81 FR 52700 - Privacy Act of 1974; Department of Homeland Security/ICE-015 LeadTrac System of Records

DEPARTMENT OF HOMELAND SECURITY
Office of the Secretary

Federal Register Volume 81, Issue 153 (August 9, 2016)

In accordance with the Privacy Act of 1974, the Department of Homeland Security (DHS) proposes to establish a new DHS system of records titled, ``DHS/ICE-015 LeadTrac System of Records.'' This new system of records is being created from a previously issued system of records, DHS/ICE 009-External Investigations SORN. 73 FR 75452 (Dec. 11, 2008). This system of records allows DHS to collect and maintain records gathered by and in the possession of U.S. Immigrations and Customs Enforcement (ICE), Homeland Security Investigations (HSI), Counterterrorism and Criminal Exploitation Unit (CTCEU) and ICE field offices for appropriate enforcement action, used in the course of their duties in identifying, investigating, and taking enforcement action against foreign students, exchange visitors, and other non-immigrant visitors to the United States who overstay their period of admission or otherwise violate the terms of their visa, immigrant, or non-immigrant status (collectively, status violators) through the LeadTrac system. This SORN also allows DHS to collect information in LeadTrac about organizations such as schools, universities, and exchange visitor programs being investigated by CTCEU and information about individuals, including designated school officials (DSOs), and associates of suspected status violators. Additionally, DHS/ICE 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 of Homeland Security's inventory of record systems.

[Federal Register Volume 81, Number 153 (Tuesday, August 9, 2016)]
[Notices]
[Pages 52700-52703]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-18810]


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

DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2016-0053]


Privacy Act of 1974; Department of Homeland Security/ICE-015 
LeadTrac System of Records

AGENCY: Privacy Office, Department of Homeland Security (DHS).

ACTION: Notice of Privacy Act system of records.

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

SUMMARY: In accordance with the Privacy Act of 1974, the Department of 
Homeland Security (DHS) proposes to establish a new DHS system of 
records titled, ``DHS/ICE-015 LeadTrac System of Records.'' This new 
system of records is being created from a previously issued system of 
records, DHS/ICE 009-External Investigations SORN. 73 FR 75452 (Dec. 
11, 2008). This system of records allows DHS to collect and maintain 
records gathered by and in the possession of U.S. Immigrations and 
Customs Enforcement (ICE), Homeland Security Investigations (HSI), 
Counterterrorism and Criminal Exploitation Unit (CTCEU) and ICE field 
offices for appropriate enforcement action, used in the course of their 
duties in identifying, investigating, and taking enforcement action 
against foreign students, exchange visitors, and other non-immigrant 
visitors to the United States who overstay their period of admission or 
otherwise violate the terms of their visa, immigrant, or non-immigrant 
status (collectively, status violators) through the LeadTrac system. 
This SORN also allows DHS to collect information in LeadTrac about 
organizations such as schools, universities, and exchange visitor 
programs being investigated by CTCEU and information about individuals, 
including designated school officials (DSOs), and associates of 
suspected status violators.
    Additionally, DHS/ICE 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 of Homeland Security's inventory of 
record systems.

DATES: Submit comments on or before September 8, 2016.This new system 
will be effective September 8, 2016.

ADDRESSES: You may submit comments, identified by docket number DHS-
2016-0053 by one of the following methods:
     Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Fax: 202-343-4010.
     Mail: Jonathan R. Cantor, Acting Chief Privacy Officer, 
Privacy Office, Department of Homeland Security, Washington, DC 20528-
0655.
    Instructions: All submissions received must include the agency name 
and docket number for this rulemaking. All comments received will be 
posted without change to http://www.regulations.gov, including any 
personal information provided.
    Docket: For access to the docket to read background documents or 
comments received, please visit http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: For general questions, please contact: 
Amber Smith, Privacy Officer, (202) 732-3300, U.S. Immigration and 
Customs Enforcement, 500 12th Street SW., Mail Stop 5004, Washington, 
DC 20536, email: [email protected]. For privacy questions, please 
contact: Jonathan R. Cantor, (202) 343-1717, Acting Chief Privacy 
Officer, Privacy Office, Department of Homeland Security, Washington, 
DC 20528-0655.

