PIA for IDENT

Privacy Impact Assessment
for the

Automated Biometric Identification System
(IDENT)
DHS/NPPD/USVISIT/PIA-002
December 7, 2012
Contact Point
Kenneth Gantt
Assistant Director
Program Integration and Mission Services Division
DHS/NPPD/US-VISIT
(202) 298-5200
Reviewing Official
Jonathan R. Cantor
Acting Chief Privacy Officer
Department of Homeland Security
(202) 343-1717

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Abstract
The Automated Biometric Identification System (IDENT) is the central DHS-wide system for
storage and processing of biometric and associated biographic information for national security; law
enforcement; immigration and border management; intelligence; background investigations for national
security positions and certain positions of public trust; and associated testing, training, management
reporting, planning and analysis, or other administrative uses. This Privacy Impact Assessment (PIA) and
the attached appendices provide transparency into how the system uses personally identifiable
information (PII) and details the system’s sharing partners and functions. As such, the IDENT PIAs of
July 31, 2006, and May 25, 2007; the US-VISIT/DHS and United Kingdom Border Agency’s (UKBA)
International Group Visa Services Project PIA of July 2, 2008; and the Five Country Conference (FCC)
PIA of November 2, 2009, will be retired upon publication of this PIA.

Overview
The legacy Immigration and Naturalization Service (INS) developed IDENT in 1994 as a law
enforcement system for collecting and processing biometrics. In 2004, the Department of Homeland
Security (DHS) established the U.S. Visitor and Immigrant Status Indicator Technology (US-VISIT)
Program as the first large-scale biometric identification program to support immigration and border
management. IDENT has evolved over the years into the central DHS-wide system for the storage and
processing of biometric data. IDENT stores and processes biometric data—digital fingerprints,
photographs, iris scans, and facial images—and links biometrics with biographic information to establish
and verify identities. IDENT serves as a biographic and biometric repository for the Department. As a
data steward, US-VISIT provides a service to its data providers and data users. US-VISIT identifies each
collection by data provider and its authority to use, retain, and share it. IDENT enables sharing with
authorized users after the data provider has approved the sharing.
The process of retaining data provided to IDENT is referred to as enrollment. Each time an
individual’s biometrics are enrolled in IDENT, it is an encounter. Adding encounters to an already
existing identity is referred to as an assignment. With each encounter, IDENT:




Checks a person’s biometrics against the IDENT watchlist of known or suspected terrorists
(KST), criminals, and immigration violators;
Checks a person’s biometrics against the entire database of fingerprints to help determine if a
person is using an alias and/or attempting to use fraudulent identification; and
Checks a person’s biometrics against those associated with the identification document presented
to help ensure that the document belongs to the person presenting it and not someone else.

IDENT automatically compares the biometrics from each new encounter to the best quality
biometrics associated with each identity in the system. IDENT assigns a new identity for the encounter if
an encounter does not match an identity already in the system. If the new encounter matches an identity
in the system, then IDENT appends the encounter to the existing encounters for that identity. IDENT
processes are governed by IDENT’s data users and data providers. US-VISIT provides different levels of

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access and services to both IDENT data users and data providers based on the purpose of the initial
biometric collection and subsequent sharing and retention.
IDENT Users
IDENT users are entities that query IDENT and may also use IDENT to upload and store
biometric information. All IDENT users are federal, state, local, tribal, foreign, or international
governmental agencies that have entered into written information sharing access agreements (e.g.,
memoranda of understanding (MOU)) with US-VISIT for biometric identification and analysis services.1
An IDENT user that does not store biometric information has “search only” access, meaning they can
search IDENT in order to accurately identify domestic and international threats through subject-ofinterest queries. These queries allow IDENT users to search IDENT using their own data, but that data is
not enrolled (or maintained) in IDENT. Depending on the agreement with DHS, the IDENT user may
search only the IDENT watchlist or the entire IDENT gallery.
IDENT Data Providers
Not all IDENT users provide their data for retention in IDENT. The subset of IDENT users that
contribute and store data to IDENT are referred to as IDENT data providers.2 IDENT data providers may
contribute data to IDENT in two ways:


Search and Enroll: The data provider provides data to conduct an IDENT search and
enrolls that data as a new IDENT encounter.



Search and Assign: The data provider provides data to conduct an IDENT search, which
enrolls as a new IDENT encounter only if another encounter already exists. These data
providers cannot create a new identity in IDENT; they can only add encounters to an
already existing identity.

Data providers determine the IDENT users that their data can be shared with based on data
provider rules and approved DHS mission needs.
IDENT users include:
U.S. Customs and Border Protection (CBP): CBP searches and enrolls data in IDENT. CBP
enrolls data in IDENT to screen all in-scope international travelers3 to the United States, persons
1

DHS components are not required to enter into MOUs with US-VISIT.
In very limited circumstances, a provider may only store data and does not receive a response. For example, the
Department of Defense may provide data via CD to be included in the IDENT data repository, but receives no
response.
3
In-scope international travelers excludes:
 U.S. citizens;
 Canadian citizens visiting the United States temporarily for business or pleasure who are not otherwise
required to present a visa or be issued Form I-94 or Form I-95 for admission or parole into the United
States;
 Visitors admitted on an A-1, A-2, C-3, G-1, G-2, G-3, G-4, NATO-1, NATO-2, NATO-3, NATO-4,
NATO-5, or NATO-6 visa;
 Children under the age of 14 (unless participating in a trusted traveler program);
 Persons over the age of 79;
2

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using a trusted traveler program,4 and anyone interdicted while crossing the border illegally. As
part of the screening process, CBP officers collect digital fingerprints and a digital photograph
from all in-scope, non-U.S. citizen travelers and those travelers approved for enrollment in a CBP
trusted traveler program. Trusted traveler programs allow CBP to expedite the inspection and
security process for lower risk travelers and apply more scrutiny to travelers who present higher
risks to the United States. Using US-VISIT’s IDENT, CBP officers may also quickly verify
whether an individual applying for entry to the United States is the same individual to whom a
visa was issued based on the biometrics provided through the visa process.


Immigration and Customs Enforcement (ICE): ICE searches and enrolls data in IDENT. ICE
uses IDENT to enroll biometrics about individuals encountered and/or arrested for criminal or
immigration violations through the course of an investigation, arrest, booking, detention, and/or
removal from the United States. ICE also compares those individuals’ biometrics against IDENT
to find or verify identity, or to identify threats. Additionally, ICE uses IDENT data as well as
data from other sources to identify individuals who may have overstayed the terms of their
admission.5



U.S. Coast Guard (USCG): USCG searches and enrolls data in IDENT to assist in the
apprehension and prosecution of illegal migrants and migrant smugglers at sea. USCG uses
mobile biometric collection devices—handheld scanners and cameras—to collect and compare
migrants’ biometric information against information about criminals and immigration violators. 6
USCG also uses IDENT to pre-vet and then verify crew aboard High Interest Vessels.
U.S. Citizenship and Immigration Services (USCIS): USCIS searches and enrolls data in IDENT
to establish and verify the identities of individuals applying for immigration benefits, including
asylum and refugee status.7
Department of State (DoS): DoS searches and enrolls data in IDENT and uses IDENT to establish
and verify the identities of visa applicants at embassies and consulates around the world through
its BioVisa program. Consular officers also use this information in determining visa eligibility.
DoS Office of Personnel Security and Suitability (OPSS) also uses IDENT for personnel security
and suitability determinations.8







Classes of visitors the Secretary of State and the Secretary of Homeland Security jointly determine shall be
exempt;
 An individual visitor the Secretary of State and the Secretary of Homeland Security or the Director of
Central Intelligence Agency jointly determine shall be exempt; and
 Taiwanese officials who hold E-1 visas and members of their immediate families who hold E-1 visas.
4
See DHS/CBP/PIA-002(a) – Global Enrollment System Update,
http://www.dhs.gov/xlibrary/assets/privacy/privacy_pia_cbp_goes.pdf
5
See DHS/ALL/PIA-041 – One DHS Overstay Vetting Pilot PIA,
http://www.dhs.gov/files/publications/gc_1282922720391.shtm#40.
6
See DHS/USCG/PIA-002(c) - United States Coast Guard "Biometrics at Sea" PIA,
http://www.dhs.gov/files/publications/gc_1281126129297.shtm#1.
7
See DHS/USCIS/PIA-033 - Immigration Benefits Background Check Systems PIA,
http://www.dhs.gov/files/publications/gc_1279308495679.shtm#33.
8
OPSS sharing is discussed in full in the US-VISIT DHS-DOJ Interoperability PIA, appendix B found at
www.dhs.gov/privacy.

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







Department of Defense (DOD) and the Intelligence Community: DOD searches and enrolls data
in IDENT. US-VISIT works across the federal Intelligence Community and DOD to promote
intelligence efforts in identifying persons who may be a threat to the United States. DOD collects
information to support its military mission, detainee affairs, and force protection efforts; as well
as its antiterrorism, special operations, stability operations, homeland defense,
counterintelligence, and intelligence efforts around the world. Additionally, DOD enrolls
information collected from non-U.S. citizens denied access to military posts. This information
may be shared with US-VISIT biometric services to facilitate identification of terrorists. Finally,
DOD enrolls data in IDENT to help identify KSTs by matching against known and latent
fingerprints collected from terrorist safe houses and ongoing criminal investigations.
Department of Justice (DOJ) and state and local law enforcement: DOJ and state and local law
enforcement search IDENT to ensure they have accurate identity information about individuals
they encounter. US-VISIT is improving integration, accessibility, and interoperability with other
law enforcement and intelligence systems. DHS and the Federal Bureau of Investigation (FBI)
have established interoperability between IDENT and the FBI’s Integrated Automated Fingerprint
Identification System (IAFIS) fingerprint databases. DHS has published and is updating a
separate DHS-DOJ Interoperability PIA detailing IDENT-IAFIS Interoperability.
Interoperability enables sharing of biometric and related biographic, criminal history, and
immigration information to meet the respective agencies’ missions.
Federal, state, and local investigative agencies: The investigative agencies search and enroll data
in IDENT. This data is useful to the DHS mission in identifying national security threats, or
inadmissible aliens. US-VISIT's Biometric Support Center (BSC), staffed by highly-trained
fingerprint examiners, verifies biometrics to help identify John or Jane Does, and support terrorist
investigations.
Foreign partners: Foreign government law enforcement, intelligence, and criminal agencies, as
well as international entities (such as the International Criminal Police Organization
(INTERPOL)) search and enroll biometric data with DHS. Information collected by foreign
partners that is shared with U.S. law enforcement and immigration officials and protected by U.S.
laws, international agreements, and additional implementation agreements and established
protocols.

IDENT Data Elements
Data can be transmitted from IDENT to internal and external systems on a real-time basis, on a
regularized and manual basis, and can be transmitted on a single or periodic ad hoc basis.
IDENT records contain variations of data depending on the type of encounter. Depending on the
information sharing agreement, data users will receive different amounts of information back. A record
stored in IDENT may contain the following data elements:9

9

An IDENT user or data provider may receive all available data elements listed. This is also known as a full IDENT
response.

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Biometric data: digital facial photographs, fingerprints, iris scans, palm prints, latent
fingerprints10 (collected by federal, state, local, and foreign law enforcement agencies, and military
operations for an investigation or for intelligence purposes), and other biometric modalities to be added in
the future.
Biographic data: (1) full name (i.e., first, middle, last, nicknames, and aliases), date of birth
(DOB), gender, signature; personal identifiers including Alien Registration Number (A-number), Social
Security number (SSN) (when provided), state identification number, civil record number, Federal Bureau
of Investigation (FBI) Fingerprint Number (FNU), Fingerprint Identification Number (FIN), National
Unique Identification Number (NUIN); and personal physical details, such as height, weight, eye color,
and hair color; (2) identifiers for citizenship and nationality, including person-centric details, such as
country of birth, country of citizenship, and nationality; (3) derogatory information (DI),11 if applicable,
including wants and warrants, KSTs, sexual offender registration, and immigration violations; (4) IDENT
watchlist status information; (5) miscellaneous officer comment information; (6) document information
and identifiers (e.g., passport and visa data; document type; document number; and country of issuance);
and (7) current and historic whereabouts.
Encounter data: transaction identifier data, such as sending organization; timestamp;
workstation; reason fingerprinted, such as entry, visa application, credentialing application, or
apprehension; and any available encounter information, including an IDENT-generated encounter
identification number (EID).
Test and training data: biometric data that may be real or simulated, and biographic and
encounter-related data for use only by US-VISIT personnel for testing and training purposes.
IDENT Watchlist
The IDENT watchlist provides a repository of biometric information on persons of interest,
including wants and warrants from federal, state, local, tribal, and international law enforcement agencies
through the FBI; KSTs; deported felons and absconders, sexual offender registrants, gang-related records,
subjects who have violated U.S. immigration laws or who have been denied a biometric visa (BioVisa) by
DoS; and other persons of interest to DHS. US-VISIT data providers, as well as selected US-VISIT staff
(such as those assigned to the visa overstay program) provide the data and indicate whether the particular
individual should appear in the IDENT watchlist in accordance with standard operating procedures, which
include reviews of provided data and confirmation that the data meets established watchlist criteria.
IDENT users do not use the IDENT watchlist to make a final determination, but instead use the watchlist
to flag individuals who may be of interest to individual US-VISIT users. Further analysis is conducted by
the IDENT users upon a match in IDENT pursuant to their specific programmatic authorities.
IDENT Data Sharing
Through IDENT, US-VISIT provides the results of biometric checks to authorized users, to help
10

Fingerprints that are present but not retrieved directly from the individual/subject (e.g., prints pulled from a crime
scene) and lack identification.
11
A set of data related to negative or criminal information associated with an encounter.

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them accurately identify individuals they encounter pursuant to their missions and determine whether
those individuals pose possible threats to the United States. The users’ responses may include some or all
the information from an individual’s previous IDENT encounters.
In addition to sharing previous encounters, IDENT may allow data providers to receive
notifications of subsequent IDENT encounters for a specific individual. This notification function is
referred to as wrap-back.12 The data provider must enroll data on the specific individual in order to
receive wrap-back notifications on that individual. IDENT users that do not enroll data on an individual
may not subscribe to wrap-back data for that individual.
IDENT does not share all encounter data with every user. Although US-VISIT is the steward of
the data, each data provider is able to restrict the maintenance, retention, and sharing of its data with other
organizations. For example, organization-level data filtering is applied to asylum data so that only
approved organizations can access that data.
All authorized IDENT users can query IDENT to receive a simple yes/no response. In cases
where there is a positive response, the IDENT user will need to contact US-VISIT for additional
information about the hit. This also holds true in cases of a confirmed match of a latent print in IDENT;
the submitting agency can request additional information on the individual.
Privacy Risks and Mitigations
US-VISIT has identified several general privacy risks associated with the IDENT system and data
sharing activities. The first risk is that individuals may not know their data is enrolled into IDENT. This
risk is mitigated by the fact that in most instances, information is collected directly from the individual, so
the individual knows his or her fingerprints are being captured at the time of collection. US-VISIT also
mitigates this risk through publication of this PIA. In addition, IDENT data providers may provide notice
through publication of their own PIAs and other methods.
Secondly, there is a privacy risk that an individual’s biometrics may be matched with the wrong
biographics. US-VISIT mitigates this risk through three processes: manual fingerprint comparisons,
fingerprint quality checks by the data provider, and the transition from 2-print matching to 10-print
matching. The National Institute of Standards and Technology (NIST) advocates collecting more
fingerprints to improve the accuracy of identifying individuals.13 Additionally, US-VISIT provides a
redress process for individuals who believe the data held on them in IDENT is inaccurate. Section 2.4
discusses these processes at length.

12

Wrap-back functionality allows data providers to specify events or a condition for automatic notification when a
subject meets a pre-established system parameter, such as if a subject reaches a particular watchlist level. The data
provider must enroll their data as “search and enroll” to receive wrap-back.
13
See Testimony of Dr. Martin Herman, Chief, Information Access Division, Information Technology Laboratory,
National Institute of Standards and Technology before the U.S. House of Representatives Committee on Homeland
Security, Subcommittee on Economic Security, Infrastructure Protection, and Cybersecurity, Ensuring the Security
of America's Borders through the Use of Biometric Passports and other Identity Documents (June 22, 2005).
http://www.nist.gov/testimony/2005/mherman_house_hs_biometrics_6-22.html.

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A third privacy risk is the retention of data longer than needed. DHS is re-evaluating the existing
retention policy to determine whether a new retention period or combination of retention periods is
appropriate. DHS will publish a PIA update for any change in the retention period.
Another privacy risk inherent to IDENT as a system with many sharing partners is the risk that
data are shared with IDENT users or data providers who do not have appropriate authority or a need to
know the specific data. For example, IDENT data collected via CBP’s Trusted Traveler program may be
shared in limited circumstances, but will not be accessed by local law enforcement officials in the course
of a routine traffic stop. The risk of this data being inappropriately shared is mitigated by US-VISIT’s
Data Access Security Controls. US-VISIT restricts the maintenance and sharing of IDENT data with
users through Data Access Security Controls; these controls allow owning organizations to control what
data is shared and who is granted access to that data. The restrictions are formalized by written data
sharing agreements with sharing partners. US-VISIT is able to enforce these written agreements through
audits for appropriate use after the agreement is in place. In some cases, an additional access control
exists requiring the user conducting the query to contact US-VISIT before information will be released.
Related to the risk of sharing is the separate risk of sharing IDENT data with foreign partners,
where it is more difficult for DHS to externally impose the same controls that govern the data internally.
These risks are mitigated by those foreign partners’ audit and redress provisions, which are identified in
the process of negotiating a data sharing agreement. This PIA lends additional transparency to those
external partners’ provisions by outlining them in appendices to this PIA.
Finally, there is a risk of information about special, legally protected classes of individuals being
shared inappropriately. IDENT contains information related to aliens who receive special legal
protections generally prohibiting disclosure to anyone beyond DHS, DOJ, and DoS, unless the disclosure
fits within certain delineated exceptions (e.g., to a law enforcement official for a legitimate law
enforcement purpose). US-VISIT is currently developing the technological means to filter these classes of
individuals’ data from access by certain data users. In the meantime, US-VISIT is restricting certain
users’ access to the protected information.
This PIA explains access and handling by DHS IDENT users. The appendices to the PIA explain
access and handling by external users, users outside of DHS.

Section 1.0 Authorities and Other Requirements
1.1

What specific legal authorities and/or agreements permit and
define the collection of information by the project in question?

The data in IDENT is collected, processed, and stored consistent with the applicable authorities of
the agencies and programs that originally collected the data. These authorities are described in the PIAs,
System of Records Notice (SORN), or other materials for each of these programs. IDENT serves as a
biographic and biometric repository for the Department. As a data steward, US-VISIT provides a service
to its data providers and data users. US-VISIT identifies each collection by data provider and its authority
to use, retain, and share it. IDENT enables sharing with authorized users after the data provider has
approved the sharing.

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The statutory and other authorities pertaining to the establishment and mission of the US-VISIT
program, including the operation and maintenance of IDENT, include:













Section 2(a) of the Immigration and Naturalization Service Data Management Improvement
Act of 2000, Public Law 106–215, 114 Stat. 337 (June 15, 2000);
Section 110 of the Illegal Immigration Reform and Immigrant Responsibility Act of 1996,
Public Law No. 104-208, Div. C, 110 Stat. 3009-546 (Sept. 30, 1996);
Section 205 of the Visa Waiver Permanent Program Act of 2000, Public Law 106–396, 114
Stat. 1637, 1641 (October 30, 2000);
Sections 403(c) and 414(b) of the Uniting and Strengthening America by Providing
Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001 (USA
PATRIOT ACT) , Public Law 107–56, 115 Stat. 272, 344, 353 (October 26, 2001);
Section 302 of the Enhanced Border Security and Visa Entry Reform Act of 2002, Public
Law 107–173, 116 Stat. 543, 552 (May 14, 2002);
Section 7208 of the Intelligence Reform and Terrorism Prevention Act of 2004, Public Law
108-458, 118 Stat. 3638, 3817 (December 17, 2004);
Section 711 of the Implementing Recommendations of the 9/11 Commission Act of 2007,
Public Law 110-53, 121 Stat. 266, 338 (August 3, 2007);
8 CFR § 214.1, Department of Homeland Security, Immigration Regulations, Nonimmigrant
Classes, Requirements for Admission, extension and maintenance of status (January 1, 2012).
8 CFR § 235.1, Department of Homeland Security, Immigration Regulations, Inspection of
Persons Applying for Admission, Scope of Examination (January 1, 2012).
Homeland Security Presidential Directive/HSPD-11: Comprehensive Terrorist Related
Procedures (August 27, 2004); and
Homeland Security Presidential Directive/HSPD-24: Biometrics for Identification and
Screening to Enhance National Security (June 5, 2008).

