[Federal Register Volume 78, Number 23 (Monday, February 4, 2013)]
[Notices]
[Pages 7798-7802]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-02343]
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DEPARTMENT OF HOMELAND SECURITY
Office of the Secretary
[Docket No. DHS-2012-0074]
Privacy Act of 1974; Department of Homeland Security U.S.
Immigration and Customs Enforcement--010 Confidential and Other Sources
of Information 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 system of records titled, ``Department of Homeland
Security/U.S. Immigration and Customs Enforcement--010 Confidential and
Other Sources of Information System of Records.'' This system of
records allows the Department of Homeland Security/U.S. Immigration and
Customs Enforcement to collect and maintain records concerning the
identities of and information received from documented Confidential
Informants and other sources who supply information to U.S. Immigration
and Customs Enforcement regarding possible violations of law or
otherwise in support of law enforcement investigations and activities.
With the publication of this updated system of records, several changes
are being made: (1) The categories of individuals are being updated;
(2) new categories of records are being added; (3) routine uses are
being updated; (4) new routine uses are being added to allow ICE to
share information from the system; and (5) the retention period of
records related to confidential and other sources is being updated. The
exemptions for the existing system of records notice will continue to
be applicable for this system of records notice. This updated system
will continue to be included in the Department of Homeland Security's
inventory of record systems.
Dates and Comments: Submit comments on or before March 6, 2013. In
particular, comments are requested concerning the application of the
exemptions to the newly added categories of records. This updated
system will be effective March 6, 2013.
ADDRESSES: You may submit comments, identified by docket number DHS-
2012-0074 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:
Lyn Rahilly, Privacy Officer, Immigration and Customs Enforcement,
(202) 732-3300, 500 12th Street SW., Washington, DC 20536-5004. For
privacy questions, please contact: Jonathan R. Cantor, Acting Chief
Privacy Officer, Privacy Office, Department of Homeland Security, (202)
343-1717, 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. Immigration and Customs
Enforcement (ICE) proposes to update and reissue a current DHS system
of records titled, ``DHS/ICE--010 Confidential and Other Sources of
Information (COSI) System of Records,'' 73 FR 237 (Dec. 9, 2008). This
System of Records Notice (SORN) will update the categories of
individuals, add new categories of records in the system, add and
update routine uses, and update the retention period of records related
to confidential and other sources. As a law enforcement investigatory
agency, ICE collects and maintains information regarding possible
violations of law from a number of sources, including Confidential
Informants; federal, state, local, tribal, territorial, and foreign law
enforcement agencies; and members of the public. This system of records
allows ICE to collect and maintain records concerning the identities of
and information received from documented Confidential Informants and
other sources who supply information to ICE regarding possible
violations of law or otherwise in support of law enforcement
investigations and activities.
Categories of individuals have been updated in the DHS/ICE--010
COSI SORN to more accurately describe the individuals about whom ICE
collects information. Previously categorized as ``Non-Confidential
Informants,''
[[Page 7799]]
individuals who are not documented as Confidential Informants, but
report information to ICE, are now considered ``Sources of
Information,'' while government personnel acting in their personal or
professional capacities and law enforcement officers acting in their
professional capacity are now separate categories of individuals.
Additionally, new categories of records have been added to more
accurately reflect the types of information collected and maintained on
Confidential Informants, Sources of Information, and government
personnel and law enforcement officers. For Confidential Informants,
fingerprints, handwriting samples, Alien Registration Numbers, copies
of passports(s), immigration records, bank account information, date,
informant was deactivated, special skills, and internal ICE memoranda
and other reports have been added. For Sources of Information, criminal
history information, date and place of birth, immigration history,
documentation of information received and monetary payment, and
internal ICE memoranda and other reports have been added. For
government personnel and law enforcement officers, individual's name,
addresses, agency, nationality, and occupational information have been
added.
