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[Federal Register: June 25, 2002 (Volume 67, Number 122)]
[Rules and Regulations]               
[Page 42710-42713]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr25jn02-3]                         

=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF THE TREASURY

Customs Service

19 CFR Part 122

[T.D. 02--33]
RIN 1515-AD06

 
Passenger Name Record Information Required for Passengers on 
Flights in Foreign Air Transportation to or From the United States

AGENCY: Customs Service, Department of the Treasury.

ACTION: Interim rule; solicitation of comments.

-----------------------------------------------------------------------

SUMMARY: This document amends the Customs Regulations, on an interim 
basis, in order to implement a provision of the Aviation and 
Transportation Security Act which requires that air carriers make 
Passenger Name Record (PNR) information available to Customs upon 
request. The availability of PNR information to Customs is necessary 
for purposes of ensuring aviation safety and protecting national 
security.
    Under the interim rule, each air carrier must provide Customs with 
electronic access to requested PNR information contained in the 
carrier's automated reservation system and/or departure control system 
that sets forth the identity and travel plans of any passenger(s) on 
flights in foreign air transportation either to or from the United 
States. In order to readily provide Customs with such access to 
requested PNR data, each air carrier must ensure that its electronic 
reservation/departure control systems correctly interface with the U.S. 
Customs Data Center, Customs Headquarters. Any air carrier which has 
not yet taken steps to properly interface its automated PNR database 
with the Customs Data Center must do so within 30 days from the date 
that Customs contacts the carrier and requests that the carrier effect 
such an interface. However, the Assistant Commissioner, Office of Field 
Operations (OFO), may allow an air carrier an additional extension of 
this period for good cause shown.

[[Page 42711]]


DATES: Interim rule is effective June 25, 2002. Comments must be 
received on or before August 26, 2002.

ADDRESSES: Written comments are to be addressed to the U.S. Customs 
Service, Office of Regulations & Rulings, Attention: Regulations 
Branch, 1300 Pennsylvania Avenue NW., Washington, DC 20229. Submitted 
comments may be inspected at U.S. Customs Service, 799 9th Street, NW., 
Washington, DC during regular business hours. Arrangements to inspect 
submitted comments should be made in advance by calling Mr. Joseph 
Clark at (202) 572-8768.

FOR FURTHER INFORMATION CONTACT: Liliana Quintero, Office of Field 
Operations, 202-927-2531.

SUPPLEMENTARY INFORMATION:

Background

    On November 19, 2001, the President signed into law the Aviation 
and Transportation Security Act (Act), Public Law 107-71. Section 115 
of that law amended 49 U.S.C. 44909, to add a new paragraph (c) in 
order to provide, in part, that, not later than 60 days after the date 
of enactment of the Act, each air carrier, foreign and domestic, 
operating a passenger flight in foreign air transportation to the 
United States must electronically transmit to Customs, in advance of 
the arrival of the flight, a related passenger manifest and a crew 
manifest containing certain required information pertaining to the 
passengers and crew on the flight (49 U.S.C. 44909(c)(1), (c)(2) and 
(c)(4)). Furthermore, pursuant to 49 U.S.C. 44909(c)(3), these carriers 
are also required to make Passenger Name Record information available 
to Customs upon request. The availability of PNR information to Customs 
is necessary for purposes of ensuring aviation safety and protecting 
national security.
    By a document published in the Federal Register (66 FR 67482) on 
December 31, 2001, as T.D. 02-01, Customs issued an interim rule that 
added a new Sec. 122.49a to the Customs Regulations (19 CFR 122.49a) in 
order to implement the requirement in 49 U.S.C. 44909(c)(1), (c)(2) and 
(c)(4) for the electronic presentation to Customs of a passenger 
manifest and a crew manifest in advance of the arrival of each 
passenger flight in foreign air transportation to the United States. In 
particular, Sec. 122.49a requires air carriers, for each flight subject 
to the statute, to transmit to Customs, by means of an electronic data 
interchange system approved by Customs, a passenger manifest and, by 
way of a separate transmission using the same system, a crew manifest.
    In T.D. 02-01, (66 FR at 67483), Customs stated that the 
requirement in 49 U.S.C. 44909(c)(3) that air carriers make Passenger 
Name Record information available to Customs upon request would be the 
subject of a separate document published in the Federal Register.
    Accordingly, Customs is now issuing an interim rule that adds a new 
Sec. 122.49b to the Customs Regulations (19 CFR 122.49b) in order to 
implement 49 U.S.C. 44909(c)(3).
    Unlike 49 U.S.C. 44909(c)(1), (c)(2) and (c)(4), where the 
requirement that air carriers transmit passenger and crew manifests to 
Customs is expressly limited to those passenger flights in foreign air 
transportation that are destined for the United States, section 
44909(c)(3) has no such limitation in requiring air carriers to make 
Passenger Name Record (PNR) information available to Customs upon 
request. Rather, if an air carrier, foreign or domestic, is engaged in 
foreign air transportation to the United States, section 44909(c)(3) 
authorizes Customs to request access to PNR information. Accordingly, 
this section applies to PNR information for inbound or outbound flights 
in foreign air transportation.
    Thus, under Sec. 122.49b, each air carrier must, upon request, 
provide Customs with electronic access to Passenger Name Record 
information that is contained in the carrier's automated reservation/
departure control systems in connection with passenger flights in 
foreign air transportation either to or from the United States, 
including flights to the United States where the passengers have 
already been pre-inspected or pre-cleared at the foreign location for 
admission to the U.S. In order to readily provide Customs with such 
access to requested PNR data, each air carrier must ensure that its 
electronic reservation/departure control systems correctly interface 
with the U.S. Customs Data Center, Customs Headquarters.

