[Federal Register Volume 78, Number 102 (Tuesday, May 28, 2013)]
[Notices]
[Pages 31955-31958]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-12390]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2013-0039]


Privacy Act of 1974; Department of Homeland Security National 
Protection and Programs Directorate--001 Arrival and Departure 
Information System, 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 (DHS) proposes to update and reissue a Department of 
Homeland Security system of records titled Department of Homeland 
Security/National Protection and Programs Directorate--001 Arrival and 
Departure Information System (ADIS) System of Records (72 FR 47057, 
August 22, 2007). This system of records allows the Department of 
Homeland Security to collect and maintain records on individuals 
throughout the immigrant and non-immigrant pre-entry, entry, status 
management, and exit processes.
    With the publication of this updated system of records, the 
following changes are being made: (1) A new category of records is 
being added; (2) the record source categories are being updated; and 
(3) administrative updates are being made globally to comply with the 
Consolidated and Further Continuing Appropriations Act of 2013, which 
transfers the United States Visitor Indicator Technology (US-VISIT) 
program's biometric identity management functions to the Office of 
Biometric Identity Management (OBIM), a newly created office within 
DHS/National Protection and Programs Directorate (NPPD).
    The exemptions for the existing system of records notice will 
continue to be applicable for this updated system of records notice and 
this system will be continue to be included in the Department of 
Homeland Security's inventory of record systems.
    Dates and Comments: Submit comments on or before June 27, 2013. 
This updated system will be effective June 27, 2013. In particular, 
comments are requested concerning the application of the exemptions to 
the new category of records.

ADDRESSES: You may submit comments, identified by docket number DHS-
2013-0039 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 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: 
Emily Andrew, (202) 298-5200, Senior Privacy Officer, National 
Protection and Programs Directorate, Mailstop 0655, 245 Murray Lane, 
Washington, DC 20528. 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) National Protection and Programs 
Directorate (NPPD) Office of Biometric Identity Management (OBIM) 
proposes to update and reissue a current DHS system of records titled, 
``DHS/NPPD--001 Arrival and Departure Information System (ADIS) System 
of Records'' (72 FR 47057, August 22, 2007). A Final Rule exempting 
this system of records from certain provisions of the Privacy Act was 
published on August 22, 2007 (72 FR 46921).
    ADIS is a system for the storage and use of biographic, biometric 
indicator, and encounter data on aliens who have applied for entry, 
entered, or departed the United States (U.S.). ADIS consolidates 
information from various systems in order to provide a repository of 
data held by DHS for pre-entry, entry, status management, and exit 
tracking of immigrants and non-immigrants. Its primary use is to 
facilitate the investigation of subjects of interest who may have 
violated their immigration

[[Page 31956]]

status by remaining in the United States beyond their authorized stay. 
The information 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, foreign, or international government agencies.
    This system of records notice updates the categories of records and 
record source categories. Originally, records could be derived from 
entry or exit data of foreign countries collected by foreign 
governments in support of their respective entry and exit processes. 
These records collected from foreign governments were required to 
relate to individuals who have an existing record in ADIS. This update 
clarifies that although records collected from foreign governments must 
relate to individuals who have entered or exited the United States, in 
some instances there may be no pre-existing ADIS record for those 
individuals.
    In March 2013, the Consolidated and Further Continuing 
Appropriations Act of 2013 (The Act) transferred the legacy US-VISIT 
overstay analysis mission to DHS/Immigration and Customs Enforcement 
(ICE) and the entry/exit policy to DHS/Customs and Border Protection 
(CBP). The Act also transferred the program's biometric identity 
management functions to the Office of Biometric Identity Management 
(OBIM), a newly created office within NPPD. Administrative updates are 
being made globally to comply with these changes.
    Additionally, this notice includes non-substantive changes to 
simplify the formatting and text of the previously published notice.
    Consistent with DHS' information-sharing mission, information 
stored in the DHS/NPPD--001 Arrival and Departure Information System 
(ADIS) 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 consistent with the routine uses set forth in this system of 
records notice.
    The exemptions for the existing system of records notice will 
continue to be applicable for this updated system of records notice and 
this system will continue to be included in DHS' inventory of record 
systems. In the context of this updated system of records notice, the 
Department is requesting comment on the application of the exemptions 
to the newly added category of records.

