80 FR 53181 - Privacy Act of 1974; Department of Homeland Security U.S. Customs and Border Protection-DHS/CBP-020 Export Information System (EIS) System of Records.

DEPARTMENT OF HOMELAND SECURITY
Office of the Secretary

Federal Register Volume 80, Issue 170 (September 2, 2015)

Page Range		53181-53185
FR Document		2015-21675
In accordance with the Privacy Act of 1974, the Department of Homeland Security proposes to issue a new Department of Homeland Security system of records titled, ``Department of Homeland Security/ U.S. Customs and Border Protection--DHS/CBP-020 Export Information System System of Records.'' This system of records is used by the Department of Homeland Security/U.S. Customs and Border Protection to collect and maintain records on export commodity and transportation shipment data. 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 of 1974, as amended, elsewhere in the Federal Register. This system will be included in the Department of Homeland Security's inventory of record systems.
Federal Register, Volume 80 Issue 170 (Wednesday, September 2, 2015)
[Federal Register Volume 80, Number 170 (Wednesday, September 2, 2015)]
[Notices]
[Pages 53181-53185]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-21675]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2015-0054]


Privacy Act of 1974; Department of Homeland Security U.S. Customs 
and Border Protection--DHS/CBP-020 Export Information System (EIS) 
System of Records.

AGENCY: Privacy Office, Office of the Secretary, 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 issue a new Department of Homeland 
Security system of records titled, ``Department of Homeland Security/
U.S. Customs and Border Protection--DHS/CBP-020 Export Information 
System System of Records.'' This system of records is used by the 
Department of Homeland Security/U.S. Customs and Border Protection to 
collect and maintain records on export commodity and transportation 
shipment data. 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 of 1974, as amended, 
elsewhere in the Federal Register. This system will be included in the 
Department of Homeland Security's inventory of record systems.

DATES: Submit comments on or before October 2, 2015. This new system 
will be effective October 2, 2015.

ADDRESSES: You may submit comments, identified by docket number DHS-
2015-0054 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.
    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, U.S. Customs and 
Border Protection, Department of Homeland Security, 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.

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 establish a new DHS system of records 
titled, ``DHS/CBP-020 Export Information System (EIS) System of 
Records.'' The system of records is used by CBP to collect, use, and 
maintain paper and electronic records required to track, control, and 
process cargo exported from the United States. EIS allows CBP to 
enhance national security, enforce U.S. law, and facilitate legitimate 
international trade.
    CBP is publishing a system of records notice (SORN) for EIS because 
CBP uses EIS to collect and process information to comply with export 
laws and facilitate legitimate international trade. CBP is charged with 
enforcing all U.S. export laws at the border and the exporting 
community is required to report export data to CBP that contains 
personally identifiable information (PII).
    Subsection (a) of Section 343 of the Trade Act of 2002 (19 U.S.C. 
2071) mandates that the Secretary of Homeland Security (formerly the 
Secretary of Treasury) collect cargo information ``through an 
electronic data interchange system,'' prior to the departure of the 
cargo from the United States by any mode of commercial transportation 
(see 19 U.S.C. 2071 note.) Pursuant to statute, CBP promulgated a 
regulation requiring pre-departure filing of electronic information to 
allow CBP to examine the data before cargo leaves the United States 
(see Electronic Information for Outward Cargo

[[Page 53182]]