Agencies may collect Social Security Numbers (SSN) either as a required data field or when an
applicant provides the information at a Port of Entry (POE) pursuant to the Data Provider’s specific
authority.

1.2

What Privacy Act System of Records Notice(s) (SORN(s)) apply
to the information?

The information in IDENT is covered by the DHS/NPPD/US-VISIT-0004 - IDENT SORN, 72
Fed. Reg. 31080 (Jun. 5, 2007). This SORN is currently being revised and will be re-published.

1.3

Has a system security plan been completed for the information
system(s) supporting the project?

IDENT received a 3-year authority to operate (ATO) on May 4, 2010.
US-VISIT has completed a System Security Plan (SSP) for the IDENT system. The IDENT SSP,
dated April 30, 2010, complies with the NIST Special Publication (SP) Recommended Security Controls

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for Federal Information Systems (NIST SP 800-53) and the DHS National Security Sensitive Systems
Handbook and Policy Directive 4300 A, version 5.5.

1.4

Does a records retention schedule approved by the National
Archives and Records Administration (NARA) exist?

The National Archives and Records Administration (NARA) approved the records retention
schedule for the IDENT system. The records schedule requires US-VISIT to maintain IDENT records in
its custody for 75 years or when no longer needed for legal or business purposes, whichever is later (N1563-08-34). DHS is re-evaluating the current retention policy to determine whether a new retention
period or combination of retention periods is appropriate. DHS will publish a PIA update for any change
in the retention period.

1.5

If the information is covered by the Paperwork Reduction Act
(PRA), provide the OMB Control number and the agency number
for the collection. If there are multiple forms, include a list in an
appendix.

DHS requires certain aliens who cross the borders of the United States to provide fingerprints,
photographs, and/or other biometric identifiers upon their arrival and departure at designated ports. These
requirements constitute an information collection under the Paperwork Reduction Act (PRA), 44 U.S.C. §
4501, et seq. The Office of Management and Budget (OMB), in accordance with the PRA, has previously
approved this information collection. The OMB Control Number for this collection is 1600-0006. The
US-VISIT PRA Notice covers US-VISIT collection activities covered by the regulatory notice of the
program. There are no forms associated with this collection because the information is collected
electronically. All other information stored in US-VISIT systems is collected by IDENT data providers
and stored under the data provider agency’s regulatory notices and authorities. The data that is stored in
IDENT supports the DHS mission.

Section 2.0 Characterization of the Information
The following questions are intended to define the scope of the information requested and/or collected, as
well as reasons for its collection.

2.1

Identify the information the project collects, uses, disseminates, or
maintains.

The types of data stored in IDENT include biometric, biographic, and encounter-related
information for the operational, production, testing, and training environments of US-VISIT to support
national security, law enforcement, criminal justice, immigration and border management, and
intelligence purposes; to conduct background investigations for national security positions and certain
positions of public trust; and to provide associated testing, training, management reporting, planning and
analysis, or other administrative uses. IDENT receives biometric and associated biographic data from
DHS and external users. DHS and external users then conduct biometric searches against IDENT. At the

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request of or with the permission of a user, IDENT may store biometric and associated biographic data to
support the DHS mission, such as:
Biometric data: digital facial photographs, fingerprints, iris scans, palm prints, latent fingerprints
(collected by federal, state, local, and foreign law enforcement agencies, or military operations for an
investigation or for intelligence purposes).
Biographic data: 1) full name (i.e., first, middle, last, nicknames, and aliases), date of birth,
gender, signature, personal identifiers, including but not limited to Alien Registration Number, Social
Security number (when provided), state identification number, civil record number, Federal Bureau of
Investigation Fingerprint Number, Fingerprint Identification Number, National Unique Identification
Number, and personal physical details, such as height, weight, eye color, and hair color; 2) identifiers for
citizenship and nationality, including person-centric details, such as country of birth, country of
citizenship, and nationality; 3) derogatory information,14 if applicable, including but not limited to wants
and warrants, KSTs, sexual offender registration, and immigration violations; 4) IDENT watchlist status
information; 5) miscellaneous officer comment information; 6) document information and identifiers
(e.g., passport and visa data, document type, document number, and country of issuance); and 7) current
and historic whereabouts.
Encounter data: transaction identifier data (sending organization; timestamp; workstation;
reason fingerprinted, such as entry, visa application, credentialing application, or apprehension; and any
available encounter information, including an IDENT-generated encounter identification number).
Test and training data: biometric data that may be real or simulated and biographic and
encounter-related data for use only by US-VISIT personnel for testing and training purposes.

2.2

What are the sources of the information and how is the
information collected for the project?

Information is collected by DHS components, DoS (information for visas and background
investigations), DOJ, DOD, other federal, state, local, tribal, and foreign governments, foreign law
enforcement agencies, and noncriminal justice origins.15
IDENT data providers collect the information differently depending on their authorities and
mission. These collection methods include:

14



Directly from the individual via an application for an immigration benefit, background
investigation, at a Port of Entry, or a credential;



Via direct encounters or forensic data gathering from military operations and intelligence
operations;

A set of data related to negative or criminal information associated with an encounter.
Non-criminal justice data providers are defined as those who use criminal history records for purposes authorized
by Federal or State law other than purposes relating to criminal justice activities, including employment suitability,
licensing determinations, immigration and naturalization matters, and national security clearances. 42 U.S.C. §
14616.
15

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

Indirectly, such as in the case of information through records shared by foreign governments
according to written agreement or cooperative arrangement; or



Directly or indirectly from the individual during a law enforcement action.

The data may be collected by IDENT data providers through an online application, a paper-based
application, a mobile biometric device, a fixed platform, or in-person interviews. Latent prints may be
manually collected at a crime scene and/or another site relevant to the work of an IDENT user such as the
site of a terrorist incident. The data is then securely transmitted to IDENT where it is used to support the
DHS mission.
All DHS sources and major external sources of IDENT data are explained below. A more
detailed accounting of external sources is provided in the appendices of this document.
DHS Sources
CBP: CBP officers are responsible for screening all international travelers16 to the United States.
As part of the screening process, CBP officers collect digital fingerprints and a digital photograph from
non-U.S. citizen travelers as required:




At primary inspection points entering the U.S. at air and sea POEs with limited
exceptions;
Upon referral to secondary inspection17 crossing U.S. land borders; and/or
In advance of border crossing through an application and approved enrollment in a
trusted traveler program.

CBP’s trusted traveler programs provide expedited transit for pre-approved, low-risk international
travelers through dedicated U.S. border POEs. CBP is therefore able to expedite the inspection and
security process for these lower risk travelers and allow more scrutiny for those travelers who present a
higher risk. U.S. or certain non-U.S. citizen travelers can apply for membership in a trusted traveler
program, including NEXUS, Secure Electronic Network for Travelers Rapid Inspection (SENTRI), Free
and Secure Trade (FAST), and Global Entry (GE) through CBP’s Global Online Enrollment System
(GOES).18 The data is stored in the Global Enrollment System (GES) and transmitted to IDENT. IDENT
maintains the fingerprints—prints from each of the traveler’s border crossings as well as 10 prints from
the initial vetting process—and limited identity (such as name and date of birth) and border-crossing
information. When a traveler crosses the U.S. border at a POE, he or she provides four prints, typically
using an unstaffed, automated kiosk. The four prints are sent to IDENT to verify that they belong to the
same individual who was initially approved as a trusted traveler and enrolled in the GES program, and to
determine that the individual continues to have no derogatory information that would make them
ineligible to continue participating in the trusted traveler program.
16

A full list of exceptions is listed on the DHS website at http://www.dhs.gov/files/programs/editorial_0527.shtm.
Secondary inspection is the interview area at a Port of Entry where CBP inspectors conduct additional research
on an individual traveler in order to verify information without causing delays for other arriving passengers.
18
See Global Online Enrollment System PIA at
http://www.dhs.gov/xlibrary/assets/privacy/privacy_pia_cbp_goes.pdf.
17

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Finally, US-VISIT and CBP have conducted three limited Biometric Exit pilots using self-service
kiosks and mobile capture solutions to obtain fingerprints from individuals immediately prior to their
departure from the United States. While the pilots have been completed the data collected are retained in
IDENT. In addition, in July 2012, CBP began a six-week pilot program to collect iris scans of individuals
apprehended by CBP Border Patrol at the McAllen, Texas, Border Patrol Station. 19
ICE: ICE collects information from individuals encountered/arrested for criminal and/or
immigration violations and provides this information to IDENT through the course of an investigation,
arrest, booking, detention, and/or removal from the United States. ICE also collects information from
foreign countries on individuals of interest. As part of its overstay process, US-VISIT incorporates the
FIN in IDENT with information in the Arrival and Departure Information System (ADIS)20 to identify
individuals who may have overstayed the authorized terms of their admission. US-VISIT provides this
information to ICE for appropriate enforcement action.
USCG: The USCG interdicts and refers for prosecution illegal immigrants and migrant
smugglers off the coast of the U.S. The USCG cutter personnel use mobile biometric collection devices
to fingerprint individuals. The information is sent via email over a satellite link to IDENT. The USCG
Central Command Center submits queries directly to the IDENT database and receives the responses.
Following successful receipt of each biometric record, US-VISIT compares the biometric information
against IDENT and DHS accessed databases and communicates a "Hit" or "No Match" response to the
Coast Guard. Relevant criminal history information is available to Coast Guard and DHS decision
makers to consider with respect to disposition of interdicted persons (e.g., repatriation, referral for
prosecution, etc.).
In addition, USCG conducts boarding operations to confirm identities of crew aboard High
Interest Vessels.
USCIS: USCIS uses IDENT to establish and verify the identities of individuals applying, and
being adjudicated for immigration benefits, including asylum or refugee status. USCIS collects
information from individuals applying for immigration benefits and petitions, including asylum, refugee,
and naturalization, and inter-country adoption.
External U.S. Government Sources (Non-DHS U.S. Government Sources)
Federal, State, Local, Tribal and International agencies: Latent fingerprints are collected by
federal, state, local, tribal and international agencies for investigative and national security purposes. The
use of latent prints whether submitted by DOJ, DOD, or state, tribal or local law enforcement helps USVISIT and its general border security mission by improving IDENT’s ability to identify individuals.
These agencies collect latent prints and send them to US-VISIT for a search of IDENT. Latent
fingerprints are stored in IDENT’s Unsolved Latent File (ULF). A latent print can be searched against and
enrolled in IDENT’s ULF. Once enrolled in the IDENT ULF, a latent print is available for subsequent
searches with known prints as new biometric encounters are enrolled in IDENT. Latent print collection is
useful for supporting the DHS mission of keeping our nation secure.
19
20

See CBP Portal (E3) to Enforce/IDENT at http://www.dhs.gov/xlibrary/assets/privacy/privacy-pia-cbp-e3.pdf.
See ADIS PIA at: http://www.dhs.gov/xlibrary/assets/privacy/privacy_pia_usvisit_adis_2007.pdf.

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For example, a state law enforcement officer is investigating a crime scene involving a deceased
victim and collects a latent print from the scene. The latent print is believed to belong to the perpetrator
of the crime, but the identity of the perpetrator is unknown. The latent print is checked against IDENT
without results; the print is then enrolled in IDENT. The owner of the prints fled the country after
committing the crime. The perpetrator, after a period of time, attempts to re-enter the United States and is
apprehended by the Border Patrol. The Border Patrol Agent submits the subject’s prints to IDENT and
receives the latent match. The Border Patrol Agent processes the subject for removal proceedings, thus
supporting the DHS mission, and contacts the state law enforcement agency submitting the latent print
and turns the subject over to face the appropriate charges.
DoS: DoS uses IDENT to establish and verify the identities of visa applicants at embassies and
consulates around the world through its BioVisa program. Consular officers use this information in
determining visa eligibility. DoS also collects information from in-scope visa applicants and information
on behalf of USCIS for expatriate U.S. citizens adopting foreign-born children abroad. Finally, DoS
collects information from individuals seeking access to DoS facilities (i.e., for employment).
DOD and the Intelligence Community: US-VISIT is working across the federal government to
promote intelligence efforts in identifying high-risk individuals. DOD collects information to support its
military mission, detainee affairs, and force protection efforts as well as its antiterrorism, special
operations, stability operations, homeland defense, counterintelligence, and intelligence efforts around the
world. Additionally, DOD enrolls information collected from non-U.S. citizens denied access to military
posts. This information may be shared with US-VISIT biometric services to facilitate identification of
terrorists. Finally, DOD uses IDENT to help identify KSTs by matching against known and latent
fingerprints collected from terrorist safe houses and ongoing criminal investigations.
DOJ and Local Law Enforcement: Criminal justice agencies use IDENT to ensure that they
have accurate identity information about individuals they arrest or have under investigation for a crime.
DHS and the FBI have established interoperability between IDENT and the FBI's IAFIS fingerprint
database. DHS has published a separate DHS-DOJ Interoperability PIA detailing IDENT-IAFIS
Interoperability.21 Information is collected through DHS-DOJ interoperability users for national security,
law enforcement, immigration and border management, and intelligence purposes, and to conduct
background investigations for national security positions and certain positions of public trust.
External Foreign Sources:
Information collected by foreign partners that is shared with the U.S. government is collected by
law enforcement and immigration officials and protected by international agreements, U.S. laws, and
additional implementation agreements and established protocols. The details of sharing with each external
foreign source are outlined in the appendices to this PIA.

21

For a full discussion of DHS-DOJ interoperability, see DHS/NPPD/USVISIT/PIA-007 Biometric Interoperability
Between the U.S. Department of Homeland Security and the U.S. Department of Justice PIA at
www.dhs.gov/privacy.

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INTERPOL: Information from INTERPOL in IDENT includes INTERPOL fingerprint files for
valid INTERPOL notices issued since January 2002. These include fingerprints for wanted, missing, and
deceased persons, persons with criminal histories, and persons of interest to law enforcement authorities.
The INTERPOL – U.S. National Central Bureau (USNCB) provides this data to US-VISIT to assist in
identifying fugitives and wanted persons attempting to enter the United States, and to otherwise assist
U.S. law enforcement officials in performing their official duties. The details of sharing with INTERPOL
are outlined in the DHS-DOJ Interoperability PIA.
Five Country Conference: The Five Country Conference (FCC) is a forum for cooperation on
migration and border security between the countries of Australia, Canada, New Zealand, the United
Kingdom, and the United States (collectively called the FCC partners). FCC partners, including the
United States, exchange biometric information in specific immigration cases where:
•
•
•

the identity of the individual is unknown or uncertain;
the individual’s whereabouts are unknown; or
there is reason to suspect that the person has been encountered by a FCC partner country.

The biometrics are exchanged to search against the existing biometric holdings of each FCC
partner for determining the existence of information that may be pertinent to immigration and border
management decision makers.
Preventing and Combating Serious Crime: In 2008, the U.S. began signing Preventing and
Combating Serious Crime (PCSC) agreements primarily with countries that participate or seek to
participate in the Visa Waiver Program (VWP). The agreements formalize the sharing of biometric and
biographic data for the purposes of preventing and combating serious crime. The details of sharing are
outlined in PCSC related appendices attached to this PIA.

2.3

Does the project use information from commercial sources or
publicly available data? If so, explain why and how this
information is used.

IDENT does not use information from commercial sources or publicly available data.

2.4

Discuss how accuracy of the data is ensured.

Information is collected directly from an individual during an immigration and border
management, credentialing, law enforcement, or military operations encounter to ensure accuracy at
collection. In some instances, an additional check for accuracy is part of the collection process (such as in
the immigration benefits biometric collection process.)
A 10-fingerprint collection standard, which superseded a 2-fingerprint standard for user
applications and for storage within IDENT, was initially developed to improve the accuracy of biometric
identification and fingerprint-matching capabilities. This standard includes capturing all 10 fingerprints
from travelers at the earliest possible interaction for identification purposes, and fewer than all 10
fingerprints for subsequent verifications. Collecting more fingerprints increases the system’s fingerprintmatching accuracy, reducing the possibility that the system will misidentify an individual.

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Identification with all 10 fingerprints enables more accurate and comprehensive searches against
IDENT. This also improves the quality of data associated with an individual, and it decreases the chance
of false negative and false positive matches. The identification capability facilitates rapid searching across
the complete fingerprint repository to determine whether the subject was previously enrolled in the
IDENT system.
The verification capability allows IDENT to perform a 1:1 verification of biometric data to
establish whether the subject is the same individual whose fingerprints were formerly submitted and are
stored in IDENT. Identifications and verifications are fingerprint-based and do not use biographic
information, such as name and date of birth, which may be fraudulent.
Additional accuracy processes are built in to the process for matching IDENT records against
latent fingerprints, which are prints collected at serious crime scenes and/or terrorist incidents, for
example, and run against IDENT to identify individuals of law enforcement or national security interest.
Because these prints may be partial, incomplete, or oriented differently than in controlled collection (in
addition to many other possibly anomalies), accurate identification is more difficult. To ensure accurate
matches for latent prints, IDENT returns a number of possible matches to trained and experienced
fingerprint examiners in its Biometrics Support Center (BSC). BSC latent-print examiners make a final
determination on whether the submitted print matches any of the fingerprints currently retained in
IDENT. If BSC examiners confirm that there is a match in IDENT, the submitting agency can request
additional information on the individual.
Individuals who believe that the data held on them in IDENT is inaccurate can submit a redress
request for a review and correction of that inaccurate data. For more information refer to section 7.0 on
redress.

2.5

Privacy Impact Analysis: Related to Characterization of the
Information

Privacy Risk: There is a risk that the quality and integrity of information that will be collected
and maintained in IDENT may not meet the standards required to serve its purpose of biometric and
biographic verification and matching, thus potentially causing misidentification. Because US-VISIT does
not collect the information provided, the processing and storage of data in IDENT is dependent on the
appropriate and accurate data fields of incoming records, which have been identified to correspond with
IDENT data fields as described.
Mitigation: IDENT performs certain quality checks (e.g., determining the quality of a captured
fingerprint and its suitability for matching in the future) and seeks to ensure that the data meets a
minimum level of quality and completeness. However, it is ultimately the responsibility of the original
data owner, whether an organization external or internal to DHS, to ensure the accuracy, completeness,
and quality of the data.
Privacy Risk: Data collected by mobile devices is susceptible to unauthorized monitoring,
interception, and tampering during the transmittal process.

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Mitigation: To minimize these risks, data is encrypted on the mobile devices used and in the
transmittal process, using standards, policies, and procedures established by NIST and DHS.
Privacy Risk: There is a risk of collecting more information than is required for the purposes of
the system, because IDENT collects biographic data that details the subject’s encounters, which is not
strictly necessary for identification.
Mitigation: Depending upon the data user, IDENT shares different levels of responses. For
certain data providers, the full encounter history of an individual’s biometric interactions with the
Department is required to meet the mission of the agency. For example, as a data provider, CBP requires
the retention of travel data to identify and record international travelers’ entry into the U.S. at ports of
entry as part of its inspection process. As owner of this data, CBP determines whether its non-derogatory
information should be shared with IDENT users. When CBP determines that the user does not need
and/or is not authorized to receive this travel data, it is withheld from the response IDENT provides to the
IDENT user. The IDENT response is appropriately scoped to the purpose of each authorized user.
Privacy Risk: In a limited number of instances, the automated biometric match process will
result in biometric information that does not correctly map to one individual. This can occur, for
example, when an individual has low quality fingerprints, which increases the likelihood of a matching
error and causes the system to establish two identities for one person.
Mitigation: This risk is mitigated in two ways. Internally, a process called “merge on the fly”
can automatically merge records where the same person has two different identities in IDENT, usually
because of poor fingerprint quality. The process works when a new encounter matches to two identities
in the system, indicating that the two identities are in fact one person. When the new encounter is tied to
two separate identities, the system automatically merges them into one identity as part of the matching
process. In other instances, the individual knows that the wrong biographic information has been
assigned to them, either because of an error in automation or because of a human error such as an
inspector transposing the traveler’s biometrics with their travel companion’s biographics. When the
traveler is able to identify the problem and request a redress of the error, he or she can apply to the USVISIT Privacy Office to have that information corrected once the error is verified. Alternatively, to
correct inaccurate or erroneous information believed to reside in IDENT, individuals, regardless of
citizenship, should submit redress requests online through the DHS Traveler Redress Inquiry Program
(TRIP). DHS TRIP is a single point of contact for individuals who have inquiries or seek resolution
regarding difficulties they experienced during their travel screening at transportation hubs—like airports
and train stations—or crossing U.S. borders.
Privacy Risk: There is a risk that latent fingerprints collected at crime scenes from individuals
who are not perpetrators may be retained inappropriately and indefinitely in IDENT.
Mitigation: Latent prints from individuals who were deemed victims, bystanders, witnesses,
and/or those handling the evidence at criminal or terrorist incidents are not to be retained in IDENT once
they are identified to US-VISIT by the providing agency. Also, any latent prints that are identified are
removed from the ULF.

