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[Federal Register Volume 79, Number 211 (Friday, October 31, 2014)]
[Notices]
[Pages 64812-64815]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-25905]

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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2014-0056]

Privacy Act of 1974; Department of Homeland Security/United 
States Coast Guard--029 Notice of Arrival and Departure System of 
Records

AGENCY: Department of Homeland Security, Privacy Office.

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 update and reissue a current Department 
of Homeland Security (DHS) system of records titled, ``Department of 
Homeland Security/United States Coast Guard--029 Notice of Arrival and 
Departure System of Records.'' This system of records allows the 
Department of Homeland Security/United States Coast Guard (USCG) to 
facilitate the effective and efficient entry and departure of vessels 
into and from the United States, and assist with assigning priorities 
for conducting maritime safety and security regulations. As a result of 
a biennial review of this system, the Department of Homeland Security/
United States Coast Guard is updating this system of records notice to 
update the system manager and address category. Additionally, this 
notice includes non-substantive changes to simplify the formatting and 
text of the previously published notice. This updated system will be 
included in the Department of Homeland Security's inventory of record 
systems.

DATES: Submit comments on or before December 1, 2014. This updated 
system will be effective December 1, 2014.

ADDRESSES: You may submit comments, identified by docket number DHS-
2014-0056 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: 
Marilyn Scott-Perez, (202) 475-3515, Privacy Officer, Commandant (CG-
61), United States Coast Guard, Mail Stop 7710, Washington, DC 20593. 
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) United States Coast Guard (USCG) 
proposes to update and reissue a current DHS system of records titled, 
``DHS/USCG--029 Notice of Arrival and Departure System of Records.'' 
The collection and maintenance of this information will assist DHS/USCG 
in meeting its statutory obligation to assign priorities while 
conducting maritime safety and security missions in accordance with 
international and U.S. regulations. As a result of a biennial review of 
the system, the system manager and address category has been updated to 
reflect the new mail stop.
    Consistent with DHS's information sharing mission, information 
stored in the DHS/USCG--029 Notice of Arrival and Departure (NOAD) may 
be shared 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, DHS/USCG may share information with appropriate federal, 
state, local, tribal, territorial, foreign, or international government 
agencies consistent with the routine uses set forth in this system of 
records notice.
    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 individuals when systems of records 
maintain information on U.S. citizens, lawful permanent residents, and 
visitors.
    Below is the description of the DHS/USCG-029 Notice of Arrival and 
Departure System of Records.
    In accordance with 5 U.S.C. 552a(r), DHS has provided a report of 
this system of records to the Office of Management and Budget and to 
Congress.

[[Page 64813]]

System of Records
Department of Homeland Security (DHS)/USCG-029

System name:
    DHS/USCG-029 Notice of Arrival and Departure System of Records

Security classification:
    Unclassified

System location:
    Records are maintained at the United States Coast Guard (USCG) 
Operations Systems Center, Kearneysville, West Virginia (WV), and other 
field locations. Ship Arrival Notice is the information technology (IT) 
system in which records associated with this function are maintained.

Categories of individuals covered by the system:
    Categories of individuals covered by this notice consist of crew 
members who arrive and depart the U.S. by sea and individuals 
associated with a vessel and whose information is submitted as part of 
a notice of arrival or notice of departure, including but not limited 
to vessel owners, operators, charterers, reporting parties, 24-hour 
contacts, company security officers, and persons in addition to crew 
who arrive and depart the U.S. by sea.