SUPPLEMENTARY INFORMATION: 

I. Background

    In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, the 
Department of Homeland Security (DHS)/U.S. Immigration and Customs 
Enforcement (ICE) proposes to establish a new DHS system of records 
titled, ``DHS/ICE-015 LeadTrac System of Records.''
    This record system allows DHS to collect and maintain information 
about foreign students, exchange visitors, and other non-immigrant 
visitors to the United States, as well as associated organizations and 
individuals, who overstay their period of admission or otherwise 
violate the terms of their visa, immigrant, or non-immigrant status 
(collectively, ``status violators''). Using the LeadTrac information 
technology (IT) system, ICE Homeland Security Investigations (HSI), 
Counterterrorism and Criminal Exploitation Unit (CTCEU) collects PII 
from key DHS databases and analyzes it to identify suspected status 
violators. This system of records contains records from Arrival and 
Departure Information System (ADIS), Student and Exchange Visitor 
Information System (SEVIS), Enforcement Integrated Database (EID/
ENFORCE), TECS, Consular Consolidated Database (CCD), Computer--Linked 
Application Information Management System (CLAIMS 3), Automated 
Biometric Identification System (IDENT), and from commercial databases 
and public sources. CTCEU will also use LeadTrac to collect information 
about organizations such as schools, universities, and exchange visitor 
programs being investigated by CTCEU, and information about 
individuals, including designated school officials (DSOs) and 
associates of suspected status violators.
    ICE collects information in LeadTrac about suspected status 
violators and organizations to help enforce compliance with U.S. 
immigration laws. Specifically, the information is collected and used 
to support the following DHS activities: Investigating and determining 
immigration status of individuals; identifying fraudulent schools and/
or organizations and the people affiliated with those schools or 
organizations; providing HSI and Enforcement and Removal Operations 
(ERO) with information to further investigate suspected status 
violators; and carrying out the required enforcement activity.
    Some of the individuals about whom ICE collects information in 
LeadTrac, such as DSOs and associates of suspected status violators, 
may have lawful permanent resident (LPR) status or be U.S. citizens. 
CTCEU and Overstay Analysis Unit (OAU) personnel query a variety of DHS 
and non-DHS information systems and enter the results into LeadTrac to 
build a unified picture of an individual's entry/exit, visa, criminal, 
and immigration history, and will comparably process information about 
associated individuals and organizations. Using this assembled 
information, CTCEU personnel will determine which individuals and 
organizations warrant additional investigation for possible

[[Page 52701]]

status violations or the operation of fraudulent institutions, and will 
request that the appropriate HSI field offices initiate investigations.
    Consistent with the Department's information sharing mission, 
information stored in the DHS/ICE-015 LeadTrac 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/ICE 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 of Homeland Security'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. As a matter of policy, DHS extends administrative 
Privacy Act protections to all individuals when systems of records 
maintain information on U.S. citizens, lawful permanent residents, and 
visitors.
    In accordance with 5 U.S.C. 552a(r), DHS has provided a report of 
this system of records to the Office of Management and Budget and to 
Congress.
System of Records
    Department of Homeland Security (DHS)/U.S. Immigration Customs 
Enforcement (ICE)-015.

System name:
    DHS/ICE-015 LeadTrac System of Records.

Security classification:
    Unclassified; Law Enforcement Sensitive.

System location:
    DHS/ICE maintains records at the U.S. Immigration and Customs 
Enforcement (ICE) Headquarters in Washington, DC and field offices. 
Specifically, all records are maintained in the LeadTrac information 
technology (IT) system, except an extract of records from the legacy 
LeadTrac system that is maintained in an archived electronic form and 
stored at the National Archives and Records Administration's (NARA) 
Federal Records Center.

Categories of individuals covered by the system:
    Categories of individuals covered by this system include: (1) 
Individuals who are suspected of overstaying their period of admission, 
have had their visa revoked, or otherwise violate the terms of their 
visa, immigrant, or non-immigrant status (suspected status violators). 
This includes foreign students, exchange visitors, dependents, and 
other visitors to the United States; (2) associates of suspected status 
violators, including family members and employers, who may include U.S. 
citizens; (3) Designated School Officials (DSOs) and other individuals 
involved in the operation of suspected status violators' institutions; 
and (4) Chief executives and legal counsel of Student and Exchange 
Visitor Program (SEVP)-certified schools, and designated exchange 
visitor sponsors.

Categories of records in the system:
    For individuals who are suspected status violators:
    (1) Biographic and other identifying information, to include but 
not limited to names, dates of birth, countries of birth, countries of 
citizenship, gender, Social Security number (SSN), financial 
information, and vehicle information;
    (2) Travel-related data, such as passport and visa information and 
other information related to entry and exit of the United States;
    (3) Education data, which may include program of study, school 
name, school type, school address, school telephone number, school 
code, enrollment information, Student and Exchange Visitor Information 
System (SEVIS) certification date, accreditation information, and 
school operating authority; and
    (4) DHS immigration benefit applications data filed with U.S. 
Government agencies, and data concerning matriculation at a U.S. 
college or university, employment, civil litigation, and/or criminal 
history.
    For a suspected status violator's associates and family members: 
Names, dates of birth, contact information, and other identifying 
numbers.
    For school and exchange visitor officials: Names, SEVIS ID numbers, 
aliases, gender, dates of birth, countries of birth and citizenship, 
contact information, and identifying numbers, which may include, but 
are not limited to alien number and passport number.