Required in Advance of Departure (19 CFR 192.14)). CBP required 
exporters to provide electronic cargo information through the Automated 
Export System (AES) to avoid redundancy as specifically mandated by 
Congress (see Mandatory Pre-Departure Filing of Export Cargo 
Information Through the Automated Export System, 73 FR 32466 (June 9, 
2008)).
    To comply with the regulation, exporters must file the Electronic 
Export Information (EEI), formerly the Shipper's Export Declaration 
(SED) \1\ when the value of the commodity classified under each 
individual Schedule B number is over $2,500 or if a validated export 
license is required to export the commodity. The exporter is 
responsible for preparing the EEI and the carrier files it with CBP 
through the AES or AES Direct (operated by the Department of Commerce, 
U.S. Census Bureau). Cargo information collected by CBP includes PII 
such as a shipper's name, address, and tax identifying number (TIN).
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    \1\ 13 U.S.C. 301 (Department of Commerce, U.S. Census Bureau 
root authority to collect the SED, now EEI); pursuant to section 
303, CBP (then U.S. Customs Service, Dept. of Treasury) is required 
to develop an automated system for collecting this export data. 
Through title 13, the Census Bureau holds stewardship of export 
data. Under the Trade Act of 2002 (19 U.S.C. 2071 note), CBP is 
required to collect an export manifest containing a declaration 
identifying the parties to the transaction, a physical description 
of the commodity, its quantity, mode of conveyance, and ports of 
origin and destination. Through title 19, CBP, similarly, holds 
stewardship of export data.
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    According to the U.S. Census Bureau, in a standard export 
transaction, it is the U.S. Principal Party in Interest's (USPPI) 
responsibility to prepare the EEI. However, the USPPI can give freight 
forwarders a power of attorney (POA) or written statement (WA) 
authorizing them to prepare and file the EEI on their behalf. In a 
routed export transaction, however, the Foreign Principal Party in 
Interest (FPPI) must provide a POA or WA to prepare the EEI to either 
the USPPI or a U.S. Authorized Agent.
    The Internal Transaction Number (ITN) or exemption citation must be 
provided by the EEI filer to the carrier when the goods are presented 
for export. The carrier is responsible for providing the ITN or 
exemption citation to CBP. CBP Officers will verify that the ITN or 
exemption citations clearly stated on export documents and provided to 
the carrier(s) within the prescribed timeframes. The procedures for 
filing vary by cargo type (vessel, truck, air, or rail). The timeframes 
for filing varies according to the method of transportation for pre-
departure filing (State Department United States Munitions List (USML) 
shipments and non-USML shipments).
    CBP is publishing this system of records notice to provide notice 
of the records maintained by CBP concerning individuals who participate 
in exporting goods from the United States. CBP previously published a 
Privacy Impact Assessment (PIA) for EIS last year.\2\
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    \2\ http://www.dhs.gov/publication/export-information-system-eis.
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    Consistent with DHS's information-sharing mission, information 
stored in the DHS/CBP-020 EIS System of Records 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, 
information may be shared with appropriate federal, state, local, 
tribal, territorial, foreign, or international government agencies or 
other parties consistent with the routine uses set forth in this SORN. 
In particular, information may be shared with the U.S. Department of 
Commerce, Bureau of Industry and Security, and the U.S. Department of 
State, Directorate of Defense Trade Controls, relating to compliance 
and enforcement of licenses issued by these respective agencies 
concerning the controlled nature or sensitive technology present in the 
exported commodities (e.g., certain central processing unit designs, 
weapons systems).
    Additionally, DHS is issuing a Notice of Proposed Rulemaking 
elsewhere in the Federal Register to exempt this system of records from 
certain provisions of the Privacy Act. This 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 that govern the means by which federal 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. An individual is 
defined in the Privacy Act 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 foreign 
nationals.
    Below is the description of the DHS/CBP-020 EIS 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.
System of Records
    Department of Homeland Security (DHS)/U.S. Customs and Border 
Protection (CBP)-020

System name:
    DHS/CBP-020 Export Information System (EIS) System.

Security classification:
    Unclassified.

System location:
    Records are maintained at the CBP Headquarters in Washington, DC, 
and field offices.

Categories of individuals covered by the system:
    The categories of individuals covered by the system are DHS or CBP 
employees and individuals who process and ensure the compliance of 
goods exported from the United States. Those individuals who process 
and ensure the compliance of exported goods include: The filer or 
transmitter of the information; the exporter or U.S. Principal Party in 
Interest (USPPI); the freight forwarder, or other U.S. authorized agent 
filing for the USPPI; the shipper; the intermediate consignee, who is 
the agent for the exporter in the foreign country; the ultimate 
consignee, who is the person, party, or designee located abroad that 
will receive the export shipment; and individuals related to the 
specific commodity (e.g., for hazardous material, an emergency point of 
contact).

Categories of records in the system:
    EIS contains records that include the following information:
     Information about the filer, exporter, USPPI, ultimate 
consignee, or authorized U.S. agent, which may include:
    [cir] Full name;
    [cir] Tax Identification Number (TIN) or other trade identifiers;
    [cir] Telephone numbers;
    [cir] Email addresses;
    [cir] Addresses and zip codes;
    [cir] Certificate or license numbers (including licenses issued by 
various federal agencies);
    [cir] Signatures; and
    [cir] License certifier or other registration numbers.