Categories of records in the system:
     Records on vessels includes: Name of vessel; Name of 
registered owner; country of registry; call sign; International 
Maritime Organization (IMO) number or, if a vessel does not have an IMO 
number the official number; name of the operator; name of charterer; 
and name of classification society.
     Records on arrival information pertaining to the vessel 
includes: Names of last five foreign ports or places visited by the 
vessel; dates of arrival and departure for last five foreign ports or 
places visited; for each port or place of the U.S. to be visited, the 
name of the receiving facility; for the port or place of the U.S., the 
estimated date and time of arrival; for the port or place in the U.S., 
the estimated date and time of departure; the location (port or place 
and country) or position (latitude and longitude or waterway and mile 
marker) of the vessel at the time of reporting; and the name and 
telephone number of a 24-hour point of contact (POC).
     Records on departure information as it pertains to the 
voyage includes: The name of departing port or waterways of the U.S.; 
the estimated date and time of departure; next port or place of call 
(including foreign); the estimated date and time of arrival; and the 
name and telephone number of a 24-hour POC.
     Records on crewmembers include: Full name; date of birth; 
nationality; identification type (for example, passport, U.S. Alien 
Registration Card, U.S. Merchant Mariner Document, foreign mariner 
document, government issued picture Identification (ID) (Canada), or 
government-issued picture ID (U.S.), number, issuing country, issue 
date, expiration date); position or duties on the vessel; where the 
crewmember embarked (list port or place and country); and where the 
crewmember will disembark.
     Records for each individual onboard in addition to crew 
include: Full name; date of birth; nationality; identification type 
(for example: Passport, U.S. alien registration card, government-issued 
picture ID (Canada), government-issued picture ID (U.S.), number, 
issuing country, issue date, expiration date); U.S. address 
information; and from where the person embarked (list port or place and 
country).
     Records related to cargo onboard the vessel include: A 
general description of cargo other than Certain Dangerous Cargo (CDC) 
onboard the vessel (e.g., grain, container, oil); name of each CDC 
carried, including United Nations (UN) number, if applicable; and 
amount of each CDC carried.
     Records regarding the operational condition of equipment 
required by 33 Code of Federal Regulations (CFR) part 164; the date of 
issuance for the company's document of compliance certificate; the date 
of issuance of the vessel's safety management certificate; and the name 
of the flag administration, or recognized organization(s) representing 
the vessel flag administration that issued those certificates.

Authority for maintenance of the system:
    Departmental Regulations, 5 U.S.C. 301; 14 U.S.C. 632; 33 U.S.C. 
1223; 46 U.S.C. 3717; 46 U.S.C. 12501; Federal Records Act of 1950, 
Public Law 90-620; the Maritime Transportation Act of 2002, Public Law 
107-295; the Homeland Security Act of 2002, Public Law 107-296; 33 CFR 
part 160; and 36 CFR chapter XII.

Purpose(s):
    The purpose of this system is to maintain NOAD information to 
screen individuals and cargo associated with vessels entering or 
departing U.S. waterways for maritime safety, maritime security, 
maritime law enforcement, marine environmental protection, and other 
related purposes.

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 
U.S. 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/her official 
capacity;
    3. Any employee or former employee of DHS in his/her individual 
capacity when DOJ or DHS has agreed to represent the employee; or
    4. The U.S. 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.

[[Page 64814]]