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/NPPD-001 Arrival and Departure 
Information System (ADIS) 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)/National Protection and 
Programs Directorate (NPPD)-001.
System Name:
    DHS/NPPD-001 Arrival and Departure Information System (ADIS).

Security classification:
    Unclassified.

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

Categories of individuals covered by the system:
    Categories of individuals covered by this notice consist of aliens 
who have applied for entry, entered, or departed from the United States 
at any time. These individuals may be in records collected by DHS or 
other Federal, state, local, tribal, foreign, or international 
government organizations. This system primarily consists of records 
pertaining to alien immigrants (including lawful permanent residents) 
and non-immigrants. Some of these individuals may change status and 
become United States citizens.

Categories of records in the system:
    ADIS contains biographic data, biometric indicator data, and 
encounter data. Biographic data includes, but is not limited to, name, 
date of birth, nationality, and other personal descriptive data. 
Biometric indicator data includes, but is not limited to, fingerprint 
identification numbers. Encounter data provides the context of the 
interaction between the immigrant or non-immigrant and the border 
management authority. This data includes, but is not limited to, 
encounter location, document types, document numbers, document issuance 
information, and address while in the United States.
    ADIS also sometimes contains commentary from immigration 
enforcement officers, which includes references to active criminal and 
other immigration enforcement investigations and contains other 
confidential data fields used for enforcement purposes.
    ADIS data may be derived from records related to entry or exit data 
of foreign countries collected by foreign governments in support of 
their respective entry and exit processes. Generally, records collected 
from foreign governments relate to individuals who have entered or 
exited the United States at some time, but in some instances there is 
no pre-existing ADIS record for the individual.

Authority for maintenance of the system:
    6 U.S.C. 202; 8 U.S.C. 1103, 1158, 1201, 1225, 1324, 1357, 1360, 
1365a, 1365b, 1372, 1379, and 1732.

Purpose(s):
    This system of records is the primary repository of data held by 
DHS for near real-time entry and exit status tracking throughout the 
immigrant and non-immigrant pre-entry, entry, status management, and 
exit processes, based on data collected by DHS or other federal or 
foreign government agencies and used in connection with DHS national 
security, law enforcement, immigration, intelligence, and other DHS 
mission-related functions. Data is also used to provide associated 
testing, training, management reporting, planning and analysis, or 
other administrative purposes. Similar data may be collected from 
multiple sources to verify or supplement existing data and to ensure a 
high degree of data accuracy.
    Specifically, the ADIS data will be used to identify lawfully 
admitted non-immigrants who remain in the United

[[Page 31957]]

States beyond their period of authorized stay, which may have a bearing 
on an individual's right or authority to remain in the country or to 
receive governmental benefits; to assist DHS in supporting immigration 
inspection at ports of entry (POE) by providing quick retrieval of 
biographic and biometric indicator data on individuals who may be 
inadmissible to the United States; and to facilitate the investigation 
process of individuals who may have violated their immigration status 
or may be subjects of interest for law enforcement or intelligence 
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 appropriate federal, state, local, tribal, foreign, or 
international governmental agencies seeking information on the subjects 
of wants, warrants, or lookouts, or any other subject of interest, for 
purposes related to administering or enforcing the law, national 
security, or immigration, when consistent with a DHS mission-related 
function as determined by DHS.
    B. To appropriate federal, state, local, tribal, foreign, or 
international government agencies charged with national security, law 
enforcement, immigration, intelligence, or other DHS mission-related 
functions in connection with the hiring or retention by such an agency 
of an employee, the issuance of a security clearance, the reporting of 
an investigation of such an employee, the letting of a contract, or the 
issuance of a license, grant, loan, or other benefit by the requesting 
agency.
    C. To an actual or potential party or to his or her attorney for 
the purpose of negotiation or discussion on such matters as settlement 
of a case or matter, or discovery proceedings.
    D. 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.
    E. To the National Archives and Records Administration (NARA) or 
other federal government agencies pursuant to records management 
inspections being conducted under the authority of 44 U.S.C. 2904 and 
2906.
    F. To contractors, grantees, experts, consultants, students, and 
others performing or working on a contract, service, grant, cooperative 
agreement, or other assignment for the Federal government, when 
necessary to accomplish a DHS mission function related to this system 
of records in compliance with the Privacy Act of 1974.
    G. To appropriate agencies, entities, and persons when: (1) It is 
suspected or 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 harm to economic or property interests, identity 
theft or fraud, or harm to the security or integrity of this system or 
other systems or programs (whether maintained by DHS or another agency 
or entity) that rely upon the compromised information; and (3) the 
disclosure is made to such agencies, entities, and persons who are 
reasonably necessary to assist in DHS's efforts to respond to the 
suspected or confirmed compromise and prevent, minimize, or remedy such 
harm.
    H. To federal, state, local, tribal, foreign or international 
government intelligence or counterterrorism agencies or components when 
DHS becomes aware of an indication of a threat or potential threat to 
national or international security, or when 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.