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Section 3.0 Uses of the Information
The following questions require a clear description of the project’s use of information.

3.1

Describe how and why the project uses the information.

IDENT is the central DHS-wide system for the storage and processing of biometric and
associated biographic information for the purposes of national security, law enforcement, immigration
and border management, intelligence, and credentialing (e.g., background investigations for national
security positions and certain positions of public trust), as well as for providing associated testing,
training, management reporting, planning and analysis, or other administrative uses. IDENT receives
biometric and biographic data from DHS and external users to conduct biometric searches against
IDENT. Most IDENT users opt to have IDENT search for biometric matches of their data and also enroll
that data as new encounters into IDENT. Alternatively, they may choose to search only but not enroll or
search and enroll only if the identity already exists in IDENT. DHS only enrolls data in IDENT that may
be used to support the DHS mission. IDENT serves as a biographic and biometric repository for the
Department. As a data steward, US-VISIT provides a service to its data providers and data users. USVISIT identifies each collection by data provider and its authority to use, retain, and share it. IDENT
enables sharing with authorized users after the data provider has approved the sharing.
US-VISIT
IDENT Biometric Watchlist Adjudication
US-VISIT’s Identity Services Branch (ISB) uses IDENT, in conjunction with other government
systems, to determine whether an individual should be promoted to, or demoted from the IDENT
watchlist. The IDENT watchlist provides a repository of persons of interest, including but not limited to:
wants and warrants from federal, state, and international law enforcement agencies through the FBI;
foreign-born criminal fugitives; KSTs; deported felons, sexual offender registrants, gang-related records,
subjects who have violated U.S. immigration laws, or who have been denied a BioVisa by DoS; and other
persons of interest to DHS. IDENT data providers, as well as selected US-VISIT staff (such as those
assigned to the visa overstay program) provide the data and indicate whether the particular individual
should be included in the IDENT watchlist in accordance with standard operating procedures that include
reviews of data provided and confirmation that it meets established watchlist criteria. IDENT users do
not use the IDENT watchlist to make a final determination; the watchlist is only used to flag individuals
who may be of interest to individual US-VISIT users. Further analysis is conducted by those users upon a
match in IDENT pursuant to their specific programmatic authorities.
ISB analysts search a number of DHS systems, including ADIS,22 and external systems, to
determine whether a subject is eligible to be removed from the watchlist. IDENT is used as a source by
analysts; it provides them with the necessary information regarding why an individual is on the IDENT
watchlist. If the analyst determines that the individual should no longer be on the IDENT watchlist, the
22

For a full discussion of ADIS, see the ADIS PIA located at:
http://www.dhs.gov/files/publications/gc_1281125467696.shtm#44.

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analyst will demote the individual to reflect that the individual was removed from the IDENT watchlist.
Overstays
A primary function of US-VISIT is to identify lawfully-admitted non-immigrants who remain in
the United States beyond their authorized periods of stay. If individuals remain in the United States for
longer than their allotted time, this can have a bearing on their right to remain in the country or receive
benefits. ISB analysts use IDENT, in conjunction with various government systems, to help determine if
an individual is either an in-country overstay (an individual who remained in the United States and has
exceeded his or her period of admission) or an out-of-country overstay (an individual who has left the
country, but who exceeded his or her period of admission while in the United States.) ISB analysts use
IDENT to gather information on the individual. ISB analysts use the information in IDENT against other
systems to gather all the necessary information about the individual to determine whether the subject is an
overstay. IDENT, through the interface Secondary Inspection Tool, (SIT), specifically provides the
analyst with the FIN, IDENT watchlist information, complete name, DOB, citizenship, gender, and travel
document information. IDENT can also provide details about benefits for which the individual has
applied. This assists the analyst in determining the status of the individual and what additional systems
should be reviewed for more information on the individual.
Latent Identification
The US-VISIT BSC receives requests from federal, state, local, tribal, and international law
enforcement agencies for the identification of latent fingerprints. Agencies can submit latent fingerprints
extracted from serious crime scenes and/or terrorist events and ask the BSC to search against the
fingerprints retained in IDENT.23 All incoming new 10 prints are run against the ULF. This coordination
directly supports the DHS mission, as it enables DHS to identify individuals who may pose a threat to the
United States and should be inadmissible or denied a benefit. BSC latent print examiners make a final
determination on whether the submitted print matches any of the fingerprints currently retained in
IDENT. If BSC examiners confirm that there is a match in IDENT, the submitting agency can request
additional information on the individual. The majority of latent prints in the ULF come from DoD and
FBI, while the remaining come from DHS, state, and local law enforcement. US-VISIT requires that state
and local law enforcement submit latents only for serious crimes, preferably after running them through
IAFIS. US-VISIT retains latent prints that are not initially identified for future searches against known
prints to support the DHS mission, unless the latent print contributor requests that the prints not be
retained. Depending on the requesting user’s needs and written agreements, the latent prints may be
enrolled or used as search-only data. Latent prints from individuals who were deemed victims,
bystanders and/or those handling the evidence at criminal or terrorist incidents are not to be retained in
IDENT once they are identified to US-VISIT by the providing agency. State and Local Law enforcement
agencies inform DHS once they identify individuals, or determine that they are bystanders/witnesses.

23

Through latent-print interoperability, agencies submitting fingerprints will be able to simultaneously search
IDENT and the FBI’s IAFIS for the identification and verification of latent fingerprints. DHS-DOJ interoperability
PIA is currently being updated to include a discussion on latent print interoperability.

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Redress
In coordination with ISB, the US-VISIT Privacy Office uses IDENT to respond to redress
requests. The US-VISIT Privacy Office and ISB use IDENT, concurrently with ADIS, to research USVISIT records on individuals who have submitted redress requests and to correct any information that
may be inaccurate. For example, if an individual has a fingerprint record or FIN incorrectly linked to
another person’s record, the next time he or she enters the United States the individual may be sent to
secondary inspection, which can cause inconvenience and hardships. If the individual submits a redress
request, the US-VISIT Privacy Office and ISB can work together to correct the issue. This will help ease
the travel process for the individual the next time he or she enters the country and ensures that US-VISIT
records are as accurate, complete, and up-to-date as possible.
CBP
US-VISIT helps establish and verify the identities of international visitors arriving at air, sea, and
land border POEs. The CBP Office of Field Operations (OFO) uses IDENT at primary and secondary
inspection points within air, sea, and land POEs. At primary inspection, CBP OFO reads a travel
document number electronically and IDENT conducts a “look-up” to determine how many prints should
be collected. Based on the travel document scanned, if a person has already submitted prints in the past
and the identity is known to IDENT, then only four prints are collected. This saves CBP processing time.
Ten prints are collected for identities that are new to IDENT or for those who have not submitted prints in
the past. IDENT verifies an individual’s identity and returns a response indicating whether or not
derogatory information exists for that individual. If an individual is referred to secondary inspection, the
agent will review the full IDENT response through SIT, or through a system to system interface, along
with responses from other database searches, and make an admissibility determination. This allows the
officer to gather pertinent IDENT watchlist and previous-encounter information for the purposes of
determining admissibility.
Through CBP’s Global Enrollment System (GES), an applicant can apply for one of the trustedtraveler programs, such as NEXUS, SENTRI, FAST, and GE. These programs assess an individual’s risk
level as a traveler and provide benefits if that risk is deemed to be low. Individuals can submit an online
application or can apply by mail. The data is stored in GES and transmitted to IDENT. IDENT maintains
the fingerprints— prints from each border crossing as well as 10 prints from the initial vetting process—
—and limited identity (name and date of birth) and border-crossing information. When a traveler crosses
a border, at the Port of Entry he or she provides four prints, typically using an unstaffed, automated kiosk.
The four prints are sent to IDENT to verify that they belong to the same individual who was initially
approved as a trusted traveler and enrolled in the program.
CBP’s Office of Border Patrol (OBP) uses IDENT to identify individuals attempting to enter the
United States between land ports of entry. Individuals are stopped by CBP OBP and taken to Border
Patrol stations or other processing areas where 10 prints are taken. IDENT returns an identification
response that includes the full IDENT response.
CBP and other DHS entities may use IDENT for the purpose of preventing and combating serious
crime where they may send a request to US-VISIT to extract biometrics from IDENT on a subject of

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interest to send forward to the foreign partner (who has signed a PCSC agreement) to query that country’s
systems.
In an effort to develop the technology and processes necessary to support additional biometric
modalities, CBP and US-VISIT are currently developing the Multimodal Limited Production Pilot (LPP)
for which CBP will collect biometrics (iris scans) and biographics via mobile devices at the border patrol
station in McAllen, TX. The results of the LPP will set the stage to define the multimodal Initial
Operating Capability and the Full Operating Capability.
USCG
USCG interdicts and refers for prosecutions illegal immigrants and migrant smugglers off the
coast of the United States and uses IDENT data to identify individuals and confirm immigration status if
the individual has documentation. USCG cutter personnel use mobile biometric collection devices to
fingerprint individuals. They also place a numbered wrist strap on the individual to identify them. The
information is sent via e-mail over a satellite link. The USCG Central Command Center submits queries
directly to the IDENT database and receives responses.
In addition, USCG conducts boarding operations to confirm the identities of crew members
aboard high-interest vessels.
USCIS
USCIS collects information from immigrant benefit applicants. When an applicant reports to an
Application Support Center (ASC), which is a USCIS facility where applicants apply for benefit
applications, he or she is fingerprinted and biographics are collected through the benefit application
process. The fingerprints are sent to IDENT and searches are returned. At follow-up visits, the USCIS
adjudicator performs a 1:1 verification using SIT, which allows for the capture and submission of
fingerprints for verification.
For refugee applicants, the information may be collected at refugee camps and transmitted to an
ASC for processing and submission to IDENT.
ICE
ICE has the authority to enforce a variety of customs and immigration laws, and makes arrests for
criminal and administrative violations of those laws. ICE uses a system known as the Enforcement
Integrated Database (EID) to create a booking record for those arrested by ICE. 24 ICE enrolls the
arrestee’s biometric and biographic information in IDENT via an interface between EID and IDENT. At
the same time, ICE also searches IDENT and the FBI’s IAFIS via DHS-DOJ interoperability, to identify
or verify the identity of the arrestee and to determine if additional derogatory information exists or if there
are outstanding wants or warrants. IDENT uses the information to create a new encounter, which is
identified under an ICE organizational code in IDENT.

24

See the DHS/ICE/PIA -015(d) Enforcement Integrated Database (EID) ENFORCE Alien Removal Module
Update, April 6, 2012.

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In agreements with foreign partners, ICE also enrolls in IDENT the biometric and biographic
information of persons of interest obtained by foreign immigration and law enforcement agencies during
immigration and law enforcement encounters and operations. The information pertains to aliens who are
criminals or known or suspected gang members, and aliens from countries known to support terrorism or
violent extremism. ICE and other agencies also use the information during screening to identify persons
who may require further review during a visa application or border inspection process. ICE uses the
information to run queries against IDENT to find relevant matches to initiate investigations into
international fugitives and Extra-Territorial Criminal Travel (ECT) networks. Additionally, US-VISIT
forwards overstay analysis to ICE for further review. ICE’s Counterterrorism and Criminal Exploitation
Unit is also capable of initiating its own overstay analysis and enforcement.
ICE may send a request to US-VISIT to extract biometrics from IDENT on a subject of interest to
send to a foreign partner who has signed the PCSC agreement to query their systems. For instance, if ICE
has an open investigation on a subject that has a nexus to a country that has signed the PCSC agreement,
ICE can use IDENT to send the biometrics of the subject of the open investigation.
During casework investigations, ICE may also use IDENT to search latent prints.

3.2

Does the project use technology to conduct electronic searches,
queries, or analyses in an electronic database to discover or locate
a predictive pattern or an anomaly? If so, state how DHS plans to
use such results.

IDENT does not conduct searching, querying, or analysis to discover or locate a predictive
pattern or anomaly in the data.

3.3

Are there other components with assigned roles and
responsibilities within the system?

As described in the IDENT data users section within DHS, CBP, USCG, ICE, USCIS, and USVISIT have access to IDENT. Data from IDENT may be disclosed to IDENT users through the following
means:
1.

Data from IDENT may be transmitted between IDENT and other DHS systems through
direct system-to-system interfaces.

2.

Internal DHS IDENT users may use an IDENT interface known as SIT. SIT shows
biographic encounter data in a matched IDENT record, based on retrieval with an
identifying number. Certain IDENT users with permission may also see the biometrics.
SIT also provides the capability to capture biographic and biometric data and provide it to
IDENT for a comparison to the biometrics associated with previous encounter data enrolled
in IDENT. This process is called 1:1 verification. The search parameters of SIT only allow
for one record at a time to be searched and displayed for any particular user.

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3.

US-VISIT also receives ad hoc identification requests from domestic and international law
enforcement agencies and foreign governments to assist in immigration processes, active
law enforcement investigations, national security incidents, and intelligence activities, or for
preventing or combating serious crime. The requests may be received via e-mail, fax,
telephone, mail, or some other means in a secure manner. For ad hoc requests, the user
receives results via encrypted e-mail or by other secure means. Other types of transmission
or disclosure may be required in some circumstances to meet the mission needs of the
stakeholder.

3.4

Privacy Impact Analysis: Related to the Uses of Information

Privacy Risk: There is a risk that DHS IDENT users may use information for purposes
inconsistent with the purpose of the original collection.
Mitigation: US-VISIT established the Identity Capabilities Working Group (ICWG), which is
chaired by US-VISIT and includes representatives from each data-sharing partner. Change requests to
IDENT must be reviewed and approved by the ICWG. This allows the ICWG members to identify risks
to their subsequent programs and processes and to provide input for mitigation before the deployment of
new capabilities and uses.

Section 4.0 Notice
The following questions seek information about the project’s notice to the individual about the information
collected, the right to consent to uses of said information, and the right to decline to provide information.

4.1

How does the project provide individuals notice prior to the
collection of information? If notice is not provided, explain why
not.

Federal, foreign, state and local government entities that contribute data to IDENT are referred to
as IDENT data providers.
IDENT providers may contribute data to IDENT in one of two ways:


Search and Enroll: The data provider provides data it collects to conduct an IDENT
search and enrolls that data as a new IDENT encounter.



Search and Assign: The data provider provides data it collects to conduct an IDENT
search, and enrolls as a new IDENT encounter only if another encounter already exists.
These data providers cannot create a new identity in IDENT; they can only add
encounters to an already existing identity.

IDENT data providers provide direct notice to individuals prior to collection, when possible. All
DHS components provide general notice through the publication of PIAs and SORNs. CBP provides
notice via forms collected at primary inspection and through trusted-traveler applications. USCG
personnel distribute to all persons interdicted at sea copies of a standard notification of biometrics

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collection, including a description of the uses of biometric information and contact information for
redress. USCIS provides notice in the application instructions for immigration benefits. Notice prior to
the collection of information by ICE or CBP may be limited or nonexistent because of the law
enforcement and customs and immigration purposes for which the information is collected. Individuals
may be notified by other law enforcement agencies at the point of collection of the original data that their
information may be shared for law enforcement purposes. In the case of latent fingerprints, individuals
will not be notified of the collection.
Background check applications and applications for credentials contain notices that discuss the
purpose and use of a particular collection. In addition, notice is provided to individuals through the
publication of this IDENT PIA and SORN in the Federal Register. Notice is also provided through the
publication of PIAs and SORNs of the underlying systems of original collection. Certain national
security and law enforcement collections may not provide notice because to do so would jeopardize the
ability to conduct an investigation.

4.2

What opportunities are available for individuals to consent to
uses, decline to provide information, or opt out of the project?

Individuals have the right to decline to provide data to DHS components, DoS, DOJ, and DOD,
unless they are part of a law enforcement action. However, in doing so, they may become ineligible for
any benefits for which they are applying. Once they have provided the information, individuals have no
opportunity to consent to or refuse the use of this data for national security, law enforcement,
immigration, intelligence, and other homeland security mission-related purposes.
Additionally, once the collected data, regardless of source, are stored in IDENT it will be used for
national security, law enforcement, immigration, intelligence, and other homeland security missionrelated purposes, as defined by DHS, and as described in the IDENT SORN. The data maintained in
IDENT and shared with authorized IDENT users has previously been collected from DHS components,
DoS, DOJ, DOD, state, local, and foreign government agencies. Individuals seeking federal or other
employment requiring a background security investigation provide specific consent for the search of all
necessary records at the time of application.

4.3

Privacy Impact Analysis: Related to Notice

Privacy Risk: There is a risk that an individual may not be aware that information collected
directly from them (e.g., provided during an application for a benefit or credential) is shared with and
stored in the IDENT data providers’ databases.
Mitigation: By publishing this PIA, the DHS-DOJ Interoperability PIA, and the corresponding
appendices, US-VISIT provides notice of the uses of information. This risk is additionally mitigated by
the fact that in many cases, the person submitting information is providing it directly to DHS. The
collecting agency provides notice at the point of collection that the information may be shared with other
federal, state, local, and foreign government agencies and authorized organizations following approved
routine uses described in the associated published SORNs. Additionally, DHS components provide

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notice that information will be shared with IDENT in their PIAs. External agencies may also provide
notice through PIAs. For information collected by foreign government agencies and shared by IDENT
data providers with IDENT, this risk is mitigated to differing degrees depending on what notification
mechanisms may be used by those original collectors.
Privacy Risk: There is a risk that individuals are not aware that their information is indirectly
collected (e.g., latent fingerprints). Due to the nature of latent fingerprints, individuals whose fingerprints
are collected at crime scenes and/or terrorist incidents will not be given notice.
Mitigation: This PIA, the corresponding appendices, and related PIAs provide notice of the uses
of information. As addressed in Section 5.2, although individuals may not be aware that their fingerprints
were extracted from crime scenes and/or terrorist incidents, latent prints from individuals who were
deemed victims, bystanders, and/or those handling the evidence at crime or terrorist incidents are not to
be retained in IDENT once they are identified. Moreover, state and local law enforcement agencies
inform DHS once they determine that certain prints belong to victims or bystanders. DHS then removes
those prints from IDENT.

Section 5.0 Data Retention by the project
The following questions are intended to outline how long the project retains the information after the initial
collection.

5.1

Explain how long and for what reason the information is retained.

IDENT records are retained for 75 years. The 75-year retention period is necessary to support the
holding of biometrics of subjects of interest in immigration and border management or law enforcement
activities. Records shared with foreign governments may be kept by those countries for longer or shorter
periods, according to the laws of those countries. DHS is re-evaluating the current retention policy to
determine whether a new retention period or combination of retention periods is appropriate. DHS will
publish a PIA update for any change in the retention period.

5.2

Privacy Impact Analysis: Related to Retention

Privacy Risk: As an INS legacy system, the retention period for IDENT was established when
the system was used primarily for holding the biometrics of subjects of interest in immigration and border
management or law enforcement activities. However, as a DHS-wide repository of biometrics for any of
its missions, IDENT now holds data that may not need to be held for 75 years.
Mitigation: DHS is currently undertaking a re-evaluation of the retention policy and may
determine a new retention period or a combination of retention periods depending on the data collected.
A PIA update will be published to cover any change in the retention period.
Privacy Risk: There is a risk that latent fingerprints collected at crime scenes from individuals
who are not perpetrators may be retained inappropriately in IDENT.
Mitigation: Latent prints from individuals who were deemed victims, bystanders, and/or those

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handling the evidence at criminal or terrorist incidents are not to be retained in IDENT once they are
identified to US-VISIT by the providing agency.

