[Federal Register Volume 86, Number 53 (Monday, March 22, 2021)]
[Notices]
[Pages 15246-15253]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-05651]


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DEPARTMENT OF HOMELAND SECURITY

[Docket No. ICEB-2020-0008]


Privacy Act of 1974; System of Records

AGENCY: U.S. Immigration and Customs Enforcement, U.S. Department of 
Homeland Security.

ACTION: Notice of a new Privacy Act system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, the U.S. 
Department of Homeland Security (DHS) proposes to consolidate two 
current systems of records, ``DHS/U.S. Immigration and Customs 
Enforcement (ICE)-005 Trade Transparency Analysis and Research System 
of Records'' and ``DHS/ICE-016 FALCON Search and Analysis System of 
Records,'' into an overarching system of records titled, ``DHS/ICE-018 
Analytical Records.'' This new agency-wide system of records notice 
covers records maintained by ICE to allow personnel to search, 
aggregate, and visualize large volumes of information to enforce 
criminal, civil, and administrative laws under ICE's jurisdiction. 
Additionally, DHS is issuing a Notice of Proposed Rulemaking to exempt 
this system of records from certain provisions of the Privacy Act 
elsewhere in the Federal Register. This newly established system will 
be included in the Department's inventory of record systems.

DATES: Submit comments on or before April 21, 2021. This modified 
system will be effective upon publication. Routine uses will be 
effective April 21, 2021.

ADDRESSES: You may submit comments, identified by docket number ICEB-

[[Page 15247]]

2020-0008 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: James Holzer, Acting Chief Privacy Officer, Privacy 
Office, U.S. Department of Homeland Security, Washington, DC 20528-
0655.
    Instructions: All submissions received must include the agency name 
and docket number ICEB-2020-0008. 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, go to http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: For general questions, please contact: 
Jordan Holz, [email protected], Privacy Officer, U.S. Immigration 
and Customs Enforcement (ICE), 500 12th Street SW, Mail Stop 5004, 
Washington, DC 20536. For privacy questions, please contact: James 
Holzer, (202) 343-1717, [email protected], Acting Chief Privacy 
Officer, Privacy Office, U.S. Department of Homeland Security, 
Washington, DC 20528-0655.

SUPPLEMENTARY INFORMATION:

I. Background

    The U.S. Department of Homeland Security (DHS)/U.S. Immigration and 
Customs Enforcement (ICE) proposes to issue a new DHS system of records 
notice (SORN) titled, ``DHS/ICE-018 Analytical Records.'' DHS/ICE is 
creating this new system of records to better reflect and clarify the 
nature of all records collected, maintained, processed, and shared by 
ICE in large analytical data environments.
    This system of records consolidates the following two notices, 
``DHS/ICE-005 Trade Transparency Analysis and Research (TTAR) System of 
Records,'' 79 FR 71112 (December 1, 2014), and ``DHS/ICE-016 FALCON 
Search and Analysis (FALCON-SA) System of Records,'' 82 FR 20905 (May 
4, 2017), into one new system of records. This new system of records 
reflects the types of information and records ICE collects and 
maintains in analytical systems to support its law enforcement and 
investigative mission, rather than linking the SORN to specific IT 
system(s). This SORN provides greater transparency of ICE's processes 
and more accurately reflects the storage of records in the cloud 
computing environment. After the routine uses of this SORN are 
effective, ICE will publish a rescindment notice for both the DHS/ICE-
005 TTAR SORN and the DHS/ICE-016 FALCON-SA SORN.
    ICE analytical systems help ICE personnel conduct research and 
analysis using advanced analytic tools in support of their law 
enforcement and investigative mission. These tools allow ICE to query, 
analyze, and present large amounts of data in a variety of formats that 
can help illuminate relationships among the various data elements. Some 
analytical tools may incorporate the use of artificial intelligence and 
machine learning to assist ICE personnel in examining large and complex 
datasets. All analytical systems and tools under this system of records 
use a central data store to eliminate the need for multiple copies of 
the data. The central data store streamlines the application of many 
security and privacy controls. Source systems control user access, 
retention, and dissemination restrictions on the record level by data 
tagging. Data tagging is the process of indexing or labeling data 
individually, instead of only labelling data at the system or folder 
level. Records covered by this SORN may reside physically within the 
same platform or cloud computing environment, but are logically 
separated from each other through the data tagging process. ICE 
personnel would therefore only have access to the information for which 
they have a pre-established need to know.
    Strong access controls and robust audit functions within the 
analytical systems ensure that ICE's use of the records is predicated 
on law enforcement, national security, immigration enforcement, and 
customs enforcement activities. A governance group composed of 
leadership from ICE Homeland Security Investigations (HSI) enforces 
this requirement, with oversight by ICE's legal and privacy offices.

