DHS ICE-018 Analytical Records SORN

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Officer and CBP Freedom of Information
Act Officer, whose contact information
can be found at http://www.dhs.gov/foia
under ‘‘Contacts 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 you 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 an individual’s request is seeking
records pertaining to another living
individual, the first individual must
include a statement from the second
individual certifying his/her agreement
for the first individual to access his/her
records.
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.

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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.

for CTPAT Program membership
discovered during the vetting process
and any resulting issue papers are
exempt from 5 U.S.C. secs. 552a(c)(3);
(d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I);
and (f). In addition, to the extent a
record contains information from other
exempt systems of records, CBP will
rely on the exemptions claimed for
those systems.
HISTORY:

*

78 FR 15962 (March 13, 2013).
*
*
*
*

James Holzer,
Acting Chief Privacy Officer, U.S. Department
of Homeland Security.
[FR Doc. 2021–05647 Filed 3–19–21; 8:45 am]
BILLING CODE 9111–14–P

NOTIFICATION PROCEDURES:

DEPARTMENT OF HOMELAND
SECURITY

See ‘‘Record Access Procedures’’
above.

[Docket No. ICEB–2020–0008]

EXEMPTIONS PROMULGATED FOR THE SYSTEM:

No exemption shall be asserted with
respect to information requested from
and provided by the CTPAT Program
applicant including company profile,
supply chain information, and other
information provided during the
application and validation process. CBP
will not assert any exemptions for an
individual’s application data and final
membership determination in response
to an access request from that
individual. However, the Privacy Act
requires DHS to maintain an accounting
of the disclosures made pursuant to all
routines uses. Disclosing the fact that a
law enforcement agency has sought
particular records may affect ongoing
law enforcement activities. As such,
pursuant to 5 U.S.C. 552a(j)(2), DHS will
claim exemption from sections (c)(3),
(e)(8), and (g) of the Privacy Act of 1974,
as amended, as is necessary and
appropriate to protect this information.
Further, DHS will claim exemption from
section (c)(3) of the Privacy Act of 1974,
as amended, pursuant to 5 U.S.C.
552a(k)(2) as is necessary and
appropriate to protect this information.
Pursuant to exemption 5 U.S.C.
552a(j)(2) of the Privacy Act, all other
CTPAT Program data, including
information regarding the possible
ineligibility of an applicant for CTPAT
membership discovered during the
vetting process and any resulting issue
papers, are exempt from 5 U.S.C. secs.
552a(c)(3) and (4); (d); (e)(1), (e)(2),
(e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5),
and (e)(8); (f); and (g). Pursuant to 5
U.S.C. 552a(k)(2), information regarding
the possible ineligibility of an applicant

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Privacy Act of 1974; System of
Records
U.S. Immigration and Customs
Enforcement, U.S. Department of
Homeland Security.
ACTION: Notice of a new Privacy Act
system of records.
AGENCY:

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–
SUMMARY:

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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
general questions, please contact: Jordan
Holz, ICEPrivacy@ice.dhs.gov, 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, Privacy@
hq.dhs.gov, Acting Chief Privacy
Officer, Privacy Office, U.S. Department
of Homeland Security, Washington, DC
20528–0655.
SUPPLEMENTARY INFORMATION:
FOR FURTHER INFORMATION CONTACT:

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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

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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

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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 userdriven 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 nonfederal 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
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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.

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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,
HSIOTCDTasking@ice.dhs.gov, 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

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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.

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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

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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 nongovernmental 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.

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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 customsbonded 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

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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

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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 commerciallyavailable 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

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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.

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Federal Register / Vol. 86, No. 53 / Monday, March 22, 2021 / Notices
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

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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

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15251

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

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Federal Register / Vol. 86, No. 53 / Monday, March 22, 2021 / Notices

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.

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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

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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

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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.

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CONTESTING RECORD PROCEDURES:

DEPARTMENT OF THE INTERIOR

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:

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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

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National Park Service
[NPS–WASO–NAGPRA–NPS0031603;
PPWOCRADN0–PCU00RP14.R50000]

Notice of Intent To Repatriate Cultural
Items: Fort Lewis College, Durango,
CO
AGENCY:
ACTION:

National Park Service, Interior.