Section 6.0 Information Sharing
The following questions are intended to describe the scope of the project information sharing external to
the Department. External sharing encompasses sharing with other federal, state and local government, and private
sector entities.

6.1

Is information shared outside of DHS as part of the normal
agency operations? If so, identify the organization(s) and how the
information is accessed and how it is to be used.

US-VISIT shares information with federal, state, local, tribal, foreign, and international agencies
for national security, law enforcement, criminal justice, immigration and border management, and
intelligence purposes, as well as to conduct background investigations for national security positions and
certain positions of public trust. System-to-system external IDENT users are discussed in full in the
attached appendices. IDENT connectivity through interoperability is discussed in the DHS-DOJ
Interoperability and the forthcoming DHS-DOD Interoperability PIAs.
Depending on the agreements in place, IDENT users may receive a full IDENT response in
answer to a biometric search request or a limited response. DHS and the data owners make the final
determination on the type of response and the amount of data an IDENT user should receive. The content
of IDENT response messages is derived from individual encounters submitted by a variety of IDENT data
owners, based on agreements to share by those IDENT data owners and the interest of the data recipient.

6.2

Describe how the external sharing noted in 6.1 is compatible with
the SORN noted in 1.2.

The IDENT SORN Routine Use “H” covers the sharing of information with federal, state, local,
tribal, foreign, and international agencies for national security, law enforcement, immigration and border
management, and intelligence purposes. This is compatible with the original collection as determined by
the data owner. The data owner dictates how NPPD/US-VISIT shares the information externally to
ensure that the external sharing is compatible with the purpose of the original collection
The IDENT SORN Routine Use “I” covers the sharing of information with federal, state, local,
tribal, foreign, and international agencies to conduct background investigations for national security
positions and certain positions of public trust. The data owner collects the information and dictates how
the information is shared externally. The data owner ensures compatibility between the collection and
external sharing.
Please see appendices for details on how each instance of external sharing is compatible with the
IDENT SORN. US-VISIT is currently reviewing and updating the IDENT SORN.

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6.3

Does the project place limitations on re-dissemination?

All MOUs and information-sharing access agreements that govern the sharing of IDENT
information include limitations on re-dissemination. These limitations will be discussed in full in the
attached external IDENT users’ appendices.

6.4

Describe how the project maintains a record of any disclosures
outside of the Department.

US-VISIT retains an accounting of records disclosed outside of the Department. The disclosures
include records that are paper-based or electronic and record the date, nature, and purpose of each
dissemination and disclosure, along with the name and address of the individual or agency to which the
disclosure is made. This list of disclosures is retained as part of the accounting requirements for the
IDENT system in order to be able to recreate the information to demonstrate compliance.
IDENT maintains an audit record in the database for each system message sent to an external
agency. Audit logs are maintained by the IDENT Operations and Maintenance (O&M) Team and the
Information Technology Management Branch. Access to audit logs is limited strictly to core O&M
personnel. The audit log data is backed up regularly as part of the overall IDENT database backup and
archiving process.

6.5

Privacy Impact Analysis: Related to Information Sharing

Privacy Risk: Because of the sensitivity of certain classes of individuals’ data collected by DHS
components, there is a potential risk that sensitive data may be shared with groups not authorized to
receive the data.
Mitigation: The IDENT system incorporates a robust filtering process based off the data owners’
requirements for all information sharing. An IDENT data provider may inform US-VISIT of limitations
on dissemination in the data sharing agreement or though the ICWG. IDENT filtering capabilities ensure
that data is only shared with data provider-approved agencies for approved purposes.
US-VISIT is currently working on additional filtering capabilities to ensure that information
about certain special protected classes of individuals is protected.
Privacy Risk: There is a risk that IDENT users who have not yet been approved as an IDENT
user will gain access to IDENT data through third party sharing.
Mitigation: The potential for unauthorized sharing is mitigated by implementing access controls
to ensure that only authorized IDENT users can access the data, by placing limitations on third-party
sharing, by limiting the amount of data shared based on specific circumstances described in information
sharing access agreements, and by conducting periodic reviews, as appropriate, of the use of the data with
end users. The applicable data-sharing agreements require proper new user and use authorization.
Privacy Risk: There is a risk that IDENT provides users more information than is minimally
necessary for their authorized purpose.

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Mitigation: Being an authorized user does not provide automatic access to all of an individual’s
IDENT records. For example, organization-level data filtering is applied to encounter data, which allows
for certain data (for example, asylum data) to be protected so that only approved organizations will be
able to access the data. Individual data owners provide the restrictions regarding the sharing of their data
with other organizations. US-VISIT facilitates these decisions by data owners through its governance
process.

Section 7.0 Redress
The following questions seek information about processes in place for individuals to seek redress which
may include access to records about themselves, ensuring the accuracy of the information collected about them,
and/or filing complaints.

7.1

What are the procedures that allow individuals to access their
information?

In accordance with the provisions of the Privacy Act of 1974 and Freedom of Information Act
(FOIA), the procedures that allow individuals to access information in a DHS system of records are
posted on the DHS public-facing website: http://www.dhs.gov/xfoia/editorial_0579.shtm.
Individuals can request access to their records by contacting: US-VISIT FOIA Officer,
Department of Homeland Security, 245 Murray Drive SW, Washington, DC 20598-0675. Requests for
information are evaluated to ensure that any release of information is lawful; will not impede an
investigation of an actual or potential criminal, civil, or regulatory violation; and will not reveal the
existence of an investigation or investigative interest on the part of DHS or another agency. Access may
be limited pursuant to exemptions asserted under 5 USC §§ 552a(j)(2) and (k)(2) for the IDENT system.

7.2

What procedures are in place to allow the subject individual to
correct inaccurate or erroneous information?

Individuals, regardless of citizenship, should submit redress requests online through the DHS
Traveler Redress Inquiry Program25 (TRIP) website, www.dhs.gov/trip, or mail the completed form and
documents to DHS TRIP, 601 South 12th Street, TSA-901, Arlington, VA 20598-6901. Completing the
form online saves processing time and helps prevent data entry errors. After an individual submits a
redress form, the individual will receive notification of receipt from DHS TRIP. DHS TRIP will review
the redress form and will determine which component/agency will be able to respond most effectively to
the submission. When a redress request is related to US-VISIT processing, DHS TRIP will coordinate
with US-VISIT. US-VISIT will then review the individual’s records and correct the information, if
appropriate. DHS TRIP will notify the individual of the resolution of that request. Additionally, an
individual may submit redress requests directly to the US-VISIT Privacy Officer (See section 7.3). If an
individual is dissatisfied with the response to his or her redress inquiry, then he or she can appeal to the
DHS Chief Privacy Officer, who reviews the appeal and provides final adjudication concerning the
25

See the DHS Traveler Redress Inquiry Program Privacy Impact Assessment at
http://www.dhs.gov/xlibrary/assets/privacy/privacy_pia_dhstrip.pdf.

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matter. The DHS Chief Privacy Officer can be contacted at Chief Privacy Officer, Attn: DHS Privacy
Office, Department of Homeland Security, Mailstop 0655, 245 Murray Lane, Washington, DC 20528,
USA; or by fax: 1-202-343-4010. As with access amendments may be limited pursuant to exemptions
asserted under 5 USC §§ 552a(j)(2) and (k)(2) for the IDENT system.

7.3

How does the project notify individuals about the procedures for
correcting their information?

Individuals are advised of the procedures for correcting their information through information
available on the US-VISIT website,26 or by contacting the US-VISIT Privacy Officer, Department of
Homeland Security, 245 Murray Drive SW., Washington, DC 20598-0675. Additionally, individuals are
notified by publication of this DHS PIA. The redress procedures are established and operated by DHS
through DHS TRIP, which can be accessed at www.dhs.gov/trip.

7.4

Privacy Impact Analysis: Related to Redress

Privacy Risk: There is a risk that individuals, particularly non-U.S. persons, may not understand
how to correct incorrect information about themselves in IDENT.
Mitigation: DHS TRIP provides a redress process through a website that facilitates the
submission and processing of redress requests. Any individual can request access to or correction of their
PII regardless of their nationality or country of residence. This process has been described in the DHS
TRIP PIA and information is available in multiple places on DHS’s public website. Redress requests that
come to TRIP where a traveler encountered difficulties at the POE due to information in IDENT that
needs to be modified or updated, are assigned via TRIP to US-VISIT. The US-VISIT redress team along
with US-VISIT’s Identity Services branch, after review, then makes appropriate corrections to the IDENT
record if warranted and makes that notation in TRIP.
Alternatively, an individual may submit a redress request directly to US-VISIT. The US-VISIT
website displays information on the process. In addition, if an individual is dissatisfied with the response
to his or her redress inquiry, then he or she can appeal to the DHS Chief Privacy Officer, who reviews the
appeal and provides final adjudication concerning the matter. The DHS Chief Privacy Officer can be
contacted at Chief Privacy Officer, Attn: DHS Privacy Office, Department of Homeland Security,
Mailstop 0655, 245 Murray Lane, Washington, DC 20528, USA; or by fax: 1-202-343-4010

26

See the US-VISIT Website at http://www.dhs.gov/files/programs/editorial_0678.shtm.

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Section 8.0 Auditing and Accountability
The following questions are intended to describe technical and policy based safeguards and security
measures.

8.1

How does the project ensure that the information is used in
accordance with stated practices in this PIA?

IDENT secures its data by complying with the requirements of DHS information technology
security policy, particularly the DHS Information Technology (IT) Security Program Handbook for
Sensitive Systems (Attachment A to DHS Management Directive 4300.1). This handbook establishes a
comprehensive program to provide complete information security, including directives on roles and
responsibilities, management policies, operational policies, technical controls, and application rules.
IDENT is periodically evaluated to ensure that it complies with these security requirements.
IDENT provides audit trail capabilities in order to monitor, log, and analyze system transactions,
as well as actions and system accesses of authorized IDENT users.
As IDENT contains data from a variety of sources, collected for a variety of uses, it is necessary
to institute controls so that only those individuals with a need to know are able to access that data. IDENT
has a robust set of access controls, including role-based access and interfaces, which limit individual
access to the appropriate discrete data collections. Misuse of the data in IDENT is mitigated by requiring
that IDENT users conform to appropriate security and privacy policies, follow established rules of
behavior, and be adequately trained regarding the security of their systems. Also, a periodic assessment
of physical, technical, and administrative controls is performed to enhance accountability and data
integrity. External connections must be documented and approved with both parties’ signatures in an
interconnection security agreement (ISA), which outlines controls in place to protect the confidentiality,
integrity, and availability of the information being shared or processed.

8.2

Describe what privacy training is provided to users either
generally or specifically relevant to the project.

DHS provides comprehensive privacy training that all DHS personnel are required to attend in
person within the first 30 days of their assigned entry on duty. This follows the high-level overview
privacy training provided by DHS as part of new-employee orientation. Users of DHS/US-VISIT
systems, specifically the IDENT system, and all employees and contractors supporting its systems, have
limited access based on their roles and need to know, and they are trained in the handling of personal
information and PII for mission- and non-mission-related data (e.g., human capital and employment data).
Training on specific systems will be conducted as appropriate. Annual refresher training is also provided
on CD-ROM/DVD or online for existing employees and contractors. All DHS and US-VISIT system
users must complete annual refresher training to retain system access.

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8.3

What procedures are in place to determine which users may
access the information and how does the project determine who
has access?

US-VISIT has documented standard operating procedures to determine which users may access
the IDENT system. The minimum requirements for access to the IDENT system are documented in the
MOUs/data-sharing agreements between and among DHS and specific users, and in security, technical,
and business documentation. In particular, individuals with system access must hold a DHS security
clearance, must have a need to know the information based on their job responsibilities, and must
participate in security and privacy training. Also data is filtered based on the User, so that one User that
has access to IDENT may have access to more or less data than another User. The Data Provider decides
who may have access to the data it provides.
Some contractors may have access to IDENT data. The extent of access will vary, based on the
need to fulfill the requirements of the contract under appropriate nondisclosure and use limitations, in
addition to requirements enumerated in section 8.1 of this document. US-VISIT ensures that all
employees and contractors supporting its systems have limited access based on their roles and that they
are trained in the handling of PII.

8.4

How does the project review and approve information sharing
agreements, MOUs, new uses of the information, new access to the
system by organizations within DHS and outside?

All MOUs must be reviewed and approved through an internal US-VISIT process, which includes
a review by US-VISIT policy and privacy officials, and the DHS Office of the General Counsel. The USVISIT approved MOU is sent to NPPD for review and concurrence, and is then forwarded to DHS for
final review and approval by all DHS components.

Responsible Officials
Kenneth Gantt
Assistant Director
Program Integration and Mission Services Division
DHS/NPPD/US-VISIT

Approval Signature
Original signed and on file with the DHS Privacy Office
Jonathan R. Cantor
Acting Chief Privacy Officer
Department of Homeland Security

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Appendix: A
Organization:
U.S. Department of State, Bureau of Consular Affairs (DoS/CA)
Purpose and Use:
The sharing between DoS/CA and US-VISIT supports the visa application and issuance process
for aliens seeking to enter the United States.
DoS/CA consular officers working at DoS posts collect fingerprints from visa applicants and
input them into the DoS Consular Consolidated Database (CCD) system. CCD is the DoS/CA gateway to
IDENT.
DoS shares with US-VISIT biometrics, certain biographic data elements, and visa issuance or
refusal data from visa applicants. US-VISIT then runs searches in the IDENT database and returns search
results. DoS returns information regarding visa issuance or serious refusal of visas after a visa has been
issued or denied.
Individuals Impacted:
The sharing between DoS/CA and US-VISIT impacts any individual who applies for a U.S. visa
with DoS.
Data Elements:
DoS/CA searches and enrolls data it collects directly from visa applicants. The information
returned from IDENT assists in determining identity and visa eligibility. IDENT also sends wrap-back
notifications as described in the PIA overview. If visas are denied for a derogatory reason, DoS/CA
transmits the relevant derogatory information for storage in IDENT. If visas are revoked for serious
reasons, DoS/CA transmits the notice of revocation for storage in IDENT. These denial and revocation
encounters are also added to the IDENT watchlist.
DoS/CA submits the following data elements:
Biometric data: finger scans and digital facial photographs
Encounter data: Place and date of issuance
Biographic data: name, date of birth, gender, physical details, and visa issuance or visa refusal
data.
DoS/CA receives the following data elements from IDENT:
Biometric data: digital facial photograph
Biographic data: (1) full name (i.e., first, middle, last, nicknames, and aliases), date of birth,
gender, signature; personal identifiers including Alien Registration Number, Social Security number
(when provided), state identification number, civil record number, Federal Bureau of Investigation
Fingerprint Number, Fingerprint Identification Number, National Unique Identification Number; and
personal physical details, such as height, weight, eye color, and hair color; (2) identifiers for citizenship

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and nationality, including person-centric details, such as country of birth, country of citizenship, and
nationality; (3) derogatory information,27 if applicable, including wants and warrants, KSTs, sexual
offender registration, and immigration violations; (4) IDENT watchlist status information; (5)
miscellaneous officer comment information; (6) document information and identifiers (e.g., passport and
visa data; document type; document number, and country of issuance); and (7) current and historic
whereabouts.
Encounter data: transaction identifier data, such as sending organization; timestamp;
workstation; reason fingerprinted, such as entry, visa application, credentialing application, or
apprehension; and any available encounter information, including an IDENT-generated encounter
identification number (EID).
Applicable IDENT SORN Routine Uses:
The sharing between DoS/CA and US-VISIT is authorized by Routine Use “H” of the IDENT
SORN, which states that records may be disclosed to appropriate federal, state, local, tribal, foreign, or
international agencies seeking information on the subjects of wants, warrants, or lookouts, or any other
subject of interest for the specific purposes of administering or enforcing the law, national security,
immigration, or intelligence, or carrying out DHS mission-related functions.
Partner Notice:
The DoS Consular Consolidated Database (CCD) PIA is available on the DoS website at
http://www.state.gov/documents/organization/93772.pdf . The DoS Visa Records SORN, available at
http://www.state.gov/documents/organization/102815.pdf, covers the data in CCD.
Retention by Partner:
DoS/CA retains all data received from IDENT.
Compliance Reporting:
Section 8 of the IDENT PIA covers US-VISIT compliance reporting. The MOU between DHS
and DoS did not establish any additional compliance-reporting requirements.
Onward Transfer:
The DoS-DHS MOU limits access to DoS personnel who have a need to know to carry out their
official duties and establishes that data may not be disseminated outside DoS without the expressed
consent of DHS.
Training:
US-VISIT is currently developing an on-boarding package for distribution to all IDENT users.
The package covers privacy compliance, as well as the relevant terms of any relevant MOU.

27

A set of data related to negative or criminal information associated with an encounter.

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Correction and Redress:
Legitimate travelers can submit concerns to and seek relief from DoS/CA regarding screeningrelated difficulties they may have experienced during travel to or from the United States by filing a
complaint online at www.dhs.gov/trip and tracking their status using the control number assigned to the
query. Redress is additionally available under the DoS Visa Records SORN, available at
http://www.state.gov/documents/organization/102815.pdf.

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Appendix: B
Organizations:
The Five Country Conference (FCC) is a forum for cooperation on migration and border security
between the countries of Australia, Canada, New Zealand, the United Kingdom, and the United States
(collectively called the FCC partners).
Purpose and Use:
The purpose of this information sharing is to support immigration processes, including asylum,
visa, and refugee determinations, as well as admissibility, among the FCC partners. Foreign partners
perform a search only; no data is enrolled in IDENT.
FCC countries use information shared through the FCC project for immigration and border
management, national security, and law enforcement purposes in that country only.
FCC partners exchange their biometric data to search against the existing biometric holdings of
other FCC partners to determine whether information pertinent to immigration and border management
exists.
Individuals Impacted:
Individuals impacted include those encountered in the following immigration situations in an
FCC partner country:






Where there is an indication of derogatory activity (e.g., child smuggling) or other
associations of concern such that the individual could be found inadmissible to one or more
of the FCC partner countries.
Where the identity of the individual is unknown (e.g., an individual who has destroyed his or
her identifying documents or withheld information about his or her identity to prevent
removal).
Where there is reason to believe that another FCC partner has encountered the individual.
Where there is an asylum claim that involves identifying individual(s) encountered inside the
FCC partner country, or locating individuals whose whereabouts are unknown or who may
have violated immigration or criminal laws.
Where an individual requires re-documentation for removal or another immigration-related
process.

Data Elements:
Shared information may include personal information relating to nationals of a FCC country that
is deemed relevant and necessary for immigration or nationality determination purposes, as defined in the
MOU. Shared information may include:
Biometric data: digital facial photographs and fingerprints.
Biographic data: full name, date of birth, place of birth, citizenship, document identifier (e.g.,
document type, document number, and country of issuance), current and historic whereabouts,
gender, date fingerprinted, reason fingerprinted, location fingerprinted, and aliases.

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In the event of an information match, two FCC partners (the requesting and providing countries)
may further collaborate and review the match by exchanging additional information allowable under
applicable law to determine whether further action is required using other existing protocols (law
enforcement or otherwise) between the countries.
Applicable IDENT SORN Routine Uses:
Sharing among FCC partners is authorized by Routine Use “H” of the IDENT SORN, which
states that records may be disclosed to appropriate federal, state, local, tribal, foreign, or international
agencies seeking information on the subjects of wants, warrants, or lookouts, or any other subject of
interest for the specific purposes of administering or enforcing the law, national security, immigration, or
intelligence, or carrying out DHS mission-related functions.
Partner Notice:
The following FCC partner countries have provided notice by posting PIAs on this data
exchange:


Canada: http://www.cic.gc.ca/english/department/atip/pia-fcc.asp



UK: http://www.ukba.homeoffice.gov.uk/sitecontent/documents/aboutus/workingwithus/
high-value-data-sharing-protocol/pia.pdf?view=Binary.



New Zealand: http://www.immigration.govt.nz/NR/rdonlyres/06901144-1618-4523-A5B9340697315688/0/PrivacyImpactAssmt.pdf



Australia: Australia conducts PIAs, but does not publicly post those documents.