Passenger Name Record (PNR) Information Defined

    Passenger Name Record information that air carriers would need to 
make available to Customs upon request under section 44909(c)(3) and 
Sec. 122.49b refers to reservation information contained in an air 
carrier's electronic reservation system and/or departure control system 
that sets forth the identity and travel plans of each passenger or 
group of passengers included under the same reservation record number 
with respect to any passenger flight in foreign air transportation to 
or from the United States.

PNR Data Elements That Customs May Request

    The air carrier, upon request, must electronically provide Customs 
with access to any and all PNR data elements concerning the identity 
and travel plans of a passenger for any flight in foreign air 
transportation to or from the United States, to the extent that the 
carrier in fact possesses the requested data elements in its 
reservation system and/or departure control system. The following list 
of PNR data elements is intended merely to be illustrative of those 
data elements to which Customs may request access in relation to a 
passenger:
    (1) Last name; first name; date of birth; address(es); and phone 
number(s);
    (2) Passenger name record locator (reservation) number;
    (3) Reservation date (or dates, if multiple reservations made), or 
if no advance reservation made (``go show'');
    (4) Travel agency/agent, if applicable;
    (5) Ticket information;
    (6) Form of payment for ticket;
    (7) Itinerary information;
    (8) Carrier information for the flight, including but not limited 
to: carrier information for each segment of the flight if not 
continuous; the flight number(s); and date(s) of intended travel;
    (9) Seating; and
    (10) PNR history.
    It is emphasized that there is no requirement that an air carrier 
collect any other Passenger Name Record information than the particular 
PNR data that the carrier already collects on its own and maintains in 
its electronic reservation/departure control systems. Generally 
speaking, the PNR information contained in an air carrier's automated 
PNR database may consist of as few as 5 data elements or in excess of 
50 data elements, depending upon the particular record and carrier.

Carriers' Electronic Systems Must Correctly Interface With the Customs 
Data Center To Provide Customs With Access to Requested PNR Data

    As previously indicated, in furnishing Customs with electronic 
access to requested Passenger Name Record data, the air carrier's 
electronic reservation/departure control systems must correctly 
interface with the U.S. Customs Data Center, Customs Headquarters. To 
fully and effectively accomplish this interface between the air 
carrier's electronic reservation/departure control systems and the

[[Page 42712]]

Customs Data Center, the carrier must do the following:
    (1) Provide Customs with an electronic connection to its 
reservation system and/or departure control system. (This connection 
can be provided directly to the Customs Data Center, Customs 
Headquarters, or through a third party vendor that has such a 
connection to Customs.);
    (2) Provide the Customs Data Center with the necessary airline 
reservation/departure control systems' commands that will enable 
Customs to:
    (a) Connect to the carrier's reservation/departure control systems;
    (b) Obtain the carrier's schedules of flights;
    (c) Obtain the carrier's passenger flight lists; and
    (d) Obtain data for all passengers listed for a specific flight; 
and
    (3) Provide technical assistance to Customs as required for the 
continued full and effective interface of the carrier's electronic 
reservation/departure control systems with the Customs Data Center, in 
order to ensure the proper response from the carrier's systems to 
requests for data that are made by Customs.
    Customs is aware that a number of air carriers have not yet taken 
steps to properly connect their automated reservation/departure control 
systems with the Customs Data Center. Consequently, any air carrier 
that has not yet done so must fully and effectively interface its 
automated PNR database with the Customs Data Center, as described, 
within 30 days from the date that Customs contacts the carrier and 
requests that the carrier effect such an interface. However, an air 
carrier may apply in writing to the Assistant Commissioner, Office of 
Field Operations (OFO), for an additional extension of the period in 
which to properly interface its electronic reservation/departure 
control systems with the Customs Data Center. Following receipt of the 
application, the Assistant Commissioner, OFO, may, in writing, allow 
the carrier an extension of this period for good cause shown. The 
Assistant Commissioner's decision as to whether and/or to what extent 
to grant such an extension is final.