[[Page 53183]]

     Information about the DHS/CBP employee annotating the 
record or ensuring compliance with export control regulations, which 
may include:
    [cir] Full Name;
    [cir] Identification number or badge number.
     Shipment information:
    [cir] Mode of transportation;
    [cir] Carrier;
    [cir] Origin, port of export, port of unlading, and destination;
    [cir] Date of export; and
    [cir] Hazardous material indicator.
     Commodity information:
    o Description, which may include the make, model, serial number, 
caliber, manufacturer, or hazardous material description;
    [cir] Quantity;
    [cir] Value;
    [cir] Weight;
    [cir] License, certification document, export license, or Kimberly 
Process Certificate numbers; \3\
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    \3\ A Kimberly Process Certificate number is a control number 
issued on each Kimberly Diamond Process certificate pursuant to the 
Clean Diamond Trade Act (2003), Public Law 108-19, 117 Stat. 631, 19 
U.S.C. 3901-3913.
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    [cir] Vehicle title numbers;
    [cir] Vehicle identification number (VIN);
    [cir] Certificate or license registrant's number; and
    [cir] Hazardous material emergency contact name and telephone 
number.

Authority for maintenance of the system:
    Pursuant to 19 U.S.C. 482, 1467, 1581(a) and the Security and 
Accountability for Every (SAFE) Port Act of 2006, Public Law 109-347, 
120 Stat. 1884 (Oct. 13, 2006); CBP has the authority to board vessels 
or vehicles and conduct searches of cargo; pursuant to 46 U.S.C. 60105, 
vessels must obtain clearance from CBP prior to departing from the 
United States for a foreign port or place; and pursuant to 19 U.S.C. 
1431, CBP collects and reviews data for outbound cargo in EIS to ensure 
compliance with laws CBP is charged with enforcing. Subsection (a) of 
Section 343 of the Trade Act of 2002 mandated that the Secretary of 
Homeland Security (formerly the Secretary of Treasury) collect cargo 
information ``through an electronic data interchange system,'' prior to 
the departure of the cargo from the United States. See 19 U.S.C. 2071 
note and 19 CFR 192.14. EIS includes the data collected in AES/ACE and 
from paper forms and documents, as CBP moves from paper to an entirely 
electronic collection process.
    The export laws CBP enforces include:
     The Tariff Act of 1930, as amended, 19 U.S.C. Chapter 4;
     13 U.S.C. 301-307 (Collection and Publication of Foreign 
Commerce and Trade Statistics) of 1962, Public Law 87-826, 76 Stat. 
951, as amended;
     The Prosecutorial Remedies and Other Tools to End the 
Exploitation of Children Today (PROTECT) Act of 2003, Public Law 108-
21, 117 Stat. 650, as amended, 18 U.S.C. 2251-2256; and 18 U.S.C. 1461, 
1463, 1465, and 1466 (relating to obscenity and child pornography);
     The Anti Car Theft Act of 1992, Public Law 102-519, 106 
Stat. 3384, 19 U.S.C. 1646b, 1646c;
     The Clean Diamond Trade Act (2003), Public Law 108-19, 117 
Stat. 631, 19 U.S.C. 3901-3913;
     The Federal Food, Drug, and Cosmetic Act (1938), Public 
Law 75-717, 52 Stat. 1040, as amended, 21 U.S.C. 301-399;
     The Controlled Substances Import and Export Act (1970), 
Public Law 91-513, 84 Stat. 1236, as amended, 21 U.S.C. 953;
     The Arms Export Control Act of 1979, Public Law 90-629, 82 
Stat. 1320, as amended, 22 U.S.C. 2778, 2780, and 2781;
     The Currency and Foreign Transactions Reporting Act of 
1970 (commonly referred to as the Bank Secrecy Act), Public Law 91-508, 
84 Stat. 1122, as amended, 31 U.S.C. 5311, et seq.;
     The Atomic Energy Act of 1954, Public Law 83-703, 68 Stat. 
919, as amended, 42 U.S.C. 2011, 2077, 2122, 2131, 2138, 2155-2157;
     The Trading With the Enemy Act of 1917, Public Law 65-91, 
40 Stat. 411, as amended, 50 U.S.C. App. 1-44;
     The International Emergency Economic Powers Act (1977), 
Public Law 95-223, 91 Stat. 1628, as amended, 50 U.S.C. 1701-1706;
     The Export Administration Regulations, 15 CFR parts 730-
744;
     The Lanham Act (Trademark Act of 1946), Public Law 79-489, 
60 Stat. 427, as amended, 15 U.S.C. 1051, et seq.; and
     The Endangered Species Act of 1973, Public Law 93-205, 87 
Stat. 884, as amended, 16 U.S.C. 1531, et seq.