Retention by Partner:
In general, all shared biometric information is destroyed securely as soon as the receiving country
completes searching (whether or not a match is achieved). Shared biometric information is not used for
any other purpose. When there is a legitimate purpose connected with a match and the information is still
relevant, an FCC partner may store, process, and transmit further biometric and biographical information,
in accordance with applicable laws and established information retention policies. When or if the case
file includes shared information (either electronic or paper) for the individual to whom the data relates,
that information may be retained as part of that case file in accordance with the domestic laws and data
retention policies of the receiving country.
Compliance Reporting:
Any country may request assurance from another country that satisfactory safeguards are being
maintained with respect to the information shared. This may include an audit of the safeguards, by an
appropriate internal or external auditor with agreed terms of reference between the countries. The
countries will also produce comprehensive, joint performance and management information about the
operation of the protocol, which will explicitly identify the number and severity of any security or privacy
breaches and remedial actions taken.

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Onward Transfer:
Information received by any FCC partner is limited to use for determining the handling of an
immigration case in that country only. FCC partners do not share information exchanged under this
protocol with non-FCC partners without the permission of the FCC partner(s) that originally provided the
information. For search requests resulting in matches against two or more countries, information may
only be exchanged initially on a bilateral basis; however, the requesting country may inform each
providing country about the existence of another matching record and the identity of the other FCC
partner(s) with a matched record.
Training:
Privacy training for FCC partner participants complies with the appropriate training requirements
defined by each FCC partner. All FCC Partner countries require that their employees complete Privacy
and Security training.
Correction and Redress:
If an individual believes that the information held on him/her is incorrect, he or she may submit
an inquiry to the following points of contact in each country;
Australia: DIAC, Minister for Immigration and Citizenship, Local Member of Parliament,
Commonwealth Ombudsman or the Australian Privacy Commissioner.
New Zealand: A person may seek redress from one or all of the following: Immigration NZ,
Minister of Immigration, Ombudsman or directly to the NZ Privacy Commissioner
UK: If the negative decision attracts a right of appeal, the appeal must be lodged with whichever
part of U.K. Border Agency (UKBA) made the decision (for example, asylum for asylum cases,
or the overseas visa hub for visa applications). If the person wants to simply know what
information UKBA holds about them on its systems, they can make a request to the Subject
Access Bureau at http://www.ukba.homeoffice.gov.uk/navigation/personal-data/
Canada: For access to personal information held by Citizenship and Immigration Canada please
refer to their website at: http://www.cic.gc.ca/english/department/atip/requests-personal.asp.

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Appendix: C
Organizations:
U.K. Border Agency (UKBA) International Group Visas Services Project (formerly known as
UKvisas) and DHS (USCIS and US-VISIT).
Purpose and Use:
DHS will provide information to the UKBA International Group Services Project to help UKBA
determine whether visa applicants for entry to the United Kingdom are eligible to obtain visas or other
travel documents according to applicable U.K. laws.
The purpose of this information sharing is to assist UKBA in making visa or travel document
determinations while supporting the DHS mission. This information sharing enables DHS to enhance the
integrity of the U.S. immigration system by detecting, deterring, and pursuing immigration fraud, and to
identify persons who pose a threat to national security and/or public safety. Although the DHS – UKBA
MOU allows enrollment, the UKBA currently performs a search only; no data is enrolled in IDENT.
US-VISIT will use the biographic and biometric information received from the UKBA
International Group Visa Services Project, and provided by the visa applicant, to determine whether the
applicant’s biometrics are currently included in the IDENT list of subjects of interest. In the event of a
biometric match, US-VISIT will use additional biographic information provided by the United Kingdom
to support any necessary law enforcement or immigration enforcement investigations.
Individuals Impacted:
This sharing impacts individuals applying for a U.K. visa from select locations, including the
United States and Jamaica. The majority of those applying in the United States and Jamaica for a visa to
enter the United Kingdom will be third-country nationals. However, U.S. citizens who intend to stay in
the United Kingdom for longer than 3 months, or to enter the United Kingdom to engage in work, may
also require a visa, according to U.K. immigration laws. Accordingly, U.S. persons may be included in
data transfers between UKB and US-VISIT systems. As new locations are included in the project, those
locations will be included in addenda to the DHS - UKBA MOU.
Data Elements:
Applicants submit their biographic information via the UKBA online visa application.
Additionally, the applicant submits his or her biometric data (10 fingerprints and a digital facial
photograph) at a USCIS ASC (which collects on behalf of UKBA) or a UKBA International Group Visa
Services Project post. The following categories of information are required to complete the UKBA visa
application:
Biometric data: digital facial photograph and 10 fingerprints
Biographic data: full name, date of birth, place of birth, country of citizenship, document
identifier (e.g., document type, document number, and country of issuance), and gender.

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The UKBA International Group Visa Service Project forwards the applicant’s information, with
the addition of a U.K. unique identification number, to US-VISIT. Only the 10 fingerprints will be
queried against the IDENT list of subjects of interest. US-VISIT will not conduct name-based checks. If
a match does not occur, US-VISIT will transmit two data elements back to the United Kingdom:
a) Status code: “None”
b) UK Unique Identifier.
US-VISIT will then delete all information pertaining to the applicant. If a match does occur, USVISIT will transmit three data elements back to the United Kingdom:
a) Status code: “Watchlist”
b) UK Unique Identifier
c) Encounter ID.
The applicant’s information may be stored in the Technical Reconciliation Analysis
Classification System28 (TRACS) for case management. In both cases (match or no-match), no
information is stored in IDENT.
Applicable IDENT SORN Routine Uses:
This sharing between DHS and UKBA is authorized by Routine Use “H” of the IDENT SORN,
which states that records may be disclosed to appropriate federal, state, local, tribal, foreign, or
international agencies seeking information on the subjects of wants, warrants, or lookouts, or any other
subject of interest for the specific purposes of administering or enforcing the law, national security,
immigration, or intelligence, or carrying out DHS mission-related functions.
Partner Notice:
As the UKBA is not subject to the Privacy Act, it does not have a SORN covering its visa data.
However, additional notice is provided by the UKBA International Group Visa Services website at
www.ukvisas.gov.uk.
Retention by Partner:
The UKBA International Group Visa Services Project will retain the information provided by
DHS until such time that UKBA has no mission-related need or after 75 years of its receipt from DHS,
whichever is sooner. The 75-year retention period is necessary to support the holding of biometrics of
subjects of interest in immigration and border management or law enforcement activities.
Compliance Reporting:
Section 8 of the IDENT PIA covers US-VISIT compliance reporting. The corresponding MOU
for this project did not establish any additional compliance-reporting requirements.

28

For a full discussion of TR ACS, see DHS/NPPD/USVISIT/PIA-004Technical Reconciliation Analysis
Classification System (TRACS), June 6, 2008

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Onward Transfer:
The existing MOUs for this project do not outline any limitations.
Training:
The United Kingdom owns the biometric and biographic data of individuals who apply for visas
and travel documents to the United Kingdom, and that nation provides privacy training to employees who
access that data.
Correction and Redress:
The UKBA International Group Visa Services Project is solely responsible for granting or
denying UKBA International Group Visa Services Project applications. The UKBA International Group
Visa Services Project will determine whether any change to an applicant’s information by US-VISIT, as a
result of a successful redress request, will impact the adjudication process of the UKBA International
Group Visa Services Project. The appeals process for handling inaccurate or erroneous information on
behalf of the UKBA International Group Visa Services Project is solely the responsibility of the United
Kingdom and can be found on the UKBA International Group Visa Services website at
www.ukvisas.gov.uk.
If the applicant is denied a visa to enter the United Kingdom, the UKBA International Group Visa
Services Project will provide a letter of visa denial and visa appeal to the applicant. The appeals process
of the UKBA International Group Visa Services Project varies based on the circumstances upon which
the applicant was denied a visa. The denial letter will detail the process the applicant must follow to
appeal the visa decision. Individuals who are denied visas to enter the United Kingdom may refer to the
UKBA website at http://www.ukba.homeoffice.gov.uk/visas-immigration/visiting/general/appeals/ for
more information.

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Appendix: D
Organization:
United States (U.S.) Department of Defense (DOD)
Purpose and Use:
Information sharing with DOD supports the missions of DOD and DHS. For DOD, relevant
missions include active military operations, warfighter, detainee affairs, force protection efforts, antiterrorism, special operations, stability operations, homeland defense, counterintelligence, and intelligence.
For DHS, relevant missions include critical infrastructure protection, transportation and border security,
law enforcement, administration of immigration benefits, emergency management, intelligence, and other
interests of the United States.
Current biometric data sharing between DOD and the Office of Biometric Identity Management
(OBIM) is mostly through manual processes. The Automated Biometric Identification System (ABIS) is
DOD’s multi-modal biometric system for matching, storing, and sharing biometrics in support of military
operations with government agencies and with partner nations. The DOD Biometric Enabled Watchlist
(BEWL) is located in ABIS. The National Ground Intelligence Center (NGIC) is responsible for adding
persons to BEWL. The BEWL includes known or suspected terrorists, national security threats, and DOD
detainees.29 Those identities are subsequently transmitted to OBIM by DOD’s Biometric Identity
Management Agency (BIMA) through a secure file transfer protocol (SFTP) site. The biometric records
are then enrolled in the DHS Automated Biometric Identification System (IDENT) and added to the
IDENT watchlist, which is available to all DHS stakeholders searching IDENT. OBIM in turn provides
information to DOD on matches in IDENT where permissible, on those enrolled records from the BEWL.
OBIM checks IDENT for any subsequent encounters on these DOD BEWL records and shares this
information with DOD, where permissible.
To support the DHS mission, DHS also receives DOD latent prints on a daily basis through the
Federal Bureau of Investigation (FBI). All submissions to the FBI’s Universal Latent File are also
submitted for search against the entire IDENT gallery.
Going forward, OBIM and DOD recognize the need to increase biometric data sharing through an
automated connection between IDENT and ABIS to create interoperability. Through IDENT-ABIS
interoperability, DHS and DOD will directly link IDENT and ABIS to enable searches by end users of
each system. Through IDENT-ABIS interoperability in the future, both DHS and DOD will have access
to expanded datasets from the other system.
Individuals Impacted:
KSTs, national security threats, DOD detainees and individuals of interest to DOD and DHS.
Information shared may contain information about U.S. Persons.

29

Detainees are individuals who are detained by DOD for at least 2 weeks and are issued an internment serial
number, but who have not been vetted by NGIC analysts for a formal threat determination.

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Data Elements:
ABIS is DOD’s authoritative, multi-modal biometric system for matching, storing, and sharing
biometrics in support of military operations, with government agencies, and with partner nations.
ABIS encounter information could contain data elements such as: ABIS encounter specific
identifier, reason fingerprinted, date fingerprinted, arrest segment literal, fingerprinting agency,
fingerprints, iris images, facial images, palmprints, name, aliases, date of birth, place of birth, country of
citizenship, and gender.
IDENT encounter information could contain data elements such as: digital facial photographs,
fingerprints, IDENT unique identifiers, IDENT organization/unit/sub-unit, encounter information,
encounter specific identifier, name, aliases, date of birth, place of birth, country of citizenship, nationality,
gender, and date fingerprinted.
In the event of an information match, the partners may further collaborate and review the match
by exchanging additional information allowable under applicable law to determine whether further action
is required using other existing protocols (law enforcement or otherwise) between the countries.
Applicable IDENT SORN Routine Uses:
The sharing of PII outside of DHS is compatible with the original collection of that information
and is covered by the IDENT SORN, 72 FR 31080 (June 5, 2007).
All or a part of the data contained in IDENT records may be disclosed as a routine use to appropriate
federal, state, local, tribal, foreign, or international agencies seeking information on the subjects of wants,
warrants, or lookouts, or any other subject of interest for the specific purposes of administering or
enforcing the law, national security, immigration, or intelligence, or carrying out DHS mission-related
functions as determined by DHS (Routine Use J).
Partner Notice:
This information is covered by two DOD SORNs: Defense Biometric Services, 74 Fed. Reg.
48237 (Sep. 22, 2009), available at http://dpclo.defense.gov/privacy/SORNS/dod/A00252_SAIS_DoD.html, and Department of Defense Detainee Biometric Information System, 72 Fed. Reg.
14534 (Mar. 28, 2007), available at http://dpclo.defense.gov/privacy/SORNs/dod/A00252c_SAIS_DoD.html.
Retention by Partner:
DHS and DOD will retain the data only as long as is needed to fulfill the purposes of the project.
In no instance will the retention period of any data item exceed the maximum period permissible by
applicable legal and regulatory requirements or official retention policies.
Compliance Reporting:
Both DHS and DOD may audit the access, use, handling, and maintenance of each other’s data to
ensure compliance. DHS and DOD may independently audit and inspect the other’s use of data provided
and review the audit records of the other agency. The agencies may also accept the results of internal
agency audits (such as Inspector General audits) conducted in lieu of an audit.

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Onward Transfer:
Both agencies acknowledge that data stored on behalf of third parties, or subsequent matches to
that data, will not be shared without the consent of the data owner.
Where a Party receives a third party request for information shared under the MOA, such as a
request under the Freedom of Information Act or the Privacy Act, or through Congressional or media
request, or any other method, that Party will ensure that it does not adjudicate such requests for the other
Party. The Party receiving a third party request for information which is owned or originated by the other
Party shall immediately consult with the other Party as to how to respond to the request.
Training:
DOD personnel with access to data shared are trained in the protection and proper treatment of all
data, to ensure overall safeguarding of the information, in accordance with the Privacy Act and other
applicable laws and policies, including but not limited to confidentiality regulations associated with
particular immigration benefits.
DOD abides by DHS’ privacy policies, ensures that its employees, including contractors and
detailees from third agencies with access to any of DHS’ data, have completed any required privacy and
information assurance training on the handling of all data.
DOD also trains designated users on techniques to effectively query any shared systems, if
requested. The training will include an explanation of data fields and be closely coordinated by DHS.
Correction and Redress:
OBIM redress measures are discussed in Section 7 of the PIA.
Both agencies maintain an ability to locate and correct PII maintained by the other department.
Additionally, DOD corrects any disseminated information based on the information that is later deemed
to be erroneous. DOD must provide written confirmation to DHS of the corrections made. The applicable
SORNs cited above provide instructions for submitting a redress request to DOD.

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Appendix: E
Organizations:
The Governments of the United States of America and the Republic of Estonia.
Purpose and Use:
The purpose of the Preventing and Combating Serious Crime (PCSC) agreements is to enhance
and expedite cooperation between the Parties in preventing and combating serious crime. The PCSC
agreements are designed to facilitate the timely exchange of case specific information between the
signatories regarding the prevention, detection, and investigation of serious criminal activities. Serious
criminal activity excludes minor criminal offenses and generally may have the effect of rendering an
individual inadmissible or removable from the United States. This includes inquiries at the border when
an individual has been identified for further inspection.
PCSC agreements do not provide for bulk screening or bulk sharing of data. The Agreements
enable the parties’ national contact points to query individual fingerprint records through an automated
system. In individual cases where there is a match and in compliance with the supplying country’s
national law, the supplying country may supply the requesting country further information to assist with
law enforcement efforts in both countries. In certain cases, such as terrorism-related cases, with the
foreign partner’s permission data may be enrolled in IDENT. The PCSC agreement can facilitate near
real-time law enforcement-to-law enforcement cooperation critical to the prevention and investigation of
serious crime.
Individuals Impacted:
The government of the U.S.A. and the Republic of Estonia will share information on citizens and
third party nationals who are suspected or convicted of committing serious crimes.
Data Elements:
Biometric data: digital facial photograph and fingerprints
Biographic data: Name (first and last, other), Date fingerprinted, Reason fingerprinted, Location
fingerprinted, Aliases, Nationality, Place of Birth, Date of Birth, Gender, Travel and Identity document
information, Encounter information (Transaction-identifier data includes the sending organization;
timestamp; reason sent, such as entry, visa application, credentialing application, or apprehension; and
any available encounter information).
In the event of an information match, the partners may further collaborate and review the match
by exchanging additional information allowable under applicable law to determine whether further action
is required using other existing protocols (law enforcement or otherwise) between the countries.
Applicable IDENT SORN Routine Uses:
This sharing of information from IDENT on matches on biometric queries from the Republic of
Estonia is authorized by Routine Use “H” of the IDENT SORN, which states that records may be
disclosed to appropriate federal, state, local, tribal, foreign, or international agencies seeking information

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on the subjects of wants, warrants, or lookouts, or any other subject of interest for the specific purposes of
administering or enforcing the law, national security, immigration, or intelligence, or carrying out DHS
mission-related functions.
For queries going out from DHS, this sharing is authorized by DHS/ICE-011 - Immigration
Enforcement Operational Records System (ENFORCE), 75 Fed. Reg. 23274 (May 3, 2010);
DHS/USVISIT-0004 - DHS Automated Biometric Identification System (IDENT), 72 Fed. Reg. 31080
(Jun. 5, 2007).
Partner Notice: Estonia provides public notice on the collection of personal information through
the public website for legal acts (www.riigiteataja.ee) and also through the websites of the responsible
authorities, as required by the Estonian Public Information Act of 2000 and the Estonian Personal Data
Protection Act of 2008.
Retention by Partner:
If there is no match to the initial query, all transmitted biometric information is deleted. The
receiving country is required to destroy the biometric information in a secure manner and use it for no
other purpose once the search against its relevant biometric systems is complete. If there is a match in the
receiving country’s database, the supplying country will determine whether or not sharing further
information on the subject is permissible under its national law. When there is a legitimate purpose
connected with a match, either country may store, process, and transmit biometric and biographical
information shared through a follow-up exchange, in accordance with applicable national laws and
established information retention policies.
Compliance Reporting:
Under the Agreement, the Parties are required to maintain documentation, such as audit logs of
the transmission and receipt of data communicated under the Agreement. This documentation, and the
systems which collect and store the subject data, will be periodically evaluated to ensure compliance with
the terms set forth in the Agreement, applicable Interface Control Documents, and any other
implementing arrangements. The Parties have agreed to cooperate with each other on requests for such
documentation records.
Onward Transfer:
The PCSC agreement does not permit the further communication of data provided under the
Agreement to any third State, international body, or private entity without the consent of the country that
provided the data and without the appropriate safeguards.
Training:
All system users receive basic training and also a follow up training as ongoing training needs
and changes in legislation dictate.
Correction and Redress:
Individuals may request access to personal information through the Police and Border Guard
Board or through the Ministry of Justice. Information requests can be filed by mail or email. Estonian

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residents (including foreign nationals who possess an Estonian residence permit) also have the option to
access their personal information through the e-governance state portal (www.eesti.ee), which allows
them to view a log of others who have accessed their data. Individuals may request correction to personal
information pursuant to legislation, regulations and guidelines.
Police and Border Guard Board
Pärnu mnt 139, Tallinn 15060
+372-612-3000
E-mail: [email protected]
Ministry of Justice
Tõnismägi 5a, Tallinn 15191
+372-620-8100
E-mail: [email protected]

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Appendix: F
Organizations:
The Governments of the United States of America and the Czech Republic
Purpose and Use:
The purpose of the Preventing and Combating Serious Crime (PCSC) agreements is to enhance
and expedite cooperation between the Parties in preventing and combating serious crime. The PCSC
agreements are designed to facilitate the timely exchange of case specific information between the
signatories regarding the prevention, detection, and investigation of serious criminal activities. Serious
criminal activity excludes minor criminal offences and generally may have the effect of rendering an
individual inadmissible or removable from the United States. This includes inquiries at the border when
an individual has been identified for further inspection.
PCSC agreements do not provide for bulk screening or bulk sharing of data. The Agreements
enable the parties’ national contact points to query individual fingerprint records through an automated
system. In individual cases where there is a match and in compliance with the supplying country’s
national law, the supplying country may supply the requesting country further information to assist with
law enforcement efforts in both countries. In certain cases, such as terrorism-related cases, with the
foreign partner’s permission data may be enrolled in IDENT. The PCSC agreement can facilitate near
real-time law enforcement-to-law enforcement cooperation critical to the prevention and investigation of
serious crime.
Individuals impacted
The governments of the U.S.A. and the Czech Republic will share information on citizens and
third party nationals who are suspected or convicted of committing serious crimes.
Data Elements:
Biometric data: digital facial photograph and fingerprints
Biographic data: Name (first and last, other), Date fingerprinted, Reason fingerprinted, Location
fingerprinted, Aliases, Nationality, Place of Birth, Date of Birth, Gender, Travel and Identity document
information, Encounter information (Transaction-identifier data includes the sending organization;
timestamp; reason sent, such as entry, visa application, credentialing application, or apprehension; and
any available encounter information). Other information held in US-VISIT and ICE systems may also be
exchanged.
In the event of an information match, the partners may further collaborate and review the match
by exchanging additional information allowable under applicable law to determine whether further action
is required using other existing protocols (law enforcement or otherwise) between the countries.
Applicable IDENT SORN Routine Uses:
This sharing of information from IDENT on matches on biometric queries from the Czech
Republic is authorized by Routine Use “H” of the IDENT SORN, which states that records may be

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disclosed to appropriate federal, state, local, tribal, foreign, or international agencies seeking information
on the subjects of wants, warrants, or lookouts, or any other subject of interest for the specific purposes of
administering or enforcing the law, national security, immigration, or intelligence, or carrying out DHS
mission-related functions.
For queries going out from DHS, this sharing is authorized by DHS/ICE-011 - Immigration
Enforcement Operational Records System (ENFORCE), 75 Fed. Reg. 23274 (May 3, 2010).
Partner Notice:
Public notice of the collection and processing of personal information in the Czech Republic is
contained in law. According to Section 60 of the Act 273/2008 Coll., the Czech police is entitled to
collect and process personal information to the extent necessary for performance of its tasks (which
according to Section 2 of the same Act, include prevention of crime, along with protection of persons,
property and public order). The Act also lists essential information on access of Police to various state or
public databases and information systems, along with the powers of the police to collect and process
personal data. Pursuant to Section 83 of this Act, any individual has right to ask about personal
information that is processed by the police and to request correction, erasure, amendment, or blocking of
incorrect or inaccurate personal data.
Retention by Partner:
If there is no match to the initial query, all transmitted biometric information is deleted. The
receiving country is required to destroy the biometric information in a secure manner and use it for no
other purpose once the search against its relevant biometric systems is complete. If there is a match in the
receiving country’s database, the supplying country will determine whether or not sharing further
information on the subject is permissible under its national law. When there is a legitimate purpose
connected with a match, either country may store, process, and transmit biometric and biographical
information shared through a follow-up exchange, in accordance with applicable national laws and
established information retention policies.
Compliance Reporting:
Under the Agreement, the Parties are required to maintain documentation, such as audit logs of
the transmission and receipt of data communicated under the Agreement. This documentation, and the
systems which collect and store the subject data, will be periodically evaluated to ensure compliance with
the terms set forth in the Agreement, applicable Interface Control Documents, and any other
implementing arrangements. The Parties have agreed to cooperate with each other on requests for such
documentation records where permissible.
Onward Transfer:
The PCSC agreement does not permit the further communication of data provided under the
Agreement to any third State, international body, or private entity without the consent of the country that
provided the data and without the appropriate safeguards.