Data Derived From Other SORNs

    This system of records ingests and aggregates data from a number of 
system and database interfaces that collect data for ICE's law 
enforcement, national security, immigration enforcement, and customs 
enforcement missions. ICE controls all data aggregated from these 
interfaces through a combination of data tagging, access control lists, 
and other technologies. These interfaces are covered by other federal 
agency, DHS, and ICE SORNs. Separate SORNs are appropriate because the 
data, purposes, and routine uses differ depending on the analytical 
interface or tool. ICE ensures that the appropriate retention, use, and 
sharing of this data is in line with the purpose of its original 
collection. Records available to users via other system interfaces are 
covered by these separate SORNs, which are customized to the purposes 
of those interfaces. For example, data available through an ingest from 
ICE's Investigative Case Management System (ICM) interface would be 
covered by the DHS/ICE-009 External Investigations SORN, 75 FR 404 
(January 5, 2010).
    The analytical data store ingests information either on a routine 
or ad hoc basis. Routine ingests are regular updates to datasets that 
originate from other government (typically ICE or DHS) data systems. Ad 
hoc ingests are user-driven ingests of particular data that may be 
relevant to a given user or group's investigative or analytical project 
in the analytical system. The nature of the data in ad hoc ingests 
varies. For example, data may be collected from commercial or public 
sources (e.g., internet research or from a commercial data service), 
public reports of law enforcement violations or suspicious activity 
(tips), or digital records seized or subpoenaed during an 
investigation. Data uploaded to analytical systems in an ad hoc manner 
is associated with a case file number, if possible, and retained 
consistent with the retention of the case file. ICE collects data for 
ad hoc ingests in accordance with the purposes outlined in an ICE or 
DHS SORN and will tag the record with the appropriate category 
description. That tag controls the use, dissemination, and retention 
policy for that data.

Stand-Alone Analytical Records

    The analytical data store also contains metadata that is created by 
an ICE analytical system when it ingests data. ICE uses the metadata to 
apply access controls and other system rules (such as retention 
policies) to the contents of the central data store. The metadata also 
provides important contextual information about the date the 
information was added to the data store and the source system where the 
data originated.
    Analytical systems covered by this SORN may also contain an index, 
which is a numerical and alphabetical list of every word or string of 
numbers/characters found in the system, with a reference to the 
electronic location where the corresponding source record is stored. 
Analytical systems use indexes to conduct searches, identify 
relationships and links between records and data, and generate 
visualizations for analytic purposes.
    ICE analytical systems also ingest external information from non-
federal entities, including state and local law

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enforcement authorities, private corporations, or foreign governments. 
External information shared with ICE could include any category of 
records listed in this SORN, such as biographic information, trade and 
customs information, criminal history information, content from the 
dark net, and publicly available social media content. ICE determines 
the parameters on retention, use, and sharing of the information via an 
agreement between the entity and ICE, such as a memorandum of 
understanding or ICE agreeing to the terms and conditions of a private 
service. Like ad hoc ingests, ICE collects information from non-federal 
entities in accordance with the purposes outlined in an ICE or DHS SORN 
and will tag the record with the appropriate category description. ICE 
may use external entity ingests for law enforcement, national security, 
immigration enforcement, and customs enforcement purposes.
    This SORN also covers tips submitted to ICE via email, online forms 
on the ICE website, or by calling an ICE tip line phone number. These 
tips are created electronically using an ICE-wide tip line interface or 
may be manually entered by ICE analysts. The tips are input directly 
into ICE analytical systems and are vetted using analytical tools. Once 
ICE analysts adjudicate the tips for action, the tips will then be 
referred via the analytical system to the relevant ICE office or 
program and accessible to authorized users to conduct further 
investigation.
    Users of an analytical tool or system may create visualizations, 
match records, or create analyses of large volumes of data through 
algorithmic processes. The end result of user efforts with an 
analytical tool, such as a map or list, is an analytical work product. 
Work products are considered intermediary records with access, use, and 
sharing restrictions tied to the underlying raw data that a system used 
to create the product. Analytical work products are destroyed upon 
verification of successful creation of the final document or file or 
when no longer needed for a business use, whichever is later. If a user 
deems the product to be pertinent to an investigation, it will then be 
incorporated into a final document or file as an investigative record 
and follow the case with which it was assigned.
    Analytical products, information sharing, and user collaboration 
made possible in analytical systems may result in the creation of a 
lead to the field. These leads are actionable intelligence that require 
further investigation by ICE prior to agents or officers carrying out 
any law enforcement action. Analytical systems may distribute and track 
the outcomes of leads for reporting purposes.
    Finally, as this SORN will replace the DHS/ICE-005 TTAR SORN, it 
will now provide notice for use of all data collected by ICE that is 
used in generating leads for, and otherwise supporting, investigations 
related to customs violations. These violations include trade-based 
money laundering, smuggling, commercial fraud, and other crimes within 
the jurisdiction of ICE. For example, ICE uses financial and law 
enforcement data to examine foreign trade data to identify anomalies in 
patterns of trade. Such anomalies can indicate import-export crimes 
that ICE is responsible for investigating. In addition, these 
anomalies, patterns, and relationships provide leads that may warrant 
investigation for violation of U.S. export laws and regulations.