Purpose(s):
    The purpose of EIS is to be the central point through which CBP 
collects and maintains export data and related records to facilitate 
DHS's law enforcement and border security missions. DHS uses EIS as a 
tool to further its mission to ensure the safety and security of cargo, 
prevent smuggling, and enforce export and other applicable U.S. laws.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    Consistent with the purposes noted above, or as otherwise 
authorized by law, and 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. Attorney, 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 pursuant to 
a written Privacy Act waiver 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

[[Page 53184]]

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 who are 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 believes the information would assist the 
enforcement of civil or criminal laws.
    H. To the Department of Commerce, U.S. Census Bureau to fulfill its 
statutory mandate of collecting international trade statistics.
    I. To federal agencies, pursuant to the International Trade Data 
System Memorandum of Understanding, consistent with the receiving 
agency's legal authority to collect information pertaining to or 
regulating transactions to ensure cargo safety and security, or to 
prevent smuggling.
    J. To appropriate federal, state, local, tribal, or foreign 
governmental agencies or multilateral governmental organizations when 
DHS reasonably believes there to be a threat or potential threat to 
national or international security and for which the information may be 
relevant in countering the threat or potential threat.
    K. To a federal, state, tribal, or local agency, or other 
appropriate entity or individual, or foreign governments, in order to 
provide relevant information related to intelligence, 
counterintelligence, or antiterrorism activities authorized by U.S. 
law, Executive Order, or other applicable national security directive.
    L. 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, or when the information is relevant 
and necessary to the protection of life or property.
    M. 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;
    N. To third parties during the course of a law enforcement 
investigation to the extent necessary to obtain information pertinent 
to the investigation.
    O. 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 
DHS requires information or consultation assistance from the former 
employee regarding a matter within that person's former area of 
responsibility;
    P. To an appropriate federal, state, local, tribal, foreign, or 
international agency, if the information is relevant 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 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.
    Q. To appropriate federal, state, local, tribal, or foreign 
governmental agencies or multilateral governmental organizations for 
the purpose of protecting the vital health interests of a data subject 
or other persons (e.g., to assist such agencies or organizations in 
preventing exposure to or transmission of a communicable or 
quarantinable disease or to combat other significant public health 
threats). Appropriate notice will be provided of any identified health 
threat or risk.
    R. To the public, certain outbound manifest information, including 
the name and address of the shipper; general character, size, weight, 
and description of the cargo; the name of the vessel or carrier; the 
port of exit; the port of destination; and country of destination; and 
which may be made public pursuant to 19 U.S.C. 1431, 46 U.S.C. 60105, 
and 19 CFR 103.31.
    S. To organizations engaged in theft prevention activities 
regarding certain outbound manifest information regarding vehicles, as 
authorized pursuant to 19 U.S.C. 1627a.
    T. 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:
    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 name, address, telephone number, search 
terms, or TIN.

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 it stores. CBP limits access 
to the computer system containing the records in this system 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:
    CBP retains EIS data, including AES/ACE data, in an active status 
for five years. The data is retained for an additional ten years to 
meet any requirements of a controlling U.S. Government agency for 
licensed shipments or for law enforcement purposes. The data is 
archived after five years and deleted after the additional ten year 
period, in conformance with the EIS retention procedures. CBP retains 
information beyond fifteen years when specific EIS data is needed for 
the duration of a law enforcement investigation or judicial proceeding, 
when the investigation or proceeding continues beyond fifteen years.

[[Page 53185]]

System Manager and address:
    Chief, Export Control Branch, Office of Field Operations, U.S. 
Customs and Border Protection Headquarters, 1300 Pennsylvania Avenue 
NW., Washington, DC 20229.

Notification procedure:
    The Secretary of Homeland Security has exempted this system from 
the notification, access, accounting, and amendment procedures of the 
Privacy Act because it is a law enforcement system. However, DHS/CBP 
will consider individual requests to determine whether or not 
information may be released. 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 
Headquarters or component's Freedom of Information Act 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 individuals seek records about themselves from this system of 
records or any other Departmental system of records, their requests 
must conform with the Privacy Act regulations set forth in 6 CFR part 
5. They must first verify their identities, meaning that they must 
provide their full names, current addresses, and dates and places of 
birth. They must sign their requests, and each of their signatures must 
either be notarized or be 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, they 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, they 
should:
     Explain why the Department would have information about 
them;
     Identify which component(s) of the Department would have 
the information;
     Specify when 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 the individuals' requests seek records pertaining to another 
living person, they must include a statement from that individual 
certifying his/her agreement for them to have access to his/her 
records.
    Without the above information the component(s) may not be able to 
conduct an effective search and a 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:
    CBP obtains records from individuals who participate in exporting 
goods from the United States and other federal agencies, as required to 
administer the export laws of the United States.