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Training:
The Police Presidium’s Personal Data Department trains and advises police personnel on
processing of personal data. Aside from organizing periodic training sessions for police personnel on data
privacy and handling procedures, the department also advises police personnel on handling of individual
cases and supervises all data privacy programs within the Police Presidium.
Correction and Redress:
Written requests for access or redress can be sent to:
Police Presidium of the Czech Republic
Strojnická 27 (PO BOX 62/K-SOU)
170 89 Prague 7
Czech Republic
Requests may be also filed in person to any police station during public hours. The requests are free of
charge. Follow-up or repeat requests can be filed six months after the original inquiry.
In order to process a request, the data subject must provide information necessary for
identification (name and surname, date of birth, place of residence or address for correspondence). If a
lawyer makes request on behalf of another person, a notarized power of attorney must be enclosed.
Otherwise, the signatures on a request will have to be verified in person.
Replies are sent within 60 days by certified mail.

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Appendix: G
Organizations:
The Governments of the United States of America and the Slovak Republic
Purpose and Use:
The purpose of the Preventing and Combating Serious Crime (PCSC) agreements is to enhance
and expedite cooperation between the Parties in preventing and combating serious crime. The PCSC
agreements are designed to facilitate the timely exchange of case specific information between the
signatories regarding the prevention, detection, and investigation of serious criminal activities. Serious
criminal activity excludes minor criminal offences and generally may have the effect of rendering an
individual inadmissible or removable from the United States. This includes inquiries at the border when
an individual has been identified for further inspection.
PCSC agreements do not provide for bulk screening or bulk sharing of data. The Agreements
enable the parties’ national contact points to query individual fingerprint records through an automated
system. In individual cases where there is a match and in compliance with the supplying country’s
national law, the supplying country may supply the requesting country further information to assist with
law enforcement efforts in both countries. In certain cases, for example terrorism related cases, with the
foreign partner’s permission data may be enrolled in IDENT. The PCSC agreement can facilitate near
real-time law enforcement-to-law enforcement cooperation critical to the prevention and investigation of
serious crime.
Individuals impacted
The governments of the U.S.A. and the Slovak Republic will share information on citizens and
third party nationals who are suspected or convicted of committing serious crimes.
Data Elements:
Biometric data: digital facial photograph and fingerprints
Biographic data: Name (first and last, other), Date fingerprinted, Reason fingerprinted, Location
fingerprinted, Aliases, Nationality, Place of Birth, Date of Birth, Gender, Travel and Identity document
information, Encounter information (Transaction-identifier data includes the sending organization;
timestamp; reason sent, such as entry, visa application, credentialing application, or apprehension; and
any available encounter information).
In the event of an information match, the partners may further collaborate and review the match
by exchanging additional information allowable under applicable law to determine whether further action
is required using other existing protocols (law enforcement or otherwise) between the countries.
Applicable IDENT SORN Routine Uses:
This sharing of information from IDENT on matches on biometric queries from the Slovak
Republic is authorized by Routine Use “H” of the IDENT SORN, which states that records may be
disclosed to appropriate federal, state, local, tribal, foreign, or international agencies seeking information

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on the subjects of wants, warrants, or lookouts, or any other subject of interest for the specific purposes of
administering or enforcing the law, national security, immigration, or intelligence, or carrying out DHS
mission-related functions.
For queries going out from DHS, this sharing is authorized by DHS/ICE-011 - Immigration
Enforcement Operational Records System (ENFORCE), 75 Fed. Reg. 23274 (May 3, 2010).
Partner Notice:
Sections 69 through 69g of Act No. 171/1993 Coll. on the Police Force provide notice about the
processing of personal data by the Police Force.
Retention by Partner:
If there is no match to the initial query, all transmitted biometric information is deleted. The
receiving country is required to destroy the biometric information in a secure manner and use it for no
other purpose once the search against its relevant biometric systems is complete. If there is a match in the
receiving country’s database, the supplying country will determine whether or not sharing further
information on the subject is permissible under its national law. When there is a legitimate purpose
connected with a match, either country may store, process, and transmit biometric and biographical
information shared through a follow-up exchange, in accordance with applicable national laws and
established information retention policies.
Compliance Reporting:
Under the Agreement, the Parties are required to maintain documentation, such as audit logs of
the transmission and receipt of data communicated under the Agreement. This documentation, and the
systems which collect and store the subject data, will be periodically evaluated to ensure compliance with
the terms set forth in the Agreement, applicable Interface Control Documents, and any other
implementing arrangements. The Parties have agreed to cooperate with each other on requests for such
documentation records where permissible.
Onward Transfer:
The PCSC agreement does not permit the further communication of data provided under the
Agreement to any third State, international body, or private entity without the consent of the country that
provided the data and without the appropriate safeguards.
Training:
All police officers who process personal data while carrying out service tasks are required to take
special training on international agreements as well as Acts of the Slovak Republic and internal
regulations of the Police Force, which contain provisions relevant to data protection and processing of
personal data.
Correction and Redress:
Written requests for access and correction of personal data can be sent to:
Ministry of Interior of the Slovak Republic

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Pribinova 2
812 72 Bratislava
[email protected]
The Police Force must respond to the applicant no later than 30 days from the receipt of the request. The
request is free of charge.

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Appendix: H
Organizations:
The Governments of the United States of America and the Kingdom of Spain
Purpose and Use:
The purpose of the Preventing and Combating Serious Crime (PCSC) agreements is to enhance
and expedite cooperation between the Parties in preventing and combating serious crime. The PCSC
agreements are designed to facilitate the timely exchange of case specific information between the
signatories regarding the prevention, detection, and investigation of serious criminal activities. Serious
criminal activity excludes minor criminal offenses and generally may have the effect of rendering an
individual inadmissible or removable from the United States. This includes inquiries at the border when
an individual has been identified for further inspection.
PCSC agreements do not provide for bulk screening or bulk sharing of data. The Agreements
enable the parties’ national contact points to query individual fingerprint records through an automated
system. In individual cases where there is a match and in compliance with the supplying country’s
national law, the supplying country may supply the requesting country further information to assist with
law enforcement efforts in both countries. In certain cases, for example terrorism related cases, with the
foreign partner’s permission data may be enrolled in IDENT. The PCSC agreement can facilitate near
real-time law enforcement-to-law enforcement cooperation critical to the prevention and investigation of
serious crime.
Individuals Impacted:
The governments of the U.S.A. and the Kingdom of Spain will share information on citizens and
third party nationals who are suspected or convicted of committing serious crimes. Data Elements:
Biometric data: digital facial photograph and fingerprints
Biographic data: Name (first and last, other), Date fingerprinted, Reason fingerprinted, Location
fingerprinted, Aliases, Nationality, Place of Birth, Date of Birth, Gender, Travel and Identity document
information, Encounter information (Transaction-identifier data includes the sending organization;
timestamp; reason sent, such as entry, visa application, credentialing application, or apprehension; and
any available encounter information).
In the event of an information match, the partners may further collaborate and review the match
by exchanging additional information allowable under applicable law to determine whether further action
is required using other existing protocols (law enforcement or otherwise) between the countries.
Applicable IDENT SORN Routine Uses:
This sharing of information from IDENT on matches on biometric queries from the Republic of
Estonia is authorized by Routine Use “H” of the IDENT SORN, which states that records may be
disclosed to appropriate federal, state, local, tribal, foreign, or international agencies seeking information
on the subjects of wants, warrants, or lookouts, or any other subject of interest for the specific purposes of

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administering or enforcing the law, national security, immigration, or intelligence, or carrying out DHS
mission-related functions.
For queries going out from DHS, this sharing is authorized by DHS/ICE-011 - Immigration
Enforcement Operational Records System (ENFORCE), 75 Fed. Reg. 23274 (May 3, 2010).
Partner Notice:
The Spanish Personal Data Protection Law of 1999 in its Article 5 gives notice to individuals as
to how personal data will be collected, treated, handled and stored.
Retention by Partner:
If there is no match to the initial query, all transmitted biometric information is deleted. The
receiving country is required to destroy the biometric information in a secure manner and use it for no
other purpose once the search against its relevant biometric systems is complete. If there is a match in the
receiving country’s database, the supplying country will determine whether or not sharing further
information on the subject is permissible under its national law. When there is a legitimate purpose
connected with a match, either country may store, process, and transmit biometric and biographical
information shared through a follow-up exchange, in accordance with applicable national laws and
established information retention policies.
Compliance Reporting:
Under the Agreement, the Parties are required to maintain documentation, such as audit logs of
the transmission and receipt of data communicated under the Agreement. This documentation, and the
systems which collect and store the subject data, will be periodically evaluated to ensure compliance with
the terms set forth in the Agreement, applicable Interface Control Documents, and any other
implementing arrangements. The Parties have agreed to cooperate with each other on requests for such
documentation records.
Onward Transfer:
The PCSC agreement does not permit the further communication of data provided under the
Agreement to any third State, international body, or private entity without the consent of the country that
provided the data and without the appropriate safeguards.
Training:
The Spanish Data Protection Agency trains and monitors on a continuous basis all the agents
involved in the collection and handling of personal data as mandated by Article 37 (f) of Spanish Personal
Data Protection Law of 1999.
Correction and Redress:
Individuals can request access to their own personal information under the Spanish Personal Data
Protection law by requesting it to the Spanish Data Protection Agency - Subdirectorate for the Inspection
of the Data Protection Agency. The request for access of personal information has to be sent in writing to:
Subdirección General de Inspección de Datos

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Agencia Española de Protección de Datos
Calle Jorge Juan, 6-28001-Madrid
Or by fax to +34 914 455 699
The POC for redress if the breach was caused by Government:
Spanish Data Protection Agency
Subdireccion General de Inspeccion
Calle Jorge Juan 6
Madrid 28001
Or by fax +34 914 455 699

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Appendix: I
Organizations:
The Governments of United States of America and the Principality of Andorra
Purpose and Use:
The purpose of the Preventing and Combating Serious Crime (PCSC) agreements is to enhance
and expedite cooperation between the Parties in preventing and combating serious crime. The PCSC
agreements are designed to facilitate the timely exchange of case specific information between the
signatories regarding the prevention, detection, and investigation of serious criminal activities. Serious
criminal activity excludes minor criminal offenses and generally may have the effect of rendering an
individual inadmissible or removable from the United States. This includes inquiries at the border when
an individual has been identified for further inspection.
PCSC agreements do not provide for bulk screening or bulk sharing of data. The Agreements
enable the parties’ national contact points to query individual fingerprint records through an automated
system. In individual cases where there is a match and in compliance with the supplying country’s
national law, the supplying country may supply the requesting country further information to assist with
law enforcement efforts in both countries. In certain cases, for example terrorism related cases, with the
foreign partner’s permission data may be enrolled in IDENT. The PCSC agreement can facilitate near
real-time law enforcement-to-law enforcement cooperation critical to the prevention and investigation of
serious crime.
Individuals Impacted:
Information will be shared on individuals that are suspected or convicted of committing serious
crimes. In addition to third party nationals, this can include citizens of both the United States and the
Principality of Andorra.
Data Elements:
Biometric data: digital facial photograph and fingerprints
Biographic data: Data exchanged under this project may include (but not limited to):
Name (first and last, other), Date fingerprinted, Reason fingerprinted, Location fingerprinted,
Aliases, Nationality, Place of Birth, Date of Birth, Gender, Travel and Identity document information,
Encounter information (Transaction-identifier data includes the sending organization; timestamp; reason
sent, such as entry, visa application, credentialing application, or apprehension; and any available
encounter information).
In the event of an information match, the partners may further collaborate and review the match
by exchanging additional information allowable under applicable law to determine whether further action
is required using other existing protocols (law enforcement or otherwise) between the countries.
Applicable IDENT SORN Routine Uses:
This sharing of information from IDENT on matches on biometric queries from the Principality
of Andorra is authorized by Routine Use “H” of the IDENT SORN, which states that records may be

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disclosed to appropriate federal, state, local, tribal, foreign, or international agencies seeking information
on the subjects of wants, warrants, or lookouts, or any other subject of interest for the specific purposes of
administering or enforcing the law, national security, immigration, or intelligence, or carrying out DHS
mission-related functions.
For queries going out from DHS, this sharing is authorized by DHS/ICE-011 - Immigration
Enforcement Operational Records System (ENFORCE) May 3, 2010, 75 FR 23274.
Partner Notice:
According to the Law 15/2003, of 18th December, on personal data protection, the creation,
rectification and erasure of public files has to be regulated by a decree published in the Official Journal of
the Principality of Andorra unless otherwise regulated by a specific Law.
Files with private purposes must be registered before its creation by the controller of the data in the public
registry run by the supervisory authority: the Andorran Data Protection Agency (ADPA). Privacy notices
for private organizations are available on the APDA website. Privacy notices for public organizations are
published in the Official Gazette.
Retention by Partner:
If there is no match to the initial query, all transmitted biometric information is deleted. The
receiving country is required to destroy the biometric information in a secure manner and use it for no
other purpose once the search against its relevant biometric systems is complete. If there is a match in the
receiving country’s database, the supplying country will determine whether or not sharing further
information on the subject is permissible under its national law. When there is a legitimate purpose
connected with a match, either country may store, process, and transmit biometric and biographical
information shared through a follow-up exchange, in accordance with applicable national laws and
established information retention policies.
Compliance Reporting:
Under the Agreement, the Parties are required to maintain documentation, such as audit logs of
the transmission and receipt of data communicated under the Agreement. This documentation, and the
systems which collect and store the subject data, will be periodically evaluated to ensure compliance with
the terms set forth in the Agreement, applicable Interface Control Documents, and any other
implementing arrangements. The Parties have agreed to cooperate with each other on requests for such
documentation records.
Onward Transfer:
The PCSC agreement does not permit the further communication of data provided under the
Agreement to any third State, international body, or private entity without the consent of the country that
provided the data and without the appropriate safeguards.
Training:
The ADPA publishes two Good practice manuals with tips on how to use and handle personal
information properly. One of these is specifically addressed to officials who handle personal information.

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The manuals are on the Agency’s website, https://www.apda.ad/. All Andorran Police officials who
handle personal information are trained via the manual.
Correction and Redress:
Individuals may request access to personal information by writing to:
Andorran Police (Cos de Policia d’Andorra)
Despatx Central de Policia, Ed. Administratiu de l'Obac, Crta. de l'Obac s/n,
Escaldes-Engordany
Andorra
Tel: (+376) 872 000
Fax: (+376) 872 004
[email protected]
Individuals may request correction of personal data by writing to:
Andorran Police (Cos de Policia d’Andorra)
Despatx Central de Policia, Ed. Administratiu de l'Obac, Crta. de l'Obac s/n,
Escaldes-Engordany
Andorra
Tel: (+376) 872 000
Fax: (+376) 872 004
[email protected]
For any issues or concerns regarding proper handling of personal information, access or redress, please
contact the Andorran Data Protection Agency.
Andorran Data Protection Agency (L’Agència Andorrana de Protecció de Dades)
Carrer Dr. Vilanova núm. 15, planta -5
Andorra la Vella
Telèfon: (+376) 808 115
Fax: (+376) 808 118
https://www.apda.ad/contact/

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Appendix: J

Organizations:
The Governments of United States of America and the Portuguese Republic
Purpose and Use:
The purpose of the Preventing and Combating Serious Crime (PCSC) agreements is to enhance
and expedite cooperation between the Parties in preventing and combating serious crime. The PCSC
agreements are designed to facilitate the timely exchange of case specific information between the
signatories regarding the prevention, detection, and investigation of serious criminal activities. Serious
criminal activity excludes minor criminal offenses and generally may have the effect of rendering an
individual inadmissible or removable from the United States. This includes inquiries at the border when
an individual has been identified for further inspection.
PCSC agreements do not provide for bulk screening or bulk sharing of data. The Agreements
enable the parties’ national contact points to query individual fingerprint records through an automated
system. In individual cases where there is a match and in compliance with the supplying country’s
national law, the supplying country may supply the requesting country further information to assist with
law enforcement efforts in both countries. In certain cases, for example terrorism related cases, with the
foreign partner’s permission data may be enrolled in IDENT. The PCSC agreement can facilitate near
real-time law enforcement-to-law enforcement cooperation critical to the prevention and investigation of
serious crime.
Individuals Impacted:
Information will be shared on individuals that are suspected or convicted of committing serious
crimes. In addition to third party nationals, this can include citizens of both the United States and the
Portuguese Republic.
Data Elements:
Biometric data: digital facial photograph and fingerprints
Biographic data: Data exchanged under this project may include (but not limited to):
Name (first and last, other), Date fingerprinted, Reason fingerprinted, Location fingerprinted,
Aliases, Nationality, Place of Birth, Date of Birth, Gender, Travel and Identity document information,
Encounter information (Transaction-identifier data includes the sending organization; timestamp; reason
sent, such as entry, visa application, credentialing application, or apprehension; and any available
encounter information).
In the event of an information match, the partners may further collaborate and review the match
by exchanging additional information allowable under applicable law to determine whether further action
is required using other existing protocols (law enforcement or otherwise) between the countries.