Routine uses B and C are no longer being used in the DHS/ICE--010
COSI SORN. As a result, the lettering of the routine uses has been
amended, and all routine uses following B and C have been shifted up
two letters. Furthermore, new routine uses have been added to allow ICE
to share information regarding confidential and other sources of
information. Below is a summary of the new routine uses and their
corresponding letters:
F. To federal, state, local, tribal, territorial, foreign, or
international agencies for the purpose of obtaining information
relevant and necessary to ICE's decision whether an individual may act
as a Confidential Informant;
G. To courts, magistrates, administrative tribunals, parties, and
witnesses, in the course of immigration, civil, or criminal proceedings
and when DHS determines that use of such records is relevant and
necessary to the litigation before a court or adjudicative body;
H. To prospective claimants and their attorneys for the purpose of
negotiating the settlement of an actual of prospective claim against
DHS or its current or former employees, in advance of the initiation of
formal litigation or proceedings;
I. To a former employee of DHS for purposes of responding to an
official inquiry or facilitating communications with a former employee
that may be relevant for personnel-related or other official purposes;
J. To international, foreign, intergovernmental, and multinational
government agencies, authorities, and organizations to facilitate the
testimony of a Confidential Informant in a criminal, civil, or
administrative case;
K. To federal, state, local, tribal, territorial, or foreign
government agencies, as well as to other individuals and organizations
during the course of an investigation by DHS or during a proceeding
within the purview of the immigration and nationality laws;
L. To federal, state, local, tribal, territorial, foreign, or
international criminal, civil, or regulatory law enforcement
authorities when the information is necessary for collaboration,
coordination, and de-confliction of investigative matters,
prosecutions, and/or other law enforcement actions;
N. To the Department of State when it requires information to
consider and/or provide an informed response to a request for
information from a foreign, international, or intergovernmental agency,
authority, or organization about an alien or an enforcement operation
with transnational implications.
Finally, the retention period for records pertaining to
Confidential Informants has been updated. Previously, the SORN stated
that all records pertaining to confidential and other sources of
information were maintained until the end of the fiscal year in which
the related investigative file was closed, and records were transferred
to the Federal Records Center five (5) years after the end of that
fiscal year. ICE is proposing that electronic and paper records
pertaining to Confidential Informants are maintained in active form at
ICE Headquarters for five (5) years past the date of a Confidential
Informant's deactivation in order to assist with any ongoing ICE
investigations. The records will then be archived and retained at ICE
Headquarters for an additional fifty (50) years, following which the
records will be destroyed.
Portions of the DHS/ICE-010 COSI System of Records are exempt from
one or more provisions of the Privacy Act because of criminal, civil,
and administrative enforcement requirements. Individuals may request
information about records pertaining to them stored in the DHS/ICE-010
COSI System of Records as outlined in the ``Notification Procedure''
section below. ICE reserves the right to exempt various records from
release. Pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act,
portions of this system are exempt from 5 U.S.C. 552a(c)(3), (c)(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(k)(2), this system is exempt from
the following provisions of the Privacy Act, subject to the limitations
set forth in those subsections: 5 U.S.C. 552a(c)(3), (d), (e)(1),
(e)(4)(G), (e)(4)(H), and (f). In addition, to the extent a record
contains information from other exempt systems of records, ICE will
rely on the exemptions claimed for those systems. The exemptions for
the existing system of records notice will continue to be applicable
for this system of records notice as published in the Federal Register
on August 31, 2009 (74 FR 45083). In the context of this updated SORN,
DHS is requesting comment on the application of these exemptions to the
newly added categories of records. This system will continue to be
included in the DHS's inventory of record systems.
Consistent with DHS' information-sharing mission, information
stored in the DHS/ICE-010 COSI 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
consistent with the routine uses set forth in this system of records
notice.
II. Privacy Act
The Privacy Act embodies fair information 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 for which information is retrieved by the name of
an individual or by some identifying number, symbol, or other
particular identifier assigned to the individual. In the Privacy Act,
an individual is defined to encompass United States citizens and lawful
permanent residents. As a matter of policy, DHS extends administrative
Privacy Act protections to all individuals where systems of records
maintain information on U.S. citizens, lawful permanent residents, and
visitors.
[[Page 7800]]
Below is the description of the DHS/ICE-010 COSI 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. Immigration and Customs
Enforcement (ICE)-010
System name:
DHS/ICE-010 Confidential and Other Sources of Information (COSI)
Security classification:
Unclassified. Law Enforcement Sensitive (LES).
System location:
Records are maintained at ICE Headquarters in Washington, DC and at
ICE field offices.
Categories of individuals covered by the system:
Categories of individuals covered by this system include:
(1) Confidential Informants: Individuals who have been documented
as Confidential Informants and report information to ICE regarding
possible violations of law or other information in support of law
enforcement investigations and activities. Confidential Informants are
members of the public acting in either their personal or professional
capacities.
(2) Sources of Information: Individuals who are not documented as
Confidential Informants as described in (1) above who report
information to ICE regarding possible violations of law or other
information in support of law enforcement investigations and
activities. These individuals are cooperating defendants to a criminal,
civil, or administrative case or members of the public acting in either
their personal or professional capacities.
(3) Federal, state, local, tribal, territorial, or foreign
government personnel acting in their personal or professional
capacities.
(4) Federal, state, local, tribal, territorial, or foreign law
enforcement officers acting in their professional capacities.