    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 an appropriate federal, state, tribal, local, international, 
or foreign law enforcement agency or other appropriate authority 
charged with investigating or prosecuting a violation or enforcing or 
implementing a law, rule, regulation, or order, when a record, either 
on its face or in conjunction with other information, indicates a 
violation or potential violation of law, which includes criminal, 
civil, or regulatory violations and such disclosure is proper and 
consistent with the official duties of the person making the 
disclosure.
    H. To federal and foreign government intelligence or 
counterterrorism agencies or components if USCG becomes aware of an 
indication of a threat or potential threat to national or international 
security, or if such use is to assist in anti-terrorism efforts and 
disclosure is appropriate to the proper performance of the official 
duties of the person making the disclosure.
    I. To an organization or individual in either the public or private 
sector, foreign or domestic, if 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, property, or other vital interests of a data 
subject and disclosure is proper and consistent with the official 
duties of the person making the disclosure;
    J. To appropriate federal, state, local, tribal, territorial, or 
foreign governmental agencies or multilateral governmental 
organizations for the purpose of protecting the vital interests of a 
data subject or other persons, appropriate notice will be provided of 
any identified health threat or risk to assist such agencies or 
organizations in preventing exposure to or transmission of a 
communicable or quarantined disease or for combating other significant 
public health threats;
    K. 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, settlement 
negotiations, response to a subpoena, or in connection with criminal 
law proceedings;
    L. 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 in the proper 
performance of the official duties of the officer making the 
disclosure;
    M. To an appropriate federal, state, local, tribal, territorial, 
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 
when disclosure is appropriate to the proper performance of the 
official duties of the person making the request;
    N. To appropriate federal, state, local, tribal, territorial, or 
foreign governmental agencies or multilateral governmental 
organizations if USCG is aware of a need to utilize relevant data for 
purposes of testing new technology and systems designed to enhance 
border security or identify other violations of law.
    O. 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, when 
disclosure is necessary to preserve confidence in the integrity of DHS, 
or when disclosure is necessary to demonstrate the accountability of 
DHS's officers, employees, or individuals covered by the system, except 
to the extent the Chief Privacy Officer determines 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:
    USCG stores NOAD information electronically in the Ship Arrival 
Notice System (SANS) located at USCG Operations Systems Center in 
Kearneysville, WV. USCG uses an alternative storage facility for the 
SANS historical logs and system backups. Derivative NOAD system data 
may be stored on USCG Standard Workstation III computers or USCG unit 
servers located at USCG Headquarters, headquarters units, area offices, 
sector offices, sector sub-unit offices, and other locations where USCG 
authorized personnel may be posted to facilitate DHS' mission.

Retrievability:
    USCG retrieves records from the SANS by vessel and then extracted 
by name, passport number, or other unique personal identifier. NOAD 
information maintained in the SANS is not directly retrievable by name 
or other unique personal identifier.

Safeguards:
    USCG safeguards NOAD data in the SANS in accordance with applicable 
laws, rules, and policies. All records are protected from unauthorized 
access through appropriate administrative, physical, and technical 
safeguards. These safeguards include role-based access provisions, 
restricting access to authorized personnel who have a need-to-know, 
using locks, and password protection identification features. USCG file 
areas are locked after normal duty hours and the facilities are 
protected from the outside by security personnel. The system manager, 
in addition, has the capability to maintain system back-ups for the 
purpose of supporting continuity of operations and the discrete need to 
isolate and copy specific data access transactions for the purpose of 
conducting security incident investigations. All communication links 
with the USCG datacenter are encrypted. The databases are Certified and 
Accredited in accordance with the requirements of the Federal 
Information Security Management Act (FISMA).

Retention and disposal:
    In accordance with NARA Disposition Authority number N1-026-05-11, 
NOAD information on vessels and individuals maintained in the SANS is 
destroyed or deleted when no longer needed for reference, or after ten 
years, whichever is later. Outputs, which include ad-hoc reports 
generated for local and immediate use to provide a variety of 
interested parties, for example, Captain of the Port and marine safety 
offices, sea marshals, Customs and Border Patrol, Immigration and 
Customs Enforcement with the necessary information to set up security 
zones, scheduling boarding and inspections activities, actions for non-
compliance with regulations, and other activities in support of USCG's 
mission

[[Page 64815]]

to provide for safety and security of U.S. ports, are deleted after 
five years if they do not constitute a permanent record according to 
NARA.

System Manager and address:
    Commandant (CG-26), United States Coast Guard, Mail Stop 7301, 
Washington, DC 20593-0001.

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 the Chief Privacy Officer and USCG's 
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, Washington, DC 20528-0655.
    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, 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. Sec.  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 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;
    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 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:
    USCG obtains NOAD records from vessel carriers and operators 
regarding passengers, crewmembers, and cargo that arrive in, depart 
from, or transit through the U.S. on a vessel carrier covered by notice 
of arrival and departure regulations.

Exemptions claimed for the system:
    When this system receives a record from another system exempted in 
that source system under 5 U.S.C. 552a(j)(2), DHS will claim the same 
exemptions for those records that are claimed for the original primary 
systems of records from which they originated.

    Dated: October 23, 2014.
Karen L. Neuman,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2014-25905 Filed 10-30-14; 8:45 am]
BILLING CODE 9110-04-P
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