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Applicable IDENT SORN Routine Uses:
This sharing of information from IDENT on matches on biometric queries from the Portuguese
Republic is authorized by Routine Use “H” of the IDENT SORN, which states that records may be
disclosed to appropriate federal, state, local, tribal, foreign, or international agencies seeking information
on the subjects of wants, warrants, or lookouts, or any other subject of interest for the specific purposes of
administering or enforcing the law, national security, immigration, or intelligence, or carrying out DHS
mission-related functions.
For queries going out from DHS, this sharing is authorized by DHS/ICE-011 - Immigration
Enforcement Operational Records System (ENFORCE) May 3, 2010, 75 FR 23274.
Partner Notice:
Portugal provides public notice on the collection of personal information through regulation
published at the Official Journal (Lei 67/98; Lei 5/2008 and Deliberação 3191/2008).
Retention by Partner:
If there is no match to the initial query, all transmitted biometric information is deleted. The
receiving country is required to destroy the biometric information in a secure manner and use it for no
other purpose once the search against its relevant biometric systems is complete. If there is a match in the
receiving country’s database, the supplying country will determine whether or not sharing further
information on the subject is permissible under its national law. When there is a legitimate purpose
connected with a match, either country may store, process, and transmit biometric and biographical
information shared through a follow-up exchange, in accordance with applicable national laws and
established information retention policies.
Compliance Reporting:
Under the Agreement, the Parties are required to maintain documentation, such as audit logs of
the transmission and receipt of data communicated under the Agreement. This documentation, and the
systems which collect and store the subject data, will be periodically evaluated to ensure compliance with
the terms set forth in the Agreement, applicable Interface Control Documents, and any other
implementing arrangements. The Parties have agreed to cooperate with each other on requests for such
documentation records.
Onward Transfer:
The PCSC agreement does not permit the further communication of data provided under the
Agreement to any third State, international body, or private entity without the consent of the country that
provided the data and without the appropriate safeguards.
Training:
Portugal: provides training to all authorized systems users according to their roles, including
training in the handling of personal information and organizes meeting to discuss practical questions.

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Correction and Redress:
For access and redress requests, contact:
Instituto Nacional de Medicina Legal e Ciências Forenses, I.P.
Largo da Sé Nova
3000-213 Coimbra
Tel.: (+351) 239 854 220
Fax: (+351) 239 836 470
and
Laboratório de Polícia Científica da Polícia Judiciária
Rua Gomes Freire, 174
1169-007 Lisboa
Tel: (+351) 218 641 587
Fax: (+351) 213 570 161
e-mail: [email protected]

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Appendix: K

Organizations:
The Governments of United States of America and the Republic of Malta
Purpose and Use:
The purpose of the Preventing and Combating Serious Crime (PCSC) agreements is to enhance
and expedite cooperation between the Parties in preventing and combating serious crime. The PCSC
agreements are designed to facilitate the timely exchange of case specific information between the
signatories regarding the prevention, detection, and investigation of serious criminal activities. Serious
criminal activity excludes minor criminal offenses and generally may have the effect of rendering an
individual inadmissible or removable from the United States. This includes inquiries at the border when
an individual has been identified for further inspection.
PCSC agreements do not provide for bulk screening or bulk sharing of data. The Agreements
enable the parties’ national contact points to query individual fingerprint records through an automated
system. In individual cases where there is a match and in compliance with the supplying country’s
national law, the supplying country may supply the requesting country further information to assist with
law enforcement efforts in both countries. In certain cases, for example terrorism related cases, with the
foreign partner’s permission data may be enrolled in IDENT. The PCSC agreement can facilitate near
real-time law enforcement-to-law enforcement cooperation critical to the prevention and investigation of
serious crime.
Individuals Impacted:
Information will be shared on individuals that are suspected or convicted of committing serious
crimes. In addition to third party nationals, this can include citizens of both the United States and the
Republic of Malta.
Data Elements:
Biometric data: digital facial photograph and fingerprints.
Biographic data: Data exchanged under this project may include (but not limited to): Name (first
and last, other), Date fingerprinted, Reason fingerprinted, Location fingerprinted, Aliases, Nationality,
Place of Birth, Date of Birth, Gender, Travel and Identity document information, Encounter information
(Transaction-identifier data includes the sending organization; timestamp; reason sent, such as entry, visa
application, credentialing application, or apprehension; and any available encounter information).
In the event of an information match, the partners may further collaborate and review the match
by exchanging additional information allowable under applicable law to determine whether further action
is required using other existing protocols (law enforcement or otherwise) between the countries.
Applicable IDENT SORN Routine Uses:
This sharing of information from IDENT on matches on biometric queries from the Republic of
Malta is authorized by Routine Use “A” of the IDENT SORN, which states that records may be disclosed

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to appropriate federal, state, local, tribal, foreign, or international agencies seeking information on the
subjects of wants, warrants, or lookouts, or any other subject of interest for the specific purposes of
administering or enforcing the law, national security, immigration, or intelligence, or carrying out DHS
mission-related functions.
For queries going out from DHS, this sharing is authorized by DHS/ICE-011 - Immigration
Enforcement Operational Records System (ENFORCE) May 3, 2010, 75 FR 23274.
Partner Notice:
The Republic of Malta provides notice to individuals on an individual basis through a subject
access request as provided in the Data Protection Act.
Retention by Partner:
If there is no match to the initial query, all transmitted biometric information is deleted. The
receiving country is required to destroy the biometric information in a secure manner and use it for no
other purpose once the search against its relevant biometric systems is complete. If there is a match in the
receiving country’s database, the supplying country will determine whether or not sharing further
information on the subject is permissible under its national law. When there is a legitimate purpose
connected with a match, either country may store, process, and transmit biometric and biographical
information shared through a follow-up exchange, in accordance with applicable national laws and
established information retention policies.
Compliance Reporting:
Under the Agreement, the Parties are required to maintain documentation, such as audit logs of
the transmission and receipt of data communicated under the Agreement. This documentation, and the
systems which collect and store the subject data, will be periodically evaluated to ensure compliance with
the terms set forth in the Agreement, applicable Interface Control Documents, and any other
implementing arrangements. The Parties have agreed to cooperate with each other on requests for such
documentation records.
Onward Transfer:
The PCSC agreement does not permit the further communication of data provided under the
Agreement to any third State, international body, or private entity without the consent of the country that
provided the data and without the appropriate safeguards.
Training:
The Republic of Malta provides regular basic training on the handling of personal data and data
protection matters to all serving members of the force at various levels. The regular basis of these
trainings ensure timely updates to these officers with respect to legislative amendments and/or practical
arrangements
Correction and Redress:
For Access:

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Any individual may make a subject access request to check about the processing of his/her
personal data to the Malta Police Data Protection officer. The contact details are:
Data Protection Office
Police General Headquarters
Floriana
Tel.No. +35622942196
Email:[email protected]
For Redress:
Individuals may request correction to personal information by submitting a request to the Malta
Police Data Protection Officer and they may also appeal within thirty days from the decision of the Malta
Police Data Protection Officer to the Information and Data Protection Commissioner on the following
contact details:
Office of the Information and Data Protection Commissioner
Airways House, Second Floor
High Street
Sliema SLM 1549
MALTA.
Tel: (+356) 2328 7100
Fax: (+356) 23287198
Email: [email protected]

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Appendix: L

Organizations:
The Governments of United States of America and Hungary
Purpose and Use:
The purpose of the Preventing and Combating Serious Crime (PCSC) agreements is to enhance
and expedite cooperation between the Parties in preventing and combating serious crime. The PCSC
agreements are designed to facilitate the timely exchange of case specific information between the
signatories regarding the prevention, detection, and investigation of serious criminal activities. Serious
criminal activity excludes minor criminal offenses and generally may have the effect of rendering an
individual inadmissible or removable from the United States. This includes inquiries at the border when
an individual has been identified for further inspection.
PCSC agreements do not provide for bulk screening or bulk sharing of data. The Agreements
enable the parties’ national contact points to query individual fingerprint records through an automated
system. In individual cases where there is a match and in compliance with the supplying country’s
national law, the supplying country may supply the requesting country further information to assist with
law enforcement efforts in both countries. In certain cases, for example terrorism related cases, with the
foreign partner’s permission data may be enrolled in IDENT. The PCSC agreement can facilitate near
real-time law enforcement-to-law enforcement cooperation critical to the prevention and investigation of
serious crime.
Individuals Impacted:
Information will be shared on individuals that are suspected or convicted of committing serious
crimes. In addition to third party nationals, this can include citizens of both the United States and
Hungary.
Data Elements:
Biometric data: digital facial photograph and fingerprints
Biographic data: Data exchanged under this project may include (but not limited to):
Name (first and last, other), Date fingerprinted, Reason fingerprinted, Location fingerprinted,
Aliases, Nationality, Place of Birth, Date of Birth, Gender, Travel and Identity document information,
Encounter information (Transaction-identifier data includes the sending organization; timestamp; reason
sent, such as entry, visa application, credentialing application, or apprehension; and any available
encounter information).
In the event of an information match, the partners may further collaborate and review the match
by exchanging additional information allowable under applicable law to determine whether further action
is required using other existing protocols (law enforcement or otherwise) between the countries.
Applicable IDENT SORN Routine Uses:

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This sharing of information from IDENT on matches on biometric queries from Hungary is
authorized by Routine Use “A” of the IDENT SORN, which states that records may be disclosed to
appropriate federal, state, local, tribal, foreign, or international agencies seeking information on the
subjects of wants, warrants, or lookouts, or any other subject of interest for the specific purposes of
administering or enforcing the law, national security, immigration, or intelligence, or carrying out DHS
mission-related functions.
For queries going out from DHS, this sharing is authorized by DHS/ICE-011 - Immigration
Enforcement Operational Records System (ENFORCE) May 3, 2010, 75 FR 23274.
Partner Notice:
Hungary provides public notice to the data subjects on the collection of personal information
according to Act CXII of 2011 (On Informational Self-determination and Freedom of Information).
Retention by Partner:
If there is no match to the initial query, all transmitted biometric information is deleted. The
receiving country is required to destroy the biometric information in a secure manner and use it for no
other purpose once the search against its relevant biometric systems is complete. If there is a match in the
receiving country’s database, the supplying country will determine whether or not sharing further
information on the subject is permissible under its national law. When there is a legitimate purpose
connected with a match, either country may store, process, and transmit biometric and biographical
information shared through a follow-up exchange, in accordance with applicable national laws and
established information retention policies.
Compliance Reporting:
Under the Agreement, the Parties are required to maintain documentation, such as audit logs of
the transmission and receipt of data communicated under the Agreement. This documentation, and the
systems which collect and store the subject data, will be periodically evaluated to ensure compliance with
the terms set forth in the Agreement, applicable Interface Control Documents, and any other
implementing arrangements. The Parties have agreed to cooperate with each other on requests for such
documentation records.
Onward Transfer:
The PCSC agreement does not permit the further communication of data provided under the
Agreement to any third State, international body, or private entity without the consent of the country that
provided the data and without the appropriate safeguards.
Training:
According to Hungarian data protection legislation, at any entity that deals with personal data,
new employees receive a general training that includes the rules to be adhered to when dealing with
databases of personal data. In case of changes as regards regulations of data protection, employees receive
a follow-up training focusing on changes.

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Correction and Redress:
For access:
The Hungarian National Authority for Data Protection and Freedom of Information in accordance
with Section 66 of Act CXII of 2011 registers data processing undertaken in respect to personal data in a
data protection file or registry in order to facilitate access to information for the data subject. The registry
is public, the data subjects can for the moment obtain information on request, but the whole registry will
be soon available and searchable on the authority’s website (http://www.naih.hu/).
For redress:
After consulting the public registry, the data subject may turn to the data controller and in
accordance of the Section 14 of the Privacy Act may request the following from the controller:
a. information on the control of personal data,
b. correction of personal data, and
c. deletion, blocking of personal data, with the exception of mandatory control.
In cases where the data subjects deem that the answer given by the data controller is inappropriate
or the denial for giving him/her information was unlawful he/she may turn to the National Authority for
Data Protection and Freedom of Information (NAIH) for redress.
H-1125 Budapest, Szilágyi Erzsébet fasor 22/C.
Telefon: +36 -1-391-1400
Fax: +36-1-391-1410
E-mail: [email protected], web: www.naih.hu

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Appendix: M

Organizations:
The Governments of United States of America and Commonwealth of Australia
Purpose and Use:
The purpose of the Preventing and Combating Serious Crime (PCSC) agreements is to enhance
and expedite cooperation between the Parties in preventing and combating serious crime. The PCSC
agreements are designed to facilitate the timely exchange of case specific information between the
signatories regarding the prevention, detection, and investigation of serious criminal activities. Serious
criminal activity excludes minor criminal offenses and generally has the effect of rendering an individual
inadmissible or removable from the United States. This includes inquiries at the border when an
individual has been identified for further inspection.
PCSC agreements do not provide for bulk screening or bulk sharing of data. The Agreements
enable the parties’ national contact points to query individual fingerprint records through an automated
system. In individual cases where there is a match and in compliance with the supplying country’s
national law, the supplying country may supply the requesting country further information to assist with
law enforcement efforts in both countries. In certain cases, for example terrorism related cases, with the
foreign partner’s permission data may be enrolled in IDENT. The PCSC agreement can facilitate near
real-time law enforcement-to-law enforcement cooperation critical to the prevention and investigation of
serious crime.
Individuals Impacted:
Information will be shared on individuals that are suspected or convicted of committing serious
crimes. In addition to third party nationals, this can include citizens of both the United States and the
Commonwealth of Australia.
Data Elements:
Biometric data: digital facial photograph and fingerprints.
Biographic data: Data exchanged under this project may include (but not limited to): Name (first
and last, other), Date fingerprinted, Reason fingerprinted, Location fingerprinted, Aliases, Nationality,
Place of Birth, Date of Birth, Gender, Travel and Identity document information, Encounter information
(Transaction-identifier data includes the sending organization; timestamp; reason sent, such as entry, visa
application, credentialing application, or apprehension; and any available encounter information).
In the event of an information match, the partners may further collaborate and review the match
by exchanging additional information allowable under applicable law to determine whether further action
is required using other existing protocols (law enforcement or otherwise) between the countries.
Applicable IDENT SORN Routine Uses:
This sharing of information from IDENT on matches on biometric queries from the
Commonwealth of Australia is authorized by Routine Use “A” of the IDENT SORN, which states that

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records may be disclosed to appropriate federal, state, local, tribal, foreign, or international agencies
seeking information on the subjects of wants, warrants, or lookouts, or any other subject of interest for the
specific purposes of administering or enforcing the law, national security, immigration, or intelligence, or
carrying out DHS mission-related functions.
For queries going out from DHS, this sharing is authorized by DHS/ICE-011 - Immigration
Enforcement Operational Records System (ENFORCE) May 3, 2010, 75 FR 23274.
Partner Notice:
Australia provides public notice on the collection of personal information through the Personal
Information Digest (PID) published in accordance with the Privacy Act 1988. The PID is available
through the Office of the Australian Information Commission (OAIC) website http://www.oaic.gov.au.
Retention by Partner:
If there is no match to the initial query, all transmitted biometric information is deleted. The
receiving country is required to destroy the biometric information in a secure manner and use it for no
other purpose once the search against its relevant biometric systems is complete. If there is a match in the
receiving country’s database, the supplying country will determine whether or not sharing further
information on the subject is permissible under its national law. When there is a legitimate purpose
connected with a match, either country may store, process, and transmit biometric and biographical
information shared through a follow-up exchange, in accordance with applicable national laws and
established information retention policies.
Compliance Reporting:
Under the Agreement, the Parties are required to maintain documentation, such as audit logs of
the transmission and receipt of data communicated under the Agreement. This documentation, and the
systems which collect and store the subject data, will be periodically evaluated to ensure compliance with
the terms set forth in the Agreement, applicable Interface Control Documents, and any other
implementing arrangements. The Parties have agreed to cooperate with each other on requests for such
documentation records.
Onward Transfer:
The PCSC agreement does not permit the further communication of data provided under the
Agreement to any third State, international body, or private entity without the consent of the country that
provided the data and without the appropriate safeguards.
Training:
Australia provides training to authorized system users in accordance with their roles, procedures
and on basic application of relevant legislation.
Correction and Redress:
Individuals may request access to personal information under the Privacy Act through the
Freedom of Information Act.
The Australian Federal Police

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Freedom of Information contact officer
Phone: +61 2 61316131
Email: [email protected]
Australia Government
Office of the Australian Information Commissioner
Phone: +61 2 9284 9666
Email: [email protected]
Individuals may request correction to personal information pursuant to Commonwealth law,
regulations and guidelines.
The Australian Federal Police
Freedom of Information contact officer
Phone: +61 2 61316131
Email: [email protected]
Australia Government
Office of the Australian Information Commissioner
Phone: +61 2 9284 9666
Email: [email protected]

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Appendix: N

Organizations:
The Governments of United States of America and the Republic of Austria
Purpose and Use:
The purpose of the Preventing and Combating Serious Crime (PCSC) agreements is to enhance
and expedite cooperation between the Parties in preventing and combating serious crime. The PCSC
agreements are designed to facilitate the timely exchange of case specific information between the
signatories regarding the prevention, detection, and investigation of serious criminal activities. Serious
criminal activity excludes minor criminal offenses and generally may have the effect of rendering an
individual inadmissible or removable from the United States. This includes inquiries at the border when
an individual has been identified for further inspection.
PCSC agreements do not provide for bulk screening or bulk sharing of data. The Agreements
enable the parties’ national contact points to query individual fingerprint records through an automated
system. In individual cases where there is a match and in compliance with the supplying country’s
national law, the supplying country may supply the requesting country further information to assist with
law enforcement efforts in both countries. In certain cases, for example terrorism related cases, with the
foreign partner’s permission data may be enrolled in IDENT. The PCSC agreement can facilitate near
real-time law enforcement-to-law enforcement cooperation critical to the prevention and investigation of
serious crime.
Individuals Impacted:
Information will be shared on individuals that are suspected or convicted of committing serious
crimes. In addition to third party nationals, this can include citizens of both the United States and the
Republic of Austria.
Data Elements:
Biometric data: digital facial photograph and fingerprints.
Biographic data: Data exchanged under this project may include (but not limited to): Name (first
and last, other), Date fingerprinted, Reason fingerprinted, Location fingerprinted, Aliases, Nationality,
Place of Birth, Date of Birth, Gender, Travel and Identity document information, Encounter information
(Transaction-identifier data includes the sending organization; timestamp; reason sent, such as entry, visa
application, credentialing application, or apprehension; and any available encounter information).
In the event of an information match, the partners may further collaborate and review the match
by exchanging additional information allowable under applicable law to determine whether further action
is required using other existing protocols (law enforcement or otherwise) between the countries.
Applicable IDENT SORN Routine Uses:
This sharing of information from IDENT on matches on biometric queries from the Republic of
Austria is authorized by Routine Use “A” of the IDENT SORN, which states that records may be

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disclosed to appropriate federal, state, local, tribal, foreign, or international agencies seeking information
on the subjects of wants, warrants, or lookouts, or any other subject of interest for the specific purposes of
administering or enforcing the law, national security, immigration, or intelligence, or carrying out DHS
mission-related functions.
For queries going out from DHS, this sharing is authorized by DHS/ICE-011 - Immigration
Enforcement Operational Records System (ENFORCE) May 3, 2010, 75 FR 23274.
Partner Notice:
The Republic of Austria does not provide public notice. Individuals have the right to access their
personal information, but personal data is not available to the general public, pursuant to Article 26 Data
Protection Law of 2000. Requests must be made to the ordering party (owner) of the collected data
(public authorities or companies) in written form. Requests on personal data in the Central Criminal Data
Register must be made to the relevant police authority.
Retention by Partner:
If there is no match to the initial query, all transmitted biometric information is deleted. The
receiving country is required to destroy the biometric information in a secure manner and use it for no
other purpose once the search against its relevant biometric systems is complete. If there is a match in the
receiving country’s database, the supplying country will determine whether or not sharing further
information on the subject is permissible under its national law. When there is a legitimate purpose
connected with a match, either country may store, process, and transmit biometric and biographical
information shared through a follow-up exchange, in accordance with applicable national laws and
established information retention policies.
Compliance Reporting:
Under the Agreement, the Parties are required to maintain documentation, such as audit logs of
the transmission and receipt of data communicated under the Agreement. This documentation, and the
systems which collect and store the subject data, will be periodically evaluated to ensure compliance with
the terms set forth in the Agreement, applicable Interface Control Documents, and any other
implementing arrangements. The Parties have agreed to cooperate with each other on requests for such
documentation records.
Onward Transfer:
The PCSC agreement does not permit the further communication of data provided under the
Agreement to any third State, international body, or private entity without the consent of the country that
provided the data and without the appropriate safeguards.
Training:
Provides basic training to authorized system users.
Correction and Redress:
Individuals have the right to access their personal information, but personal data is not available
to the general public, pursuant to Article 26 Data Protection Law of 2000. Requests must be made to the

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ordering party (owner) of the collected data (public authorities or companies) in written form. Requests
on personal data in the Central Criminal Data Register must be made to the relevant police authority.
Individuals may request access to personal information to all public and private holders of their
personal data, pursuant to the Austrian Data Protection Act from 2000. In case of doubt on who is in
charge of the data or for general information the Point of Contact is:
Austria Data Protection Commission (Datenschutzkommission)
Hohenstaufengasse 3
A-1010 Vienna
Phone: +43 1 531 15-202525
Fax: +43 1 531 15-202690
Email: [email protected]
Individuals may request correction to (or deletion of) personal information pursuant to Article 27
of the Data Protection Law of 2000 to the holders of their personal data. If the request is not accepted, the
individual can lodge a complaint to the:
Austria Data Protection Commission (Datenschutzkommission)
Hohenstaufengasse 3
A-1010 Vienna
Phone: +43 1 531 15-202525
Fax: +43 1 531 15-202690
Email: [email protected]

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Appendix: O

Organizations:
The Governments of United States of America and the Kingdom of Denmark
Purpose and Use:
The purpose of the Preventing and Combating Serious Crime (PCSC) agreements is to enhance
and expedite cooperation between the Parties in preventing and combating serious crime. The PCSC
agreements are designed to facilitate the timely exchange of case specific information between the
signatories regarding the prevention, detection, and investigation of serious criminal activities. Serious
criminal activity excludes minor criminal offenses and generally may have the effect of rendering an
individual inadmissible or removable from the United States. This includes inquiries at the border when
an individual has been identified for further inspection.
PCSC agreements do not provide for bulk screening or bulk sharing of data. The Agreements
enable the parties’ national contact points to query individual fingerprint records through an automated
system. In individual cases where there is a match and in compliance with the supplying country’s
national law, the supplying country may supply the requesting country further information to assist with
law enforcement efforts in both countries. In certain cases, for example terrorism related cases, with the
foreign partner’s permission data may be enrolled in IDENT. The PCSC agreement can facilitate near
real-time law enforcement-to-law enforcement cooperation critical to the prevention and investigation of
serious crime.
Individuals Impacted:
Information will be shared on individuals that are suspected or convicted of committing serious
crimes. In addition to third party nationals, this can include citizens of both the United States and the
Kingdom of Denmark.
Data Elements:
Biometric data: digital facial photograph and fingerprints
Biographic data: Data exchanged under this project may include (but not limited to):
Name (first and last, other), Date fingerprinted, Reason fingerprinted, Location fingerprinted,
Aliases, Nationality, Place of Birth, Date of Birth, Gender, Travel and Identity document information,
Encounter information (Transaction-identifier data includes the sending organization; timestamp; reason
sent, such as entry, visa application, credentialing application, or apprehension; and any available
encounter information).
In the event of an information match, the partners may further collaborate and review the match
by exchanging additional information allowable under applicable law to determine whether further action
is required using other existing protocols (law enforcement or otherwise) between the countries.