Uses of Data Within the System

    ICE agents and criminal analysts use analytical systems for a 
variety of purposes: To conduct research that supports the production 
of law enforcement intelligence products; to provide lead information 
for investigative inquiry and follow-up; to support the enforcement and 
investigation of criminal and civil laws under ICE's jurisdiction, 
including those pertaining to customs violations; to identify potential 
criminal activity, immigration violations, and threats to homeland 
security; to share analytical capabilities within DHS and with domestic 
and foreign partners, as appropriate; to assist in the disruption of 
terrorist or other criminal activity; and to discover previously 
unknown connections among existing ICE investigations.
    Consistent with DHS's information sharing mission, information 
stored in the DHS/ICE-018 Analytical Records 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, DHS/ICE may share information with appropriate federal, 
state, local, tribal, territorial, foreign, or international government 
agencies consistent with the routine uses set forth in this system of 
records notice.
    Additionally, DHS is issuing a Notice of Proposed Rulemaking to 
exempt this system of records from certain provisions of the Privacy 
Act elsewhere in the Federal Register. This newly established system 
will be included in DHS's inventory of record systems.

II. Privacy Act

    The Privacy Act embodies fair information practice principles in a 
statutory framework governing the means by which federal government 
agencies collect, maintain, use, and disseminate individuals' records. 
The Privacy Act applies to information that is maintained in a ``system 
of records.'' A ``system of records'' is a group of any records under 
the control of an agency from which information is retrieved by the 
name of an individual or by some identifying number, symbol, or other 
identifying particular assigned to the individual. In the Privacy Act, 
an individual is defined to encompass U.S. citizens and lawful 
permanent residents. Additionally, the Judicial Redress Act (JRA) 
provides covered persons with a statutory right to make requests for 
access and amendment to covered records, as defined by the JRA, along 
with judicial review for denials of such requests. In addition, the JRA 
prohibits disclosures of covered records, except as otherwise permitted 
by the Privacy Act.
    Below is the description of the DHS/ICE-018 Analytical Records 
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 NAME AND NUMBER:
    U.S. Department of Homeland Security (DHS)/Immigration and Customs 
Enforcement (ICE)-018 Analytical Records.

SECURITY CLASSIFICATION:
    Classified, Unclassified, Law Enforcement Sensitive, and For 
Official Use Only.

SYSTEM LOCATION:
    Records are maintained either at the ICE Headquarters in 
Washington, DC and field offices, or designated cloud computing 
environments.

SYSTEM MANAGER(S):
    Assistant Director for Homeland Security Investigations Operational 
Technology and Cyber Division, [email protected], U.S. 
Immigration and Customs Enforcement, 500 12th Street SW, Washington, DC 
20536.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    6 U.S.C. 236; 8 U.S.C. 1103 and 1105; 8 U.S.C. 1225(d)(3) and 
(d)(4)(A); 8 U.S.C. 1324a(e)(2)(C); 8 U.S.C. 1357; 8 U.S.C. 1360(b); 18 
U.S.C. 541, 542, 545, and 554; 18 U.S.C. 1956, 1957, and

[[Page 15249]]

1960; 18 U.S.C. 2703; 19 U.S.C. 1415; 19 U.S.C. 1481 and 1484; 19 
U.S.C. 1509; 19 U.S.C. 1589a; 19 U.S.C. 1628; 19 CFR 161.2 and 192.14; 
21 U.S.C. 967; 22 U.S.C. 2778; 31 U.S.C. 5316; 31 CFR 1010.340; 50 
U.S.C. 1705; 50 U.S.C. 2411(a); and, Bank Secrecy Act, Public Law 91-
508, 84 Stat. 1114-24 (1970).

