ICE Directive 1038.1, Directive: 1038.1 Employee Exit Clearance Process

U.S. I M.IG A`I` ON AND CUSTOMS ENFORCEMENT 1.038.1:. Employee Exit Ckarance Process 10!25/2013 Issue Date: 1s.I.tective Date; 1lr25'2013 Superseded: This Directive is the originating and establishing document regarding the VS. Immigration and Customs Enforcement (ICE;) exit clearance process. This Directive supersedes all previous issuances. guidaanc_e, and procedures that are inconsistent with the policy, guidance, and procedures contained in this Directive. 1.

2. Federal Enterprise Architecture Number: 306-11 2-002b Purpose/Background. l'o protect itself against security breaches and loss of property. government records, and monies it is owed, this Directive ensures that ICE leas as unified cyces. This Directive defines the responsibilities exit clearance process .ibr exiting for ICE. personnel and establishes the procedures that will guide ICE supervisors and employees when employees separate f im ICE:. it also covers situations when employees move to positions within U..", where return and accounting of'some ICE-issued property °I fairs f tits dive. applies to all It L eraaples ees, but does not apply to may still Ix required contract personnel. I . .

Government facilities and information systems.. Policy. When employees separate from ICE, they must return or account for all ICE-- issued property, relinquish access to settle all financial liabilities, and relinquish all government records in their possession. Employees remaining with ICE but movin€g to another Directorate or Program Ofcc. or haired to surrender certain ofcemisa;ucd proper[ to othu f-:ac.ilities, or on diaiI, ma 'be € and government records, facility access cards, and relinquish access to other-specific data bases, Headquarters Responsible Officials and Field Office Responsible Officials must ensure that employees separating from, or moving within, ICE are cleared in accordance with the policy and procedures established by this Directive.

3. Definitions. The following definitions apply for purposes of this Directive only: .I. Alien Registration Files.A series of records on an individual, regardless of medium, ," (A Flies) that document an consisting of numbere€1 file; prefixed with ,in it d vidtaaal's hilt€pry of interaction c ith t!, . Citiien h p and Immigration Sc s°ices tU ClS), ll.S. Custerns and Border En. tecnon and/or[ ICE.

(ineluding le ;ac4. Immigration and Naturalization Servrace'), as prescribed in the Immigration id Nationality Act and tut life. ( other regulations, Also included are tempo 'it' il€°s ('I -1 ik s't aara.d substitute Files) which are rrade to replace the A'-File lost at USCIS or :from its \aatiomrl File I racking System (NETS . u Employee Exit clearance Process REL0000021460 K I " f;:;: Ir`i9 I . i ll I > t 1 1: • • • ! s 1' it a I L~ ": 1 I • .: r ~ !: 1 f . ! a • • • . 1 :!

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1 y x 1! - 1 • 2) Ensuring that those separating Senior Executive Service (SES) employees leaving the SES complete a Financial Disclosure Report. e i ir r r r 's •1! R' R _i • is i '! c) Collection and reconciliation of transportation subsidies and commercial parking permits. 4 f [ .R; _ i`. . R .sr r 1 ! s i !Ir iR • ;_ • ► 1' s ' r.. .

U. R _ i . .. •: R # !1. s r , i s~ fR Ir /1s 1 .. i - s 1 s r Employee Exit Clearance Process REL0000021460 7 b) DHS/ICE information systems. c) Secure II) tokens and accesses, 1> ::♦1 ' I li:' 1 # .~ . rr .0 JR 11TII' i:: l - ., ". • # : -. .. # -: , t is REL0000021460 Employee Exit Clearance Process REL0000021460 9 12) Ensuring that employees' access to any ICE databases is terminated. 13) Ensuring that employees' access to any financial and related administrative systems, such as property or travel, or any successor systems, is terminated. .f° f (b)(7)(E) 14) For separating employees only, ensuring that the employee completes DHS Form invval. s''e ter e ,rtaaval Certification, and. in the event 141-02, Documentary Maicria the supervisor is uerthorivinp the enmployce°s request to reinovvc copies ofgovernrraent. records, Iorwarding the fo n to the ICE Privacy and Records Office, Records Branch. a"u iee.dhs. sov for review and signature 5 business days before the at employee's separation date. Where the separating employee is an executive level or political appointee departing ICE. the DES Form 141-02 should be forwarded to the ICE Privacy and Records Office, Records Branch, for review and approval processing 10 business days prior to the employee's separation date, in order to coordinate necessary approval si noff' with the 1)1-i Senior Records Officer or his or her designee. 15) Recovering and ensuring the deactivation and destruction of government debit and travel cards by returning debit cards to their local Debit Card Agency/Organization Program Coordinator (AOPC) and travel cards to their local.