(5) Individuals reported by Confidential Informants and Sources of
Information or federal, state, local, tribal, territorial or foreign
government personnel or law enforcement officers acting in their
professional capacities: Individuals whose information is provided to
ICE by the individuals described in (1), (2), and (3) above. These
individuals are typically persons who are alleged to have engaged in,
witnessed, or otherwise been associated with suspected illegal
activity.
Categories of records in the system:
Categories of records in this system may include:
For Confidential Informants:
Individual's name (actual or assumed);
ICE Confidential Informant (identifying) number;
Date ICE Informant number assigned;
Date Informant was deactivated;
Addresses;
Nationality;
Occupational information;
Date and place of birth;
Physical description of identifying features;
Special skills (e.g., languages spoken, special
certifications, areas of expertise);
Photograph of Informant;
Fingerprints;
Handwriting sample;
Identifying numbers, such as Social Security Number, Alien
Registration Number, driver's license number, FBI number, and passport
number;
Immigration history;
Criminal history information;
Copy of driver's license;
Copy of alien registration card;
Copy of passport(s);
Bank account information;
Documentation of information received and the amount and
date of any monetary payment made to the Informant; and
Internal ICE memoranda and other reports pertinent to a
confidential informant's eligibility, suitability, and identity.
For Sources of Information:
Individual's name (actual or assumed);
Addresses;
Nationality;
Occupational information;
Criminal History Information;
Date and place of birth;
Immigration history;
Documentation of information received and the amount and
date of any monetary payment made to the Source; and
Internal ICE memoranda and other reports pertinent to a
Source's eligibility, suitability and identity.
For federal, state, local, tribal, territorial or foreign
government personnel or law enforcement officers:
Individual's Name (actual or assumed);
Addresses;
Agency;
Nationality; and
Occupational Information.
For individuals about whom information is provided:
Individual's name (alleged violator, witness, interested
parties, those connected with the investigation);
Aliases;
Addresses;
Nationality;
Occupational information;
Date and place of birth;
Physical description of identifying features;
Photograph of the individual;
Fingerprints;
Handwriting sample;
Identifying numbers, such as Social Security Number, Alien
Registration Number, driver's license number, FBI/National Crime
Information Center (NCIC) number, and passport number;
Telephone numbers;
Emergency contact information;
Association/Organization memberships;
Copy of alien registration card;
Copy of driver's license;
Registration number of vehicle, vessel, or aircraft;
ICE Investigative case number;
Internal DHS/ICE memoranda and related materials regarding
possible violations of law;
Criminal record information;
Financial record information;
Documentation of information received from Confidential
Informants, agencies and other individuals;
The ICE office receiving the information; and
ICE Duty Agent Log of information received, which contains
some or all of the specific data listed above.
Authority for maintenance of the system:
8 U.S.C. 1357 and 19 U.S.C. 1589a.
Purpose(s):
The purpose of this system is to document and manage the identities
of and information received from a number of sources, including
Confidential Informants, regarding possible violations of law or other
information in support of law enforcement investigations and activities
conducted by ICE.
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 of
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:
[[Page 7801]]
A. To the Department of Justice (DOJ), including U.S. Attorney
Offices, or other federal agency conducting litigation or in
proceedings before any court, adjudicative, or administrative body,
when it is relevant and 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 where DOJ or DHS has agreed to represent the employee; or
4. the United States, or any agency thereof.
B. To an agency, organization, or individual 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.
C. 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.
D. 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.
E. Where a record, either on its face or in conjunction with other
information, indicates a violation of law, rule, regulation, or order,
which includes criminal, civil, or regulatory violations, and such
disclosure is proper and consistent with the official duties of the
person making the disclosure, a disclosure may be made to federal,
state, local, tribal, territorial, international, or foreign law
enforcement agencies or other appropriate authorities charged with
investigating or prosecuting a violation or enforcing or implementing a
law, rule, regulation, or order.
F. To federal, state, local, tribal, territorial, foreign, or
international agencies for the purpose of obtaining information
relevant and necessary to ICE's decision whether an individual may act
as a Confidential Informant.
G. To courts, magistrates, administrative tribunals, parties, and
witnesses, in the course of immigration, civil, or criminal proceedings
(including discovery, presentation of evidence, and settlement
negotiations) and when DHS determines that use of such records is
relevant and necessary to the litigation before a court or adjudicative
body when any of the following is a party to or have an interest in the
litigation:
(1) DHS or any component thereof;
(2) any employee of DHS in his/her official capacity;
(3) any employee of DHS in his/her individual capacity where the
government has agreed to represent the employee; or
(4) the United States, where DHS determines the litigation is
likely to affect DHS or any of its components.
H. To prospective claimants and their attorneys for the purpose of
negotiating the settlement of an actual of prospective claim against
DHS or its current or former employees, in advance of the initiation of
formal litigation or proceedings.