PURPOSE(S) OF THE SYSTEM:
    The purposes of ICE analytical systems are:
    (a) To support ICE's collection, analysis, reporting, and 
distribution of law enforcement, customs, immigration, terrorism, 
intelligence, and homeland security information in support of ICE's 
mission;
    (b) to produce investigative leads and other actionable information 
to ICE's law enforcement, customs, and immigration enforcement 
personnel and to other appropriate government agencies;
    (c) to identify potential violations of U.S. criminal, civil, and 
administrative laws through search, aggregation, analysis, and 
visualization of raw data;
    (d) to enhance the efficiency and effectiveness of the research and 
analysis process for DHS law enforcement, customs, immigration, and 
intelligence personnel through information technology tools that 
provide for advanced search and analysis of various datasets;
    (e) to facilitate multi-jurisdictional cooperation and 
collaboration on investigations into transnational activities that 
violate criminal and civil laws pertaining to exportation of restricted 
materials, cargo safety and security, immigration, trafficking, trade, 
financial crimes, smuggling, and fraud;
    (f) to support the operation of the agency's tip line and the 
collection, analysis, and action on information volunteered by the 
public and other sources concerning suspicious and potentially illegal 
activity; and
    (g) to identify potential criminal activity, immigration 
violations, customs violations, and threats to homeland security; to 
uphold and enforce the law; and to ensure public safety.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Categories of individuals covered by this system include:
    (1) Individuals identified in law enforcement, intelligence, crime, 
and incident reports (including financial reports under the Bank 
Secrecy Act and law enforcement bulletins) produced by DHS and other 
government agencies;
    (2) individuals identified in U.S. passport, visa, border, 
immigration, and naturalization benefit data, including arrival and 
departure data;
    (3) individuals identified in DHS law enforcement, licensing, and 
immigration records, including records associated with the ICE Student 
Exchange Visitor Program;
    (4) individuals who, as importers, exporters, shippers, 
transporters, customs brokers, owners, purchasers, manufacturers, 
consignees, or agents thereof, participate in the import or export of 
goods to or from the United States or to or from nations with which the 
United States has entered an agreement to share trade information;
    (5) individuals (e.g., subjects, witnesses, associates, assigned 
government personnel) associated with customs enforcement, immigration 
enforcement, administrative actions, detainer requests, or law 
enforcement investigations/activities conducted by ICE, the former 
Immigration and Naturalization Service (INS), U.S. Customs and Border 
Protection (CBP), or the former U.S. Customs Service;
    (6) individuals associated with law enforcement investigations or 
activities conducted by other federal, state, tribal, territorial, 
local or foreign agencies where there is a potential nexus to ICE's law 
enforcement, customs enforcement, and immigration enforcement 
responsibilities, or homeland security in general;
    (7) individuals known or appropriately suspected to be or have been 
engaged in conduct constituting, in preparation for, in aid of, or 
related to terrorism;
    (8) individuals involved in or associated with suspicious 
activities, threats, or other incidents reported by domestic and 
foreign government agencies, multinational or non-governmental 
organizations, critical infrastructure owners and operators, private 
sector entities and organizations, and individuals;
    (9) individuals who are subjects of government screening lists or 
threat assessments, such as known or suspected Transnational Organized 
Criminal (TOC) gang members or associates;
    (10) Specially Designated Nationals (SDN) as defined by 31 CFR 
500.306 and individuals identified on other denied parties or screening 
lists; and
    (11) ICE personnel or personnel from partner law enforcement 
agencies who are mentioned in significant incident reports that concern 
law enforcement operations, injuries to law enforcement personnel, or 
other significant incidents reported within ICE.