Exemptions claimed for the system:
    DHS/CBP is not requesting an exemption with respect to information 
maintained in the system as it relates to data submitted by or on 
behalf of an individual. Information in the system may be shared 
pursuant to the exceptions under the Privacy Act (5 U.S.C. 552a(b)) and 
the above routine uses. The Privacy Act requires DHS to maintain an 
accounting of the disclosures made pursuant to all routines uses. 
Disclosing the fact that a law enforcement or intelligence agency has 
sought particular records may affect ongoing law enforcement activity. 
Therefore, pursuant to 5 U.S.C. 552a(j)(2), DHS will claim exemption 
from sections (c)(3), (e)(8), and (g)(1) of the Privacy Act of 1974, as 
amended, as is necessary and appropriate to protect this information. 
In addition, pursuant to 5 U.S.C. 552a(k)(2), DHS will claim exemption 
from section (c)(3) of the Privacy Act of 1974, as amended, as is 
necessary and appropriate to protect this information.

    Dated: August 19, 2015.
Karen L. Neuman,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2015-21675 Filed 9-1-15; 8:45 am]
 BILLING CODE 4410-10-P
53182 Federal Register / Vol. 80, No. 170 / Wednesday, September 2, 2015 / Notices

Required in Advance of Departure (19 Munitions List (USML) shipments and citizens, lawful permanent residents,
CFR 192.14)). CBP required exporters to non-USML shipments). and foreign nationals.
provide electronic cargo information CBP is publishing this system of Below is the description of the DHS/
through the Automated Export System records notice to provide notice of the CBP–020 EIS System of Records.
(AES) to avoid redundancy as records maintained by CBP concerning In accordance with 5 U.S.C. 552a(r),
specifically mandated by Congress (see individuals who participate in exporting DHS has provided a report of this
Mandatory Pre-Departure Filing of goods from the United States. CBP system of records to the Office of
Export Cargo Information Through the previously published a Privacy Impact Management and Budget and to
Automated Export System, 73 FR 32466 Assessment (PIA) for EIS last year.2 Congress.
(June 9, 2008)). Consistent with DHS’s information-
sharing mission, information stored in System of Records
To comply with the regulation,
exporters must file the Electronic Export the DHS/CBP–020 EIS System of Department of Homeland Security
Information (EEI), formerly the Records may be shared with other DHS (DHS)/U.S. Customs and Border
Shipper’s Export Declaration (SED) 1 Components that have a need to know Protection (CBP)–020
when the value of the commodity the information to carry out their
national security, law enforcement, SYSTEM NAME:
classified under each individual
Schedule B number is over $2,500 or if immigration, intelligence, or other DHS/CBP–020 Export Information
a validated export license is required to homeland security functions. In System (EIS) System.
export the commodity. The exporter is addition, information may be shared
SECURITY CLASSIFICATION:
responsible for preparing the EEI and with appropriate federal, state, local,
tribal, territorial, foreign, or Unclassified.
the carrier files it with CBP through the
AES or AES Direct (operated by the international government agencies or SYSTEM LOCATION:
Department of Commerce, U.S. Census other parties consistent with the routine Records are maintained at the CBP
Bureau). Cargo information collected by uses set forth in this SORN. In Headquarters in Washington, DC, and
CBP includes PII such as a shipper’s particular, information may be shared field offices.
name, address, and tax identifying with the U.S. Department of Commerce,
number (TIN). Bureau of Industry and Security, and CATEGORIES OF INDIVIDUALS COVERED BY THE
the U.S. Department of State, Directorate SYSTEM:
According to the U.S. Census Bureau,
in a standard export transaction, it is the of Defense Trade Controls, relating to The categories of individuals covered
U.S. Principal Party in Interest’s (USPPI) compliance and enforcement of licenses by the system are DHS or CBP
responsibility to prepare the EEI. issued by these respective agencies employees and individuals who process
However, the USPPI can give freight concerning the controlled nature or and ensure the compliance of goods
forwarders a power of attorney (POA) or sensitive technology present in the exported from the United States. Those
written statement (WA) authorizing exported commodities (e.g., certain individuals who process and ensure the
them to prepare and file the EEI on their central processing unit designs, compliance of exported goods include:
behalf. In a routed export transaction, weapons systems). The filer or transmitter of the
however, the Foreign Principal Party in Additionally, DHS is issuing a Notice information; the exporter or U.S.
Interest (FPPI) must provide a POA or of Proposed Rulemaking elsewhere in Principal Party in Interest (USPPI); the
WA to prepare the EEI to either the the Federal Register to exempt this freight forwarder, or other U.S.
USPPI or a U.S. Authorized Agent. system of records from certain authorized agent filing for the USPPI;
The Internal Transaction Number provisions of the Privacy Act. This the shipper; the intermediate consignee,
(ITN) or exemption citation must be system will be included in DHS’s who is the agent for the exporter in the
provided by the EEI filer to the carrier inventory of record systems. foreign country; the ultimate consignee,
when the goods are presented for II. Privacy Act who is the person, party, or designee
export. The carrier is responsible for located abroad that will receive the
providing the ITN or exemption citation The Privacy Act embodies fair export shipment; and individuals
to CBP. CBP Officers will verify that the information practice principles in a related to the specific commodity (e.g.,
ITN or exemption citations clearly statutory framework that govern the for hazardous material, an emergency
stated on export documents and means by which federal agencies point of contact).
provided to the carrier(s) within the collect, maintain, use, and disseminate
individuals’ records. The Privacy Act CATEGORIES OF RECORDS IN THE SYSTEM:
prescribed timeframes. The procedures
for filing vary by cargo type (vessel, applies to information that is EIS contains records that include the
truck, air, or rail). The timeframes for maintained in a ‘‘system of records.’’ A following information:
filing varies according to the method of ‘‘system of records’’ is a group of any • Information about the filer,
transportation for pre-departure filing records under the control of an agency exporter, USPPI, ultimate consignee, or
(State Department United States from which information is retrieved by authorized U.S. agent, which may
the name of an individual or by some include:
1 13 U.S.C. 301 (Department of Commerce, U.S. identifying number, symbol, or other Æ Full name;
Census Bureau root authority to collect the SED, identifying particular assigned to the Æ Tax Identification Number (TIN) or
now EEI); pursuant to section 303, CBP (then U.S. individual. An individual is defined in other trade identifiers;
Customs Service, Dept. of Treasury) is required to the Privacy Act to encompass U.S. Æ Telephone numbers;
develop an automated system for collecting this
mstockstill on DSK4VPTVN1PROD with NOTICES