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Applicable IDENT SORN Routine Uses:
This sharing of information from IDENT on matches on biometric queries from the Kingdom of
Denmark is authorized by Routine Use “A” of the IDENT SORN, which states that records may be
disclosed to appropriate federal, state, local, tribal, foreign, or international agencies seeking information
on the subjects of wants, warrants, or lookouts, or any other subject of interest for the specific purposes of
administering or enforcing the law, national security, immigration, or intelligence, or carrying out DHS
mission-related functions.
For queries going out from DHS, this sharing is authorized by DHS/ICE-011 - Immigration
Enforcement Operational Records System (ENFORCE) May 3, 2010, 75 FR 23274.
Partner Notice:
The Kingdom of Denmark provides public notice on the collection of personal information
through the public website for the Danish Police (www.politi.dk) and the official website for the Danish
Data Protection Agency (www.datatilsynet.dk).
Retention by Partner:
If there is no match to the initial query, all transmitted biometric information is deleted. The
receiving country is required to destroy the biometric information in a secure manner and use it for no
other purpose once the search against its relevant biometric systems is complete. If there is a match in the
receiving country’s database, the supplying country will determine whether or not sharing further
information on the subject is permissible under its national law. When there is a legitimate purpose
connected with a match, either country may store, process, and transmit biometric and biographical
information shared through a follow-up exchange, in accordance with applicable national laws and
established information retention policies.
Compliance Reporting:
Under the Agreement, the Parties are required to maintain documentation, such as audit logs of
the transmission and receipt of data communicated under the Agreement. This documentation, and the
systems which collect and store the subject data, will be periodically evaluated to ensure compliance with
the terms set forth in the Agreement, applicable Interface Control Documents, and any other
implementing arrangements. The Parties have agreed to cooperate with each other on requests for such
documentation records.
Onward Transfer:
The PCSC agreement does not permit the further communication of data provided under the
Agreement to any third State, international body, or private entity without the consent of the country that
provided the data and without the appropriate safeguards.
Training:
The Kingdom of Denmark provides basic training for all system users and also a follow up
training as ongoing training needs and changes in legislation dictate.

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Correction and Redress:
Access: Individuals may request access to personal information through the local police district
or through the Danish National Police. Information requests can be filed by mail or email. Contact
information is available through the official website for the Danish Police (www.politi.dk).
Redress: Individuals may request correction to personal information pursuant to legislation,
regulations and guidelines through the local police district or through the Danish National Police.
Requests can be filed by mail or email. Contact information is available through the official website for
the Danish Police (www.politi.dk).
In addition, individuals may file a complaint with the Danish Data Protection Agency on whether
personal data has been processed in accordance with the Danish Act on Processing of Personal Data
(www.datatilsynet.dk).

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Appendix: P

Organizations:
The Governments of United States of America and the Republic of Finland
Purpose and Use:
The purpose of the Preventing and Combating Serious Crime (PCSC) agreements is to enhance
and expedite cooperation between the Parties in preventing and combating serious crime. The PCSC
agreements are designed to facilitate the timely exchange of case specific information between the
signatories regarding the prevention, detection, and investigation of serious criminal activities. Serious
criminal activity excludes minor criminal offenses and generally has the effect of rendering an individual
inadmissible or removable from the United States. This includes inquiries at the border when an
individual has been identified for further inspection.
PCSC agreements do not provide for bulk screening or bulk sharing of data. The Agreements
enable the parties’ national contact points to query individual fingerprint records through an automated
system. In individual cases where there is a match and in compliance with the supplying country’s
national law, the supplying country may supply the requesting country further information to assist with
law enforcement efforts in both countries. The PCSC agreement can facilitate near real-time law
enforcement-to-law enforcement cooperation critical to the prevention and investigation of serious crime.
Individuals Impacted:
Information will be shared on individuals that are suspected or convicted of committing serious
crimes. In addition to third party nationals, this can include citizens of both the United States and the
Republic of Finland.
Data Elements:
Biometric data: digital facial photograph and fingerprints
Biographic data: Data exchanged under this project may include (but not limited to):
Name (first and last, other), Date fingerprinted, Reason fingerprinted, Location fingerprinted,
Aliases, Nationality, Place of Birth, Date of Birth, Gender, Travel and Identity document information,
Encounter information (Transaction-identifier data includes the sending organization; timestamp; reason
sent, such as entry, visa application, credentialing application, or apprehension; and any available
encounter information).
In the event of an information match, the partners may further collaborate and review the match
by exchanging additional information allowable under applicable law to determine whether further action
is required using other existing protocols (law enforcement or otherwise) between the countries.
Applicable IDENT SORN Routine Uses:
This sharing of information from IDENT on matches on biometric queries from the Republic of
Finland is authorized by Routine Use “A” of the IDENT SORN, which states that records may be

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disclosed to appropriate federal, state, local, tribal, foreign, or international agencies seeking information
on the subjects of wants, warrants, or lookouts, or any other subject of interest for the specific purposes of
administering or enforcing the law, national security, immigration, or intelligence, or carrying out DHS
mission-related functions.
For queries going out from DHS, this sharing is authorized by DHS/ICE-011 - Immigration
Enforcement Operational Records System (ENFORCE) May 3, 2010, 75 FR 23274.
Partner Notice:
The Republic of Finland provides public notice of how personal information is collected and
handled through different registers in various acts, but especially in the Personal Data Act (523/1999).
Other relevant legislation giving notice to individuals are the Act on the Processing of Personal Data by
the Police (761/2003), the Act on the Protection of Privacy in Working Life (759/2004) as well as the Act
on the Protection of Privacy in Electronic Communications (516/2004). When data is given from a
register belonging to a public authority, the Act on the Openness of Government Activities (621/1999)
applies.
All the legal acts related to the handling of personal data can be found on the public website for
legal acts (www.finlex.fi). Additionally, information on the handling of personal data can be found on the
websites of the Data Protection Ombudsman (www.tietosuoja.fi).
Retention by Partner:
If there is no match to the initial query, all transmitted biometric information is deleted. The
receiving country is required to destroy the biometric information in a secure manner and use it for no
other purpose once the search against its relevant biometric systems is complete. If there is a match in the
receiving country’s database, the supplying country will determine whether or not sharing further
information on the subject is permissible under its national law. When there is a legitimate purpose
connected with a match, either country may store, process, and transmit biometric and biographical
information shared through a follow-up exchange, in accordance with applicable national laws and
established information retention policies.
Compliance Reporting:
Under the Agreement, the Parties are required to maintain documentation, such as audit logs of
the transmission and receipt of data communicated under the Agreement. This documentation, and the
systems which collect and store the subject data, will be periodically evaluated to ensure compliance with
the terms set forth in the Agreement, applicable Interface Control Documents, and any other
implementing arrangements. The Parties have agreed to cooperate with each other on requests for such
documentation records.
Onward Transfer:
The PCSC agreement does not permit the further communication of data provided under the
Agreement to any third State, international body, or private entity without the consent of the country that
provided the data and without the appropriate safeguards.

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Training:
There is no specific clause in the Finnish legislation regarding training on processing of data, but
the legislation implies that the personnel in charge of the processing of the data is adequately trained for
the purpose. The Data Protection Ombudsman and the Office of the Data Protection Ombudsman provide
guidance and advice on the processing of personal data, organize trainings on demand and control the
observance of the law.
Correction and Redress:
When a data subject wants to use one of the rights granted by the Personal Data Act (right of
information on the processing of data; right of access, rectification, right to prohibit processing) or when
the data subject has a query about the handling of his/her data, they should first contact the controller in
charge of processing the data. If the matter cannot be dealt with the controller, the data subject can contact
the Data Protection Ombudsman. If the processing of the data seems unlawful, the data subject can ask
the Police to investigate the matter.
Office of the Data Protection Ombudsman
P.O. Box 315
FIN-00181 HELSINKI
FINLAND
Address:
Albertinkatu 25 A, 3rd floor
E-mail: [email protected]
Tel: +358 29 56 66700 (exchange)

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Appendix: Q
Organizations:
The Governments of United States of America and the Federal Republic of Germany
Purpose and Use:
The purpose of the Preventing and Combating Serious Crime (PCSC) agreements is to enhance
and expedite cooperation between the Parties in preventing and combating serious crime. The PCSC
agreements are designed to facilitate the timely exchange of case specific information between the
signatories regarding the prevention, detection, and investigation of serious criminal activities. Serious
criminal activity excludes minor criminal offenses and generally has the effect of rendering an individual
inadmissible or removable from the United States. This includes inquiries at the border when an
individual has been identified for further inspection.
PCSC agreements do not provide for bulk screening or bulk sharing of data. The Agreements
enable the parties’ national contact points to query individual fingerprint records through an automated
system. In individual cases where there is a match and in compliance with the supplying country’s
national law, the supplying country may supply the requesting country further information to assist with
law enforcement efforts in both countries. The PCSC agreement can facilitate near real-time law
enforcement-to-law enforcement cooperation critical to the prevention and investigation of serious crime.
Individuals Impacted:
Information will be shared on individuals that are suspected or convicted of committing serious
crimes. In addition to third party nationals, this can include citizens of both the United States and the
Federal Republic of Germany.
Data Elements:
Biometric data: digital facial photograph and fingerprints
Biographic data: Data exchanged under this project may include (but not limited to):
Name (first and last, other), Date fingerprinted, Reason fingerprinted, Location fingerprinted,
Aliases, Nationality, Place of Birth, Date of Birth, Gender, Travel and Identity document information,
Encounter information (Transaction-identifier data includes the sending organization; timestamp; reason
sent, such as entry, visa application, credentialing application, or apprehension; and any available
encounter information).
In the event of an information match, the partners may further collaborate and review the match
by exchanging additional information allowable under applicable law to determine whether further action
is required using other existing protocols (law enforcement or otherwise) between the countries.
Applicable IDENT SORN Routine Uses:
This sharing of information from IDENT on matches on biometric queries from the Federal
Republic of Germany is authorized by Routine Use “A” of the IDENT SORN, which states that records

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may be disclosed to appropriate federal, state, local, tribal, foreign, or international agencies seeking
information on the subjects of wants, warrants, or lookouts, or any other subject of interest for the specific
purposes of administering or enforcing the law, national security, immigration, or intelligence, or carrying
out DHS mission-related functions.
For queries going out from DHS, this sharing is authorized by DHS/ICE-011 - Immigration
Enforcement Operational Records System (ENFORCE) May 3, 2010, 75 FR 23274.
Partner Notice:
In Germany, the relevant information on notifications can be found directly in the specific laws
regulating the respective data processing. These laws include – similar to the “Systems of Record
Notices” – information on the purpose of processing data and rights of individuals (such as
transmission/retention of data) and duties (such as deletion) of the respective agency processing the data.
Relevant legal bases include the Federal Data Protection Act (BDSG) that contains general requirements
(e.g. section 12 et seq) and in the case of PCSC, the Federal Criminal Police Office Act
(Bundeskriminalamtgesetz- BKAG) (e.g. section 7 et seq) as lex specialis.
Retention by Partner:
If there is no match to the initial query, all transmitted biometric information is deleted. The
receiving country is required to destroy the biometric information in a secure manner and use it for no
other purpose once the search against its relevant biometric systems is complete. If there is a match in the
receiving country’s database, the supplying country will determine whether or not sharing further
information on the subject is permissible under its national law. When there is a legitimate purpose
connected with a match, either country may store, process, and transmit biometric and biographical
information shared through a follow-up exchange, in accordance with applicable national laws and
established information retention policies.
Compliance Reporting:
Under the Agreement, the Parties are required to maintain documentation, such as audit logs of
the transmission and receipt of data communicated under the Agreement. This documentation, and the
systems which collect and store the subject data, will be periodically evaluated to ensure compliance with
the terms set forth in the Agreement, applicable Interface Control Documents, and any other
implementing arrangements. The Parties have agreed to cooperate with each other on requests for such
documentation records.
Onward Transfer:
The PCSC agreement does not permit the further communication of data provided under the
Agreement to any third State, international body, or private entity without the consent of the country that
provided the data and without the appropriate safeguards.
Training:
All public service employees who work with personal data are trained accordingly. Data
protection officers of government agencies are required by law to provide advising and training.

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Correction and Redress:
Under Section 19 of the Federal Data Protection Act (Bundesdatenschutzgesetz, BDSG) in
conjunction with Section 12 (5) of the Federal Criminal Police Office Act (Bundeskriminalamtgesetz,
BKAG), individuals may request information about their personal data on file. If a request is refused,
individuals may have recourse to the administrative courts. Individuals may also request the assistance of
the Federal Commissioner for Data Protection and Freedom of Information.
For access to information held on them, individuals may reach out to:
Bundeskriminalamt (Federal Criminal Police Office)
Der Datenschutzbeauftragte (Data protection officer)
65173 Wiesbaden
[email protected]
For correction and redress:
Bundesministerium des Innern (Federal Ministry of the Interior)
Arbeitsgruppe ÖS I 3 (Task Force ÖS I 3)
Alt-Moabit 101 D
10559 Berlin
[email protected]

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Appendix: R

Organizations:
The Governments of United States of America and Taiwan
Purpose and Use:
The purpose of the Preventing and Combating Serious Crime (PCSC) agreements is to enhance
and expedite cooperation between the Parties in preventing and combating serious crime. The PCSC
agreements are designed to facilitate the timely exchange of case specific information between the
signatories regarding the prevention, detection, and investigation of serious criminal activities. Serious
criminal activity excludes minor criminal offenses and generally may have the effect of rendering an
individual inadmissible or removable from the United States. This includes inquiries at the border when
an individual has been identified for further inspection.
PCSC agreements do not provide for bulk screening or bulk sharing of data. The Agreements
enable the parties’ national contact points to query individual fingerprint records through an automated
system. In individual cases where there is a match and in compliance with the supplying country’s
national law, the supplying country may supply the requesting country further information to assist with
law enforcement efforts in both countries. In certain cases, for example terrorism related cases, with the
foreign partner’s permission data may be enrolled in IDENT. The PCSC agreement can facilitate near
real-time law enforcement-to-law enforcement cooperation critical to the prevention and investigation of
serious crime.
Individuals Impacted:
Information will be shared on individuals that are suspected or convicted of committing serious
crimes. In addition to third party nationals, this can include citizens of both the United States and
Taiwan.
Data Elements:
Biometric data: digital facial photograph and fingerprints
Biographic data: Data exchanged under this project may include (but not limited to):
Name (first and last, other), Date fingerprinted, Reason fingerprinted, Location fingerprinted,
Aliases, Nationality, Place of Birth, Date of Birth, Gender, Travel and Identity document information,
Encounter information (Transaction-identifier data includes the sending organization; timestamp; reason
sent, such as entry, visa application, credentialing application, or apprehension; and any available
encounter information).
In the event of an information match, the partners may further collaborate and review the match
by exchanging additional information allowable under applicable law to determine whether further action
is required using other existing protocols (law enforcement or otherwise) between the countries.

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Applicable IDENT SORN Routine Uses:
This sharing of information from IDENT on matches on biometric queries from Taiwan is
authorized by Routine Use “A” of the IDENT SORN, which states that records may be disclosed to
appropriate federal, state, local, tribal, foreign, or international agencies seeking information on the
subjects of wants, warrants, or lookouts, or any other subject of interest for the specific purposes of
administering or enforcing the law, national security, immigration, or intelligence, or carrying out DHS
mission-related functions.
For queries going out from DHS, this sharing is authorized by DHS/ICE-011 - Immigration
Enforcement Operational Records System (ENFORCE) May 3, 2010, 75 FR 23274.
Partner Notice:
Notifications of collections of personal information are in accordance with Articles 8, 15, and 19
of the Personal Information Protection Act (PIPA) and notifications of usage of personal information are
in accordance with Articles 9, 15, and 19 of the PIPA
Retention by Partner:
If there is no match to the initial query, all transmitted biometric information is deleted. The
receiving country is required to destroy the biometric information in a secure manner and use it for no
other purpose once the search against its relevant biometric systems is complete. If there is a match in the
receiving country’s database, the supplying country will determine whether or not sharing further
information on the subject is permissible under its national law. When there is a legitimate purpose
connected with a match, either country may store, process, and transmit biometric and biographical
information shared through a follow-up exchange, in accordance with applicable national laws and
established information retention policies.
Compliance Reporting:
Under the Agreement, the Parties are required to maintain documentation, such as audit logs of
the transmission and receipt of data communicated under the Agreement. This documentation, and the
systems which collect and store the subject data, will be periodically evaluated to ensure compliance with
the terms set forth in the Agreement, applicable Interface Control Documents, and any other
implementing arrangements. The Parties have agreed to cooperate with each other on requests for such
documentation records.
Onward Transfer:
The PCSC agreement does not permit the further communication of data provided under the
Agreement to any third State, international body, or private entity without the consent of the country that
provided the data and without the appropriate safeguards.
Training:
Training is provided to all authorized users.
Correction and Redress:
International Criminal Affairs Division of

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National Police Agency’s Criminal Investigation Bureau
Republic of China (Taiwan)
Email: [email protected]
Telephone: +886 2 27697390
Redress:
International Criminal Affairs Division of
National Police Agency’s Criminal Investigation Bureau
Republic of China (Taiwan)
Email: [email protected]
Telephone: +886 2 27697390
(Forensic Biology Office, Fingerprint Office, Criminal Records Section
Criminal Intelligence Office
Internal Affairs Office of National Police Agency’s Criminal Investigation Bureau
Republic of China (Taiwan))