CATEGORIES OF RECORDS IN THE SYSTEM:
    (1) Biographic and other identifying information, including names; 
dates of birth; places of birth; Social Security numbers (SSN); Tax 
Identification Numbers (TIN); Exporter Identification Numbers (EIN); 
passport information (number and country of issuance); citizenship; 
nationality; location and contact information (e.g., home, business, 
and email addresses and telephone numbers); and other identification 
numbers (e.g., Alien Registration Number (A-number), Driver's License 
Number);
    (2) Biometric information, including facial images, iris images, 
fingerprints, and voice audio; and any unique numerical identifiers 
assigned to biometrics for administrative purposes;
    (3) Financial data, including data reported pursuant to the Bank 
Secrecy Act (e.g., certain transactions over $10,000) and other 
financial data obtained via official investigations, legal processes, 
or legal settlements. Financial data includes bank account numbers, 
transaction numbers, and descriptions or value of financial 
transactions;
    (4) Licensing information related to applications by individuals or 
businesses to hold or retain a customs broker's license, operate a 
customs-bonded warehouse, or be a bonded carrier or bonded cartman;
    (5) Trade analysis data, including trade identifier numbers (e.g., 
for manufacturers importers, exporters, and customs brokers) and bill 
of lading data (e.g., consignee names and addresses, shipper names and 
addresses, container numbers, carriers); internet protocol (IP) 
addresses; other financial data related to trade required for the 
detection and analysis of financial irregularities and crimes;
    (6) Location-related data, including address; geotags from metadata 
associated with other record categories collected; and geolocation 
information derived from authorized law enforcement activities, ICE-
owned devices, witness accounts, or commercially available data;
    (7) Various internal operational reports, including reports of 
significant incidents and operations; reports concerning prospective 
enforcement activity; reports of outcomes and dispositions of referred 
leads; requests for assistance from other law enforcement agencies; 
agency intelligence reports; and reports of third-agency visits to ICE 
detention facilities;
    (8) Law enforcement records, including TECS subject records and 
investigative records related to an ICE or

[[Page 15250]]

CBP law enforcement matter, information obtained from the U.S. 
Department of the Treasury's Specially Designated Nationals List, visa 
security information, and other trade-based and financial sanction 
screening lists. Law enforcement data includes names; aliases; business 
names; addresses; IP addresses; dates of birth; places of birth; 
citizenship; nationality; passport information; SSNs; TINs; Driver's 
License Numbers; and vehicle, vessel, and aircraft information;
    (9) Reports of fines, penalties, forfeitures, and seizure 
incidents;
    (10) Financial and communication records obtained during the course 
of an ICE criminal investigation. These records can include lawfully 
obtained call transactions, call content, text transactions, text 
content, email transactions, email content, and financial wire 
transactions;
    (11) Continued presence parole application records;
    (12) Open source information--news articles or other data available 
to the public on the internet or in public records, including content 
from the dark net and publicly available information from social media;
    (13) Commercially available data--public and proprietary records 
available for a subscription;
    (14) Cargo and border crossing data--inbound/outbound shipment 
records and border crossing information;
    (15) Criminal information, including lookouts, warrants, criminal 
history records, and other civil or criminal investigative information 
provided by other law enforcement agencies;
    (16) Information from foreign governments or multinational 
organizations such as INTERPOL or Europol--including criminal history; 
immigration data; passenger, vehicle, vessel entry/exit data; passport 
information; vehicle, vessel, and licensing records; shipment records; 
telephone records; intelligence reports; investigative leads and 
requests; and wanted persons notices, warrants, and lookouts;
    (17) Information related to participation in a student exchange 
visitor program, including education and training; school information; 
sponsor information; program status and activities; placement 
information; and any administrative or adjudicative actions related to 
the program;
    (18) Investigative leads, analytical work products, and finished 
intelligence reports from ICE, DHS, or other agencies;
    (19) Information or evidence seized or otherwise lawfully obtained 
during the course of an ICE investigation, including business records, 
third-agency records, public records (e.g., courts), transcripts of 
interviews/depositions, or records and materials seized or obtained via 
subpoena or other lawful process;
    (20) Tips concerning illegal or suspicious activity from the public 
and other law enforcement agencies; and
    (21) Tip data concerning child exploitation violations, such as the 
biographical data of the suspect or the suspect's online identity 
information (e.g., user ID). Internet service provider data, domain 
name, credit card number and IP address, internet subscriber data 
(e.g., name, subscriber number, billing address, payment method, and 
email addresses), a log of subscriber activity, or other information 
such as motor vehicle data, and SSN; and
    (22) Other information collected during the course of vetting a tip 
from sources such as government databases, open sources, and 
commercially-available data, as previously described.