Sharing of PNR Information With Other Federal Agencies

    Passenger Name Record information under 49 U.S.C. 44909(c)(3) that 
is made available to Customs electronically may, upon request, be 
shared with other Federal agencies for the purpose of protecting 
national security (49 U.S.C. 44909(c)(5)) or as otherwise authorized by 
law.

Technical Amendment of Sec. 122.49a(c)(2)

    Under Sec. 122.49a(c)(2), Customs Regulations (19 CFR 
122.49a(c)(2)), in pertinent part, each air carrier must electronically 
transmit to Customs the United States visa number for each applicable 
passenger and crew member on a passenger flight covered by 
Sec. 122.49a(a). Under Sec. 122.49a(c)(3), this information is to be 
obtained by electronically transmitting to Customs the U.S. non-
immigrant visa travel document. This transmission is in fact 
accomplished through the use of an electronic machine reader that scans 
the travel document and transmits the information on it to Customs.
    However, it has been determined that the visa number is not located 
in the machine-readable zone of the U.S.-issued non-immigrant visa 
travel document, and thus the visa number on this document cannot be 
transmitted to Customs with the use of a machine reader. By contrast, 
the travel document number for the U.S.-issued visa is located in the 
machine-readable zone of that document, and, as such, this number can 
be transmitted to Customs under the existing system.
    Hence, Sec. 122.49a(c)(2) is changed by deleting the requirement 
for the U.S. visa number, and instead requiring that the carrier 
electronically transmit to Customs the travel document number for the 
U.S.-issued visa, that is located in the machine-readable zone of that 
document.

Comments

    Before adopting this interim regulation as a final rule, 
consideration will be given to any written comments that are timely 
submitted to Customs. Customs specifically requests comments on the 
clarity of this interim rule and how it may be made easier to 
understand. Comments submitted will be available for inspection in 
accordance with the Freedom of Information Act (5 U.S.C. 552), 
Sec. 1.4, Treasury Department Regulations (31 CFR 1.4), and 
Sec. 103.11(b), Customs Regulations (19 CFR 103.11(b)), at the U.S. 
Customs Service, 799 9th Street, NW., Washington, DC during regular 
business hours. Arrangements to inspect submitted comments should be 
made in advance by calling Mr. Joseph Clark at (202) 572-8768.

Administrative Procedure Act, Executive Order 12866 and the Regulatory 
Flexibility Act

    This interim regulation has been determined to be urgently needed 
for purposes of ensuring aviation safety and protecting national 
security. For these reasons, Customs finds that good cause exists for 
dispensing with the notice and public comment procedures of the 
Administrative Procedure Act (5 U.S.C. 553) as being contrary to the 
public interest pursuant to 5 U.S.C. 553(b)(B). For the same reasons, 
pursuant to 5 U.S.C. 553(d)(3), a delayed effective date is not 
required. Because this document is not subject to the requirements of 5 
U.S.C. 553, as noted, it is not subject to the provisions of the 
Regulatory Flexibility Act (5 U.S.C. 601 et seq.). Nor does this 
interim regulation result in a ``significant regulatory action'' under 
E.O. 12866.

List of Subjects in 19 CFR Part 122

    Air carriers, Aircraft, Airports, Air transportation, Customs 
duties and inspection, Entry procedure, Reporting and recordkeeping 
requirements, Security measures.

Amendments to the Regulations

    Part 122, Customs Regulations (19 CFR part 122), is amended as set 
forth below.

PART 122--AIR COMMERCE REGULATIONS

    1. The general authority citation for part 122 and the specific 
sectional authority citation for Sec. 122.49a continue to read, and a 
new specific sectional authority citation is added to read, as follows:

    Authority: 5 U.S.C. 301; 19 U.S.C. 58b, 66, 1433, 1436, 1448, 
1459, 1590, 1594, 1623, 1624, 1644, 1644a.
    Sec. 122.49a also issued under 19 U.S.C. 1431 and 49 U.S.C. 
44909(c).
    Sec. 122.49b also issued under 49 U.S.C. 44909(c)(3).


