 

provide personally identifiable information 

to the Transportation Security 

Administration in return for enrollment in a 

program that will make them eligible for 

expedited security screening at designated 

airports. This System of Records contains 

personally identifiable information in 

biographic application data, biometric 

information, pointer information to law 

enforcement databases, payment tracking, 

and U.S. Application membership decisions 

that support the TSA Pre✓TM Application 

Program membership decisions. The DHS/

TSA–012 TSA Pre✓TM Application Program 

System of Records contains information that 

is collected by, on behalf of, in support of, 

or in cooperation with DHS and its 

components and may contain personally 

identifiable information collected by other 

federal, state, local, tribal, territorial, or 

foreign government agencies. 

The Secretary of Homeland Security, 

pursuant to 5 U.S.C. 552a(k)(1) and (k)(2), has 

exempted this system from the following 

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

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

and (f). Where a record received from another 

system has been exempted in that source 

system under 5 U.S.C. 552a(k)(1) and (k)(2), 

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 basis to be determined at the 

time a request is made, for the following 

reasons: 

(a) From subsection (c)(3) (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 also would 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 subsections (e)(4)(G), (H), and (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 the 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, 

potential witnesses, and confidential 

informants. 

Dated: September 4, 2013. 

Jonathan R. Cantor, 

Acting Chief Privacy Officer, Department of 

Homeland Security. 

[FR Doc. 2013–22069 Filed 9–10–13; 8:45 am] 

BILLING CODE 9110–9M–P 


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