RECORD SOURCE CATEGORIES:
    Records are obtained from individuals via tips to the ICE tip line 
or other public interfaces; other DHS components; U.S. Department of 
Commerce; U.S. Department of the Treasury; U.S. Department of State; 
other federal, state, and local law enforcement agencies; foreign 
governments pursuant to international agreements or arrangements; 
international entities; financial institutions; transportation 
companies; manufacturers; customs brokers; organizations participating 
in free trade zones; port authorities; and commercially and publicly 
available data sources. Current federal interfaces with ICE analytical 
systems include records covered by the following SORNs:
     DHS/ICE-001 Student Exchange Visitor Information System 
(SEVIS), 75 FR 412 (January 5, 2010);
     DHS/ICE-004 Bond Management Information System (BMIS), 85 
FR 64515 (October 13, 2020);
     DHS/ICE-006 Intelligence Records System (IIRS), 75 FR 9233 
(March 1, 2010);
     DHS/ICE-007 Criminal History and Immigration Verification 
(CHIVe) System of Records, 83 FR 20844 (May 8, 2018);
     DHS/ICE-008 Search Arrest and Seizure Records, 73 FR 74732 
(December 9, 2008);
     DHS/ICE-009 External Investigations, 75 FR 404 (January 5, 
2010);
     DHS/ICE-011 Criminal Arrest Records and Immigration 
Enforcement Records (CARIER) System of Records, 81 FR 72080 (October 
19, 2016);
     FinCEN .003--Bank Secrecy Act Reports System, 79 FR 20969 
(April 14, 2014);
     DHS/CBP-006 Automated Targeting System, 77 FR 30297 (May 
22, 2012);
     DHS/CBP-020 Export Information System, 80 FR 53181 
(September 2, 2015);
     JUSTICE/FBI-001 National Crime Information Center (NCIC), 
84 FR 47533 (September 10, 2019);
     DHS/ALL-041 External Biometric Records (EBR), 83 FR 17829 
(April 24, 2018).
    SORNs ingested into analytical systems at ICE are subject to change 
based on mission need and requirements of both ICE and system owners.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, all or a portion of the records or 
information contained in this system may be disclosed outside DHS as a 
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
    A. To the Department of Justice (DOJ), including the U.S. Attorneys 
Offices, or other federal agencies conducting litigation or proceedings 
before any court, adjudicative, or administrative body, when it is 
relevant or necessary to the litigation and one of the following is a 
party to the litigation or has an interest in such litigation:
    1. DHS or any component thereof;
    2. Any employee or former employee of DHS in his/her official 
capacity;
    3. Any employee or former employee of DHS in his/her individual 
capacity, only 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 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.

[[Page 15251]]