citizens and lawful permanent Æ Email addresses;
export data. Through title 13, the Census Bureau
holds stewardship of export data. Under the Trade residents. As a matter of policy, DHS Æ Addresses and zip codes;
Act of 2002 (19 U.S.C. 2071 note), CBP is required extends administrative Privacy Act Æ Certificate or license numbers
to collect an export manifest containing a protections to all persons when systems (including licenses issued by various
declaration identifying the parties to the federal agencies);
transaction, a physical description of the of records maintain information on U.S.
commodity, its quantity, mode of conveyance, and
Æ Signatures; and
ports of origin and destination. Through title 19, 2 http://www.dhs.gov/publication/export- Æ License certifier or other
CBP, similarly, holds stewardship of export data. information-system-eis. registration numbers.

VerDate Sep<11>2014 19:04 Sep 01, 2015 Jkt 235001 PO 00000 Frm 00082 Fmt 4703 Sfmt 4703 E:\FR\FM\02SEN1.SGM 02SEN1
Document Created: 2018-02-26 10:10:52
Document Modified: 2018-02-26 10:10:52
Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Notices
Action		Notice of Privacy Act system of records.
Dates		Submit comments on or before October 2, 2015. This new system will be effective October 2, 2015.
Contact		For general questions, please contact: John Connors (202-344-1610), CBP Privacy Officer, U.S. Customs and Border Protection, Department of Homeland Security, 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.
FR Citation		80 FR 53181
80 FR 53181 - Privacy Act of 1974; Department of Homeland Security U.S. Customs and Border Protection-DHS/CBP-020 Export Information System (EIS) System of Records.

DEPARTMENT OF HOMELAND SECURITYOffice of the Secretary

Federal Register Volume 80, Issue 170 (September 2, 2015)

DEPARTMENT OF HOMELAND SECURITY
Office of the Secretary