I. To a former employee of DHS for purposes of responding to an
official inquiry by federal, state, local, tribal, or territorial
government agencies or professional licensing authorities or
facilitating communications with a former employee that may be relevant
and necessary for personnel-related or other official purposes where
DHS requires information nor consultation assistance from the former
employee regarding a matter within that person's former area of
responsibility.
J. To international, foreign, intergovernmental, and multinational
government agencies, authorities, and organizations to facilitate the
testimony of a Confidential Informant in a criminal, civil, or
administrative case in which the Confidential Informant is a
cooperating witness or party.
K. To federal, state, local, tribal, territorial, or foreign
government agencies, as well as to other individuals and organizations
during the course of an investigation by DHS or the processing of a
matter under DHS's jurisdiction, or during a proceeding within the
purview of the immigration and nationality laws, when DHS deems that
such disclosure is necessary to carry out its functions and statutory
mandates or to elicit information required by DHS to carry out its
functions and statutory mandates.
L. To federal, state, local, tribal, territorial, foreign, or
international criminal, civil, or regulatory law enforcement
authorities when the information is necessary for collaboration,
coordination, and de-confliction of investigative matters,
prosecutions, and/or other law enforcement actions to avoid duplicative
or disruptive efforts and to ensure the safety of law enforcement
officers who may be working on related law enforcement matters.
M. To federal and foreign government intelligence or
counterterrorism agencies or components where DHS becomes aware of an
indication of a threat or potential threat to national or international
security, or where such disclosure is to support the conduct of
national intelligence and security investigations or to assist in anti-
terrorism efforts.
N. To the Department of State when it requires information to
consider and/or provide an informed response to a request for
information from a foreign, international, or intergovernmental agency,
authority, or organization about an alien or an enforcement operation
with transnational implications.
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 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:
Records in this system are stored electronically or on paper in
secure facilities in a locked drawer behind a locked door. The records
are stored on magnetic disc, tape, digital media, and CD-ROM.
[[Page 7802]]
Retrievability:
Records for Confidential Informants are retrieved by ICE by their
numerical identifier or the associated ICE investigative case number.
Other source records are retrieved by ICE investigative case number,
individual's name or alias (source, subject or other person connected
with the investigation), the ICE field office which received the
information, and the date the information was received.
Safeguards:
Records in this system are safeguarded in accordance with
applicable rules and policies, including all applicable DHS automated
system security 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:
ICE is seeking approval for a records retention schedule for the
records described in this system of records. ICE proposes to maintain
both electronic and paper-based records pertaining to Confidential
Informants in active form at ICE Headquarters for five (5) years past
the date of an individual's deactivation from being a Confidential
Informant. The records will then be archived and retained at ICE
Headquarters for an additional fifty (50) years, following which the
records will be destroyed.
The retention and disposal period listed in the existing system of
records notice will continue to be applicable for paper-based records
pertaining to Confidential Informants maintained at ICE field offices
as well as records pertaining to Non-Confidential Sources and
individuals reported by Confidential Informants and Non-Confidential
Sources. Records are maintained until the end of the fiscal year in
which the related investigative file is closed. The records are then
transferred to the Federal Records Center five (5) years after the end
of that fiscal year. The records are then destroyed fifty (50) years
after the end of the fiscal year in which the related investigative
file is closed. Disposal of paper files occurs by burning or shredding;
electronic data is disposed of using methods approved by the DHS Chief
Information Security Officer.
System Manager and address:
Deputy Assistant Director, Investigative Services Division, Office
of Investigations, ICE Headquarters, Potomac Center North, 500 12th St.
SW., Washington, DC 20024.
Notification procedure:
The Secretary of Homeland Security has exempted this system from
the notification, access, and amendment procedures of the Privacy Act
because it is a law enforcement system. However, DHS/ICE 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 ICE's 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, U.S. Department of Homeland Security, 245
Murray Drive SW., Building 410, STOP-0550, 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 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.
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) will 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:
Records are obtained from other federal, state, local, tribal, and
territorial law enforcement agencies, Confidential Informants, and any
other sources of information including members of the public.
Exemptions claimed for the system:
Pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act,
portions of this system are exempt 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) and (e)(8);
(f), and (g). Pursuant to 5 U.S.C. 552a(k)(2), this system is exempt
from the following provisions of the Privacy Act, subject to the
limitations set forth in those subsections: 5 U.S.C. 552a(c)(3), (d),
(e)(1), (e)(4)(G), (e)(4)(H), and (f). When a record received from
another system has been 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 and claims any additional exemptions set forth here.
Dated: January 24, 2013.
Jonathan R. Cantor,
Acting Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2013-02343 Filed 2-1-13; 8:45 am]
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