    E. To appropriate agencies, entities, and persons when (1) DHS 
suspects or has confirmed that there has been a breach of the system of 
records; (2) DHS has determined that as a result of the suspected or 
confirmed breach there is a risk of harm to individuals, DHS (including 
its information systems, programs, and operations), the Federal 
Government, or national security; 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 
breach or to prevent, minimize, or remedy such harm.
    F. To another federal agency or federal entity, when DHS determines 
that information from this system of records is reasonably necessary to 
assist the recipient agency or entity in (1) responding to a suspected 
or confirmed breach or (2) preventing, minimizing, or remedying the 
risk of harm to individuals, the recipient agency or entity (including 
its information systems, programs, and operations), the Federal 
Government, or national security, resulting from a suspected or 
confirmed breach.
    G. To an appropriate federal, state, tribal, local, international, 
or foreign law enforcement agency or other appropriate authority 
charged with investigating or prosecuting a violation or enforcing or 
implementing a law, rule, regulation, or order, when a record, either 
on its face or in conjunction with other information, indicates a 
violation or potential violation of law, which includes criminal, 
civil, or regulatory violations and such disclosure is proper and 
consistent with the official duties of the person making the 
disclosure.
    H. To 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.
    I. To federal, state, local, tribal, territorial, foreign or 
international agencies, if the information is relevant and necessary to 
a requesting agency's decision concerning the hiring or retention of an 
individual; the issuance, grant, renewal, suspension, or revocation of 
a security clearance, license, contract, grant, or other benefit; or if 
the information is relevant and necessary to a DHS decision concerning 
the hiring or retention of an employee, the issuance of a security.
    J. To appropriate federal, state, local, tribal, territorial, or 
foreign government 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 determines that the information would assist in the 
enforcement of civil, criminal, or regulatory laws.
    K. To federal, state, local, tribal, territorial, foreign 
government agencies, or other entities or individuals, or through 
established liaison channels to selected foreign governments, in order 
to provide intelligence, counterintelligence, or other information for 
the purposes of national security, intelligence, counterintelligence, 
or antiterrorism activities authorized by U.S. law, executive order, or 
other applicable national security directive.
    L. To federal, state, local, tribal, territorial, or foreign 
government agencies or organizations, or international organizations, 
lawfully engaged in collecting law enforcement intelligence, whether 
civil or criminal, to enable these entities to carry out their law 
enforcement responsibilities, including the collection of law 
enforcement intelligence.
    M. To international, foreign, intergovernmental, and multinational 
government agencies, authorities, and organizations in accordance with 
law and formal or informal international arrangements.
    N. To a court, magistrate, administrative tribunal, opposing 
counsel, parties, and witnesses in the course of a civil, criminal or 
administrative proceeding before a court or adjudicative body when DHS 
determines that the use of such records is relevant and necessary to 
the litigation or the proceeding provided that in each case, DHS 
determines that disclosure of the information to the recipient is a use 
of the information that is compatible with the purpose for which it was 
collected.
    O. 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.
    P. To federal, state, local, tribal, territorial, international, or 
foreign government agencies or entities for the purpose of consulting 
with those agencies or entities:
    (1) To assist in making a determination regarding redress for an 
individual in connection with the operations of a DHS component or 
program;
    (2) To verify the identity of an individual seeking redress in 
connection with the operations of a DHS component or program; or to 
verify the accuracy of information submitted by an individual who has 
requested redress on behalf of another individual.
    Q. To an organization or individual in either the public or private 
sector, either foreign or domestic, to the extent necessary to prevent 
immediate loss of life, serious bodily injury, or destruction of 
property.
    R. To third parties during the course of a law enforcement 
investigation to the extent necessary to obtain information pertinent 
to the investigation, provided disclosure is appropriate to the proper 
performance of the official duties of the officer making the 
disclosure.
    S. To a former employee of DHS for the purpose 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 
necessary for personnel-related matters 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.
    T. To appropriate federal, state, local, tribal, or foreign 
governmental agencies or multilateral governmental organizations, with 
the approval of the Chief Privacy Officer, when DHS is aware of a need 
to use relevant data, that relate to the purpose(s) stated in this 
SORN, for purposes of testing new technology.
    U. To the news media and the public, with the approval of the Chief 
Privacy Officer in consultation with counsel, when there exists a 
legitimate public interest in the disclosure of the information, when 
disclosure is necessary to preserve confidence in the integrity of DHS, 
or when disclosure is necessary to demonstrate the accountability of 
DHS's officers, employees, or individuals covered by the system, except 
to the extent the Chief Privacy Officer determines that release of the 
specific information in the

[[Page 15252]]

context of a particular case would constitute a clearly unwarranted 
invasion of personal privacy.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    DHS/ICE 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, and digital media within secure 
access-controlled facilities.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    DHS/ICE may retrieve records by any of the personal identifiers 
stored in the system including name, business address, home address, 
importer ID, exporter ID, broker ID, manufacturer ID, Social Security 
number, trade and tax identifying numbers, passport number, or account 
number. Records may also be retrieved by non-personal information such 
as transaction date, entity or institution name, description of goods, 
value of transactions, and other information.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    The retention period for information contained in analytical 
systems varies depending on the type of data. Routinely ingested data 
is retained in accordance with the record retention schedule of the 
source system. Analytical products are considered intermediary records 
which are destroyed upon verification of successful creation of the 
final document or file (such as a generated lead), or when no longer 
needed for a business use, whichever is later. Data uploaded to 
analytical systems in an ad hoc manner is associated with a case file 
number, to the extent possible, and retained consistent with the 
retention of the case file. Records associated with an ICE case file, 
either ad hoc uploads or designated analytical work products, are 
active until the case closes, and then will be retained for 20 years in 
accordance with legacy customs schedule N1-36-86-1-161.3 (inv 7B) from 
the Department of Treasury. Records associated with cases are retained 
for evidentiary purposes, to allow ICE to link findings to other cases, 
and to ensure ICE has proper auditing and oversight of its systems. ICE 
will develop and submit an updated schedule for investigative records 
to the National Archives and Records Administration (NARA) for 
approval. When there is no case file number, ICE tags the data as 
either associated with the ICE or DHS SORN related to the original 
collection of the information or with a retention schedule of 20 years. 
ICE retains system metadata for the same length of time as the record 
or data element they originate from or describe.
    Currently, the retention period for data maintained under the DHS/
ICE-005 TTAR SORN is maintained in accordance with the legacy retention 
schedule N1-567-09-003. Case related records under this schedule will 
remain active until the end of the calendar year in which a case 
closes, after which it will be retained for an additional ten years, 
and then deleted. All other bulk financial and trade data ingested is 
archived at the end of the calendar year of receipt and destroyed three 
years thereafter. ICE intends to request NARA approval to retire the 
legacy retention schedule and proposes to retain all financial and 
trade data for ten years.
    This system of records will also be the official repository for tip 
information at ICE. The tip line application will feed records it 
creates directly into an analytical central storage environment. ICE 
analysts may manually enter other tip information into the environment. 
Currently tip records are unscheduled. ICE will include tip records in 
its submission to NARA for a new investigative records schedule. ICE 
will propose that standard tip records be retained for ten years from 
the date of the tip. Tip records concerning child exploitation crimes 
will be retained for 75 years in line with retention schedule N1-567-
10-014.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    DHS/ICE safeguards records in this system according to applicable 
rules and policies, including all applicable DHS automated systems 
security and access policies. DHS/ICE has imposed strict controls 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.