Authority for maintenance of the system:
    Pursuant to the Homeland Security Act of 2002 (Pub. L. 107-296, 
Nov. 25, 2002), the Secretary of Homeland Security has the authority to 
enforce numerous federal criminal and civil laws. These include, but 
are not limited to, laws residing in titles 8, 18, 19, 21, 22, 31, and 
50 of the U.S.C. The Secretary delegated this authority to ICE in DHS 
Delegation Number 7030.2, Delegation of Authority to the Assistant 
Secretary for the Bureau of Immigration and Customs Enforcement and the 
Reorganization Plan Modification for the Department of Homeland 
Security (January 30, 2003).

Purpose(s):
    LeadTrac is owned by the U.S. Immigration and Customs Enforcement 
(ICE), Homeland Security Investigations (HSI) Counterterrorism and 
Criminal Exploitation Unit (CTCEU). The purpose of this system is to 
identify and vet visitors to the United States who overstay their 
period of admission or otherwise violate the terms of their visa, 
immigrant or non-immigrant status. LeadTrac also vets, collects, and 
maintains information on organizations such as schools, universities, 
and exchange visitor programs being investigated by CTCEU.
    Specifically, the information is collected and used to support the 
following DHS activities: Investigating and determining immigration 
status and criminal history information about individuals and carrying 
out the required enforcement activity; determining the likelihood of, 
or confirming a suspected violator's continued presence within the 
United States and assessing the associated risk level; identifying 
fraudulent schools and/or organizations and the people affiliated with 
those schools or organizations; and providing HSI and Enforcement and 
Removal Operations (ERO) with information to further investigate 
suspected status violators and carry out the required enforcement 
activity.
    This system of records also supports the identification of 
potential criminal activity, immigration violations, and

[[Page 52702]]

threats to homeland security. The system is used to uphold and enforce 
the law, and to ensure public safety.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, all or a portion of the records or 
information contained in this system may be disclosed outside DHS as a 
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
    A. To the DOJ, including Offices of the United States Attorneys, or 
other Federal agency conducting litigation or in proceedings before any 
court, adjudicative, or administrative body, when disclosure 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 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 NARA or the 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.
    E. To appropriate agencies, entities, and persons when:
    1. DHS suspects or has confirmed that the security or 
confidentiality of information in the system of records has been 
compromised;
    2. DHS has determined that as a result of the suspected or 
confirmed compromise, there is a risk of identity theft or fraud, harm 
to economic or property interests, harm to an individual, or harm to 
the security or integrity of this system or other systems or programs 
(whether maintained by DHS or another agency or entity) that rely upon 
the compromised information; and
    3. The disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with DHS's efforts to 
respond to the suspected or confirmed compromise and prevent, minimize, 
or remedy such harm.
    F. 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.
    G. To appropriate Federal, State, local, tribal, territorial, 
international, or foreign law enforcement agencies or other appropriate 
authorities charged with investigating or prosecuting a violation or 
enforcing or implementing a law, rule, regulation, or order when a 
record, either on its face or in conjunction with other information, 
indicates a violation or potential violation of law, rule, regulation, 
or order, which includes criminal, civil, or regulatory violations, and 
such disclosure is proper and consistent with the official duties of 
the person making the disclosure.
    H. 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, or 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 clearance, the reporting of an investigation of an employee, 
the letting of a contract, or the issuance of a license, grant, or 
other benefit.
    I. To Federal, State, local, tribal, territorial, international, or 
foreign criminal, civil, or regulatory law enforcement authorities when 
the information is necessary for collaboration, coordination, and de-
confliction of investigative matters, prosecutions, and/or other law 
enforcement actions to avoid duplicative or disruptive efforts and to 
ensure the safety of law enforcement officers who may be working on 
related law enforcement matters.
    J. To international, foreign, intergovernmental, and multinational 
government agencies, authorities, and organizations in accordance with 
law and formal or informal international arrangements.
    K. To Federal, State, local, tribal, territorial, 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.
    L. To an organization or individual in either the public or private 
sector, either foreign or domestic, when there is a reason to believe 
that the recipient is or could become the target of a particular 
terrorist activity or conspiracy, to the extent the information is 
relevant to the protection of life or property.
    M. 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.
    N. 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 context of a particular case would 
constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    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.

Retrievability:
    DHS/ICE may retrieve records by biographic information, identifying 
numbers, and by other key data elements contained in the system.