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records in this system are stored electronically or on paper in 
secure facilities in a locked drawer behind a locked door. The records 
may be stored on magnetic disc, tape, digital media.

Retrievability:
    Records may be retrieved by a variety of data elements including, 
but not limited to, name, place and date of arrival or departure, 
document number, and fingerprint identification number.

Safeguards:
    Records in this system are safeguarded in accordance with 
applicable rules and policies, including all applicable DHS automated 
systems security and access policies. Strict controls have been imposed 
to minimize the risk of compromising the information that is being 
stored. Access to the computer system containing the records in this 
system is limited to those individuals who have a need to know the 
information for the performance of their official duties and who have 
appropriate clearances or permissions.

Retention and disposal:
    The following proposal for retention and disposal is pending 
approval with the National Archives and Records Administration (NARA): 
Testing and training data will be purged when the data is no longer 
required. Electronic records for which the statute of limitations has 
expired for all criminal violations or that are older than 75 years, 
whichever is longer, will be purged.

System Manager and address:
    ADIS System Manager, OBIM, U.S. Department of Homeland Security, 
Washington, DC 20528.

Notification procedure:
    The Secretary of Homeland Security has exempted this system from 
the notification, access, and amendment procedures of the Privacy Act 
because it may contain records from a law enforcement system. However, 
DHS/NPPD will consider individual requests to determine whether or not 
information may be released. Thus, 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 
DHS/NPPD 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 Freedom of Information Act Officer, Department of Homeland 
Security, 245 Murray Drive SW., Building 410, STOP-0655, Washington, DC 
20528.
    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. 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

[[Page 31958]]

the Chief Privacy Officer and Chief Freedom of Information Act 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; 
and

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:
    Basic information contained in this system is supplied by 
individuals covered by this system and other federal, state, local, 
tribal, or foreign governments; private citizens; and public and 
private organizations.
    ADIS data may be derived from records related to entry or exit data 
of foreign countries collected by foreign governments in support of 
their respective entry and exit processes. Generally, records collected 
from foreign governments relate to individuals who have entered or 
exited the United States at some time, but in some instances there is 
no pre-existing ADIS record for the individual.

Exemptions claimed for the system:
    The Secretary of Homeland Security has exempted this system from 5 
U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), 
(e)(4)(H), (e)(5), (e)(8); (f); and (g) pursuant to 5 U.S.C. 
552a(j)(2). In addition, the Secretary of Homeland Security has 
exempted portions of this system from 5 U.S.C. 552a(c)(3); (d); (e)(1), 
(e)(4)(G), (e)(4)(H); and (f) pursuant to 5 U.S.C. 552a(k)(2). These 
exemptions apply only to the extent that records in the system are 
subject to exemption pursuant to 5 U.S.C. 552a(j)(2) and (k)(2).

    Dated: May 16, 2013.
Jonathan R. Cantor,
Acting Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2013-12390 Filed 5-24-13; 8:45 am]
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