Notice.

Fort Lewis College, in
consultation with the appropriate
Indian Tribes or Native Hawaiian
organizations, has determined that the
cultural items listed in this notice meet
the definition of unassociated funerary
objects. Lineal descendants or
representatives of any Indian Tribe or
Native Hawaiian organization not
identified in this notice who wish to
claim these cultural items should
submit a written request to Fort Lewis
College, via the NAGPRA Liaison. If no
additional claimants come forward,
transfer of control of the cultural items
to the lineal descendants, Indian Tribes,
or Native Hawaiian organizations stated
in this notice may proceed.

SUMMARY:

Lineal descendants or
representatives of any Indian Tribe or
Native Hawaiian organization not
identified in this notice who wish to
claim these cultural items should
submit a written request with
information in support of the claim to
Fort Lewis College, via the NAGPRA
Liaison at the address in this notice by
April 21, 2021.

DATES:

Kathleen Fine-Dare, Ph.D.,
NAGPRA Liaison, Fort Lewis College,
1000 Rim Drive, Durango, CO 81301,
telephone (970) 247–7438, email fine_
k@fortlewis.edu.

ADDRESSES:

Notice is
here given in accordance with the
Native American Graves Protection and
Repatriation Act (NAGPRA), 25 U.S.C.
3005, of the intent to repatriate cultural
items under the control of Fort Lewis
College, Durango, CO, that meet the
definition of unassociated funerary
objects under 25 U.S.C. 3001.
This notice is published as part of the
National Park Service’s administrative
responsibilities under NAGPRA, 25
U.S.C. 3003(d)(3). The determinations in
this notice are the sole responsibility of
the museum, institution, or Federal
agency that has control of the Native
American cultural items. The National
Park Service is not responsible for the
determinations in this notice.

SUPPLEMENTARY INFORMATION:

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History and Description of the Cultural
Items
All 248 items in this notice were
taken from Ancestral Puebloan burials
located in La Plata County, CO (164
items), Montezuma County, CO (83
items), and Dolores County, CO (one
item), and they belong to either the
Homer Root Ledger Collection (89
items) or the Charles McClain Collection
(159 items). (The Root and McClain
collections also contain items from New
Mexico and Arizona, but this notice
only concerns objects located in the
three Colorado counties.) Both
collections are currently stored in the
Fort Lewis College Center of Southwest
Studies curation facility.
The Homer Root Ledger Collection is
comprised of items donated to or
acquired by the Fort Lewis College
Museum. Homer Emerson Root (1896–
1977) was a Michigan-born and
Colorado-raised Methodist minister who
was appointed Curator of the Fort Lewis
College Museum after retiring from the
ministry in 1953. From 1958–1968, he
kept five detailed and elaborately
detailed ledger books in which museum
(and other) items were skillfully
rendered in ink and oil color. These
items were accompanied by catalog
cards. A self-trained archeologist and
artist, Root directed FLC archeological
field schools in the 1960s. Root had
strong connections with avocational
archeologists in the region who often
donated objects they had acquired to the
College Museum.
The items in the Charles McLain
Collection were collected prior to 1970.
They were accessioned in 2001 and
2008, following two donations from
McClain’s daughters, Katherine McLain
Bergfield and Margaret ‘‘Peggy’’ Fearing.
The donations were accompanied by
McLain’s personal, handwritten catalog
cards, which usually included
documentation on the funerary context
of the vessels and vague locational
information. Many of the items in the
McLain collection were amassed
through Charles McClain’s extensive
collecting activities. Two of the items
identified as unassociated funerary
objects were acquired through a trade
with ceramicist Norman ‘‘Ted’’ Oppelt.
Homer Root Ledger Collection From La
Plata County, CO (63 items)
In 1960, one item was removed from
a burial during the construction of St.
Paul’s Lutheran Church, located at 2611
Junction Street, Durango, CO. The one
item is a jar.
Around 1961, five items were
removed from burials at multiple
archeological sites on Ewing Mesa by

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