Safeguards:
    Records in this system are safeguarded in accordance with 
applicable rules and policies, including

[[Page 52703]]

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

Retention and disposal:
    Under the NARA-approved records retention schedule for LeadTrac, 
records must be retained for 75 years. ICE intends to request NARA 
approval to retain LeadTrac records for 25 years from the date the 
record was created. Under this schedule, records would be kept as 
active in LeadTrac for 20 years, and archived for an additional five-
year period. After the 25-year period, the information would be 
destroyed or, if deemed necessary, retained further under a reset 
retention schedule.

System Manager and address:
    Section Chief, Counterterrorism and Criminal Exploitation Unit 
(CTCEU), Homeland Security Investigations, U.S. Immigration and Customs 
Enforcement, 1515 Wilson Boulevard, Arlington, VA 22209.

Notification procedure:
    Individuals seeking notification of and access to any record 
contained in this system of records, or seeking to contest its content, 
may submit a request in writing to ICE's Freedom of Information Act 
(FOIA) Officer or the Chief Privacy Officer whose contact information 
can be found at http://www.dhs.gov/foia under ``Contacts.'' If an 
individual believes more than one component maintains Privacy Act 
records concerning him or her, the individual may submit the request to 
the Chief Privacy Officer and Chief Freedom of Information Act Officer, 
Department of Homeland Security, 245 Murray Drive SW., Building 410, 
STOP-0655, Washington, DC 20528.
    When seeking records about yourself from this system of records or 
any other Departmental system of records, your request must conform 
with the Privacy Act regulations set forth in 6 CFR part 5. You must 
first verify your identity, meaning that you must provide your full 
name, current address, and date and place of birth. You must sign your 
request, and your signature must either be notarized or submitted under 
28 U.S.C. 1746, a law that permits statements to be made under penalty 
of perjury as a substitute for notarization. While no specific form is 
required, you may obtain forms for this purpose from the Chief Privacy 
Officer and Chief Freedom of Information Act Officer, http://www.dhs.gov/foia or 1-866-431-0486. In addition, you should:
     Explain why you believe the Department would have 
information on you;
     Identify which component(s) of the Department you believe 
may have the information about you;
     Specify when you believe the records would have been 
created; and
     Provide any other information that will help the FOIA 
staff determine which DHS component agency may have responsive records.
    If your request is seeking records pertaining to another living 
individual, you must include a statement from that individual 
certifying his/her agreement for you to access his/her records.
    Without the above information, the component(s) may not be able to 
conduct an effective search, and your request may be denied due to lack 
of specificity or lack of compliance with applicable regulations.

Record access procedures:
    See ``Notification procedure'' above.

Contesting record procedures:
    Individuals who wish to contest the accuracy of records in this 
system of records should submit these requests to the ICE Office of 
Information Governance and Privacy. Requests must comply with 
verification of identity requirements set forth in Department of 
Homeland Security Privacy Act regulations at 6 CFR 5.21(d). Please 
specify the nature of the complaint and provide any supporting 
documentation. By mail (please note substantial delivery delays exist): 
ICE Office of Information Governance and Privacy, 500 12th Street SW., 
Mail Stop 5004, Washington, DC 20536. By email: [email protected]. 
Please contact the Office of Information Governance and Privacy with 
any questions about submitting a request or complaint at 202-732-3300 
or [email protected].

Record source categories:
    Records are obtained from key DHS systems of records to include but 
not limited to:
     Arrival and Departure Information System (ADIS). 80 FR 
72,081 (November 18, 2015).
     Student and Exchange Visitor Information System (SEVIS). 
75 FR 412 (January 5, 2010).
     Enforcement Integrated Database (EID/ENFORCE). 80 FR 
24,269 (April 30, 2015).
     TECS (not an acronym). 73 FR 43,457 (July 25, 2008).
     Benefits Information Systems (BIS). 73 FR 56,596 
(September 29, 2008).
     Automated Biometric Identification System (IDENT). 72 FR 
31,080 (June 5, 2007).
    Records are also obtained from the U.S. Department of State's 
Consular Consolidated Database (CCD) (77 FR 65,245 (Oct. 25, 2012)), 
commercial databases, and public sources.

Exemptions claimed 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: 5 U.S.C. 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). 
Additionally, the Secretary of Homeland Security, pursuant to 5 U.S.C. 
552a(k)(2) has exempted this system from the following provisions of 
the Privacy Act: 5 U.S.C. 552a(c)(3), (c)(4); (d); (e)(1), (e)(4)(G), 
(e)(4)(H), (e)(4)(I); and (f). When a record received from another 
system has been exempted in that source system under 5 U.S.C. 
552a(j)(2) or (k)(2), DHS will claim the same exemptions for those 
records that are claimed for the original primary systems of records 
from which they originated and claims any additional exemptions set 
forth here.

    Dated: August 3, 2016.
Jonathan R. Cantor,
Acting Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2016-18810 Filed 8-8-16; 8:45 am]
 BILLING CODE 9111-28-P