Sec. 122.49a  [Amended]

    2. In Sec. 122.49a(c)(2), remove the words ``and the United States 
visa number'' and add, in their place, the words ``and the United 
States visa travel document number (located in the machine-readable 
zone of the visa document)''. r

    3. Subpart E of part 122 is amended by adding a new Sec. 122.49b to 
read as follows:


Sec. 122.49b  Passenger Name Record (PNR) information.

    (a) General requirement. Each air carrier, foreign and domestic, 
operating a passenger flight in foreign air transportation to or from 
the United States, including flights to the United States where the 
passengers have already been pre-inspected or pre-cleared at the 
foreign location for admission to the U.S., must, upon

[[Page 42713]]

request, provide Customs with electronic access to certain Passenger 
Name Record (PNR) information, as defined and described in paragraph 
(b) of this section. In order to readily provide Customs with such 
access to requested PNR information, each air carrier must ensure that 
its electronic reservation/departure control systems correctly 
interface with the U.S. Customs Data Center, Customs Headquarters, as 
prescribed in paragraph (c)(1) of this section.
    (b) PNR information defined; PNR information that Customs may 
request.
    (1) PNR information defined. Passenger Name Record (PNR) 
information refers to reservation information contained in an air 
carrier's electronic reservation system and/or departure control system 
that sets forth the identity and travel plans of each passenger or 
group of passengers included under the same reservation record with 
respect to any flight covered by paragraph (a) of this section.
    (2) PNR data that Customs may request. The air carrier, upon 
request, must provide Customs with electronic access to any and all PNR 
data elements relating to the identity and travel plans of a passenger 
concerning any flight under paragraph (a) of this section, to the 
extent that the carrier in fact possesses the requested data elements 
in its reservation system and/or departure control system. There is no 
requirement that the carrier collect any PNR information under this 
paragraph, that the carrier does not otherwise collect on its own and 
maintain in its electronic reservation/departure control systems.
    (c) Required carrier system interface with Customs Data Center to 
facilitate Customs retrieval of requested PNR data. (1) Carrier 
requirements for interface with Customs. Within the time specified in 
paragraph (c)(2) of this section, each air carrier must fully and 
effectively interface its electronic reservation/departure control 
systems with the U.S. Customs Data Center, Customs Headquarters, in 
order to facilitate Customs ability to retrieve needed Passenger Name 
Record data from these electronic systems. To effect this interface 
between the air carrier's electronic reservation/departure control 
systems and the Customs Data Center, the carrier must:
    (i) Provide Customs with an electronic connection to its 
reservation system and/or departure control system. (This connection 
can be provided directly to the Customs Data Center, Customs 
Headquarters, or through a third party vendor that has such a 
connection to Customs.);
    (ii) Provide Customs with the necessary airline reservation/
departure control systems' commands that will enable Customs to:
    (A) Connect to the carrier's reservation/departure control systems;
    (B) Obtain the carrier's schedules of flights;
    (C) Obtain the carrier's passenger flight lists; and
    (D) Obtain data for all passengers listed for a specific flight; 
and
    (iii) Provide technical assistance to Customs as required for the 
continued full and effective interface of the carrier's electronic 
reservation/departure control systems with the Customs Data Center, in 
order to ensure the proper response from the carrier's systems to 
requests for data that are made by Customs.
    (2) Time within which carrier must interface with Customs Data 
Center to facilitate Customs access to requested PNR data. Any air 
carrier which has not taken steps to fully and effectively interface 
its electronic reservation/departure control systems with the Customs 
Data Center must do so, as prescribed in paragraphs (c)(1)(i)-
(c)(1)(iii) of this section, within 30 days from the date that Customs 
contacts the carrier and requests that the carrier effect such an 
interface. After being contacted by Customs, if an air carrier 
determines it needs more than 30 days to properly interface its 
automated database with the Customs Data Center, it may apply in 
writing to the Assistant Commissioner, Office of Field Operations (OFO) 
for an extension. Following receipt of the application, the Assistant 
Commissioner, OFO, may, in writing, allow the carrier an extension of 
this period for good cause shown. The Assistant Commissioner's decision 
as to whether and/or to what extent to grant such an extension is 
within the sole discretion of the Assistant Commissioner and is final.
    (d) Sharing of PNR information with other Federal agencies. 
Passenger Name Record information as described in paragraph (b)(2) of 
this section that is made available to Customs electronically may, upon 
request, be shared with other Federal agencies for the purpose of 
protecting national security (49 U.S.C. 44909(c)(5)). Customs may also 
share such data as otherwise authorized by law.

Robert C. Bonner,
Commissioner of Customs.
    Approved: June 19, 2002.
Timothy E. Skud,
Deputy Assistant Secretary of the Treasury.
[FR Doc. 02-15935 Filed 6-24-02; 8:45 am]
BILLING CODE 4820-02-P






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