RECORD ACCESS PROCEDURES:
    The Secretary of Homeland Security has exempted this system from 
the notification, access, and amendment procedures of the Privacy Act, 
and the Judicial Redress Act if applicable, 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 access to and notification of any record contained 
in this system of records, or seeking to contest its content, may 
submit a request in writing to the Chief Privacy Officer and ICE 
Freedom of Information Act (FOIA) Officer whose contact information can 
be found at http://www.dhs.gov/foia under ``Contact Information.'' 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, Washington, DC 20528-0655. Even 
if neither the Privacy Act nor the Judicial Redress Act provide a right 
of access, certain records about an individual may be available under 
the Freedom of Information Act.
    When an individual is seeking records about himself or herself from 
this system of records or any other Departmental system of records, the 
individual's request must conform with the Privacy Act regulations set 
forth in 6 CFR part 5. The individual must first verify his/her 
identity, meaning that the individual must provide his/her full name, 
current address, and date and place of birth. The individual must sign 
the request, and the individual's 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, an individual 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, 
the individual should:
     Explain why he or she believes the Department would have 
information being requested;
     Identify which component(s) of the Department he or she 
believes may have the information;
     Specify when the individual believes 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 request is seeking records pertaining to another living 
individual, the request must include an authorization from the 
individual whose record is being requested, authorizing the release to 
the requester.
    Without the above information, the component(s) may not be able to 
conduct an effective search, and the individual's request may be denied 
due to lack of specificity or lack of compliance with applicable 
regulations.

[[Page 15253]]

CONTESTING RECORD PROCEDURES:
    For records covered by the Privacy Act or covered JRA records, 
individuals may make a request for amendment or correction of a record 
of the Department about the individual by writing directly to the 
Department component that maintains the record, unless the record is 
not subject to amendment or correction. The request should identify 
each particular record in question, state the amendment or correction 
desired, and state why the individual believes that the record is not 
accurate, relevant, timely, or complete. The individual may submit any 
documentation that would be helpful. If the individual believes that 
the same record is in more than one system of records, the request 
should state that and be addressed to each component that maintains a 
system of records containing the record.

NOTIFICATION PROCEDURES:
    See ``Record Access Procedures'' above.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    The Secretary of Homeland Security, pursuant to 5 U.S.C. 
552a(j)(2), has exempted this system from the following provisions of 
the Privacy Act: 552a(c)(3), (c)(4); (d); (e)(1), (e)(2), (e)(3), 
(e)(4)(G), (e)(4)(H), (e)(4)(I), (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). When an analytical system receives a record from 
another system exempted in that source system under 5 U.S.C. 
552a(j)(2), ICE 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.

HISTORY:
    DHS/ICE-005 Trade Transparency Analysis and Research, 79 FR 71112 
(December 1, 2014); DHS/ICE-016 FALCON Search and Analysis, 82 FR 20905 
(May 4, 2017).
* * * * *

James Holzer,
Acting Chief Privacy Officer, U.S. Department of Homeland Security.
[FR Doc. 2021-05651 Filed 3-19-21; 8:45 am]
BILLING CODE 9111-28-P