Travel AOPC, 16) Recovering. destroying, and ensuring deactivation of ttocrnrnent purchase cards by having the cardholder bank deli naaated ApproN lag Official notify the ICE Purchase. .Card_.Prograrn Organizational Program Coordinator t°UPC !AOPC'ss at ice dhs&o 17) Reporting any financial liabilities of the employee of which they are aware to the O(2 O/O#fire of Financial Operations HnOps) - Burlington, Branch Chief, Debt Management and (Callect.ion. 18) Certifying that the BCE and other exit clearance MCettre;nra nts ar completed and forwarding a copy of the BCE via e-mail to OliC at . .__ (b)(7)(EL. jeii;iccrllas. soy. 1. ) Notifying OPR Security Division via e-mail at i_,i N!cEa .rr;ice,dhs.gov, if separating employees fail to complete the exit clearance process lbc fore separating from ICE. 20) Signing the G-570 when all property is returned.

4.12. Employees are responsible for: 1) Notifying their supervisor as soon, as possible of the r decision to separate from ICE (e•g•• transfer to another 1:)1 iS component, resign, or retire), or to accept a position. i a. a different Directorate or .l'roEriraarn Office, Employee loyee Exit Clearance Prods REL0000021460 In s r .: i. ~♦ : r •: • r • s r r i :! r 1 : . • • r r: 7 • • r • : r r ;r . • • R • r i • r r Sc s .: • . .:r r •: • A. REL0000021460 11 s r s s sr • •T1 (ela sifli s • •` s . s jiirii, i ETb I: .: 1. ! 'I M s s r ° i • •s f '^ r r ' • r ' •r' sl ?t • • r: • b) Repaying all outstanding financial liabilities. s s s s •it Ti s ►. i s • • i 1 -.: 1 pj / I `:i i - • i _ iK i ! ' ¤ i •: • I :: !r ::_ 1 •: .E Employee Exit Clearance Process REL0000021460 12 a) The employee`s timekeeper or payroll coordinator to prepare the final timecard. b) OPR Security Division at 1(b)(7)(E).Vaertzce dlas car to initiate the security clearance c) octo ar.._._ _ -- - --- - --- - --- - --- - --- aspects of the exit clearance process. 1-1- (b)(7)(E) tca calc:..n a service catalocate ticket to close out all user accounts (LAN access and all related system/application user access accounts). ---- - --- - --- - --------------------- -------- -------- d) L if there are any questions regarding separating employee's outstanding debt due to ICE (e . payroll or travel overpayment, and transit subsidies or parking permit). advance payment, e) Federal Financial Management System (FFMS) 1POC to initiate deactivation of user access, here applicable. f1 Fed'rraveler, or successor system. Local System Administrator to :facilitate deactivation of user access. h) The program's property cu odiara to ensure the departing caaal:aloyee,s name and/or user access is rea auveA from the Property Management Systern.

(Sunflower). OPR ecurity Division NotificaatimL Upon receiving &mail notification of the separation tat (b)(7)(E). fa icc.dlt . en) UP , Security Division separating employee via return email where tcc return his or her law enforcement badge and credential, al, PtViHSPDl2 cards, or building access control badge. iiI notify the 4) Completing tthe Exit Clearance The exit clearance 1. race; s is broken down into the . overrrrraerat rectrds, financial, transit u sidies. parldng. Only when a all ICI -iss€acd property hasbeen following areas of accountability: a administrative, Ip'.1. issued properly t(general property and law enforcement property `) security ethics, and satisfactorily accounted for, access to ,~tt.l verament has been terminated. necessary d=:ebriet:ings completed, and any financial liabilities owed by the employee: have bcn liquidated, will clearance be given to the eaampleyee. The employee will use the FCF to verify that lie or she has satisfied all areas of accountability for vduich he or she is responsible.

Upon successful clearance of each exit requirement, the ECF shall be appropriately signed off, denoted by a legible, printed name of the authorized approver for each area of accountability. Ia cilitics and information systems I he supervisor or DCO is responsible for ensuring the Administrative requirements of Section 5.2t4) are f`€alil,led and \,ill direct the employee to return the .lrE issued property in his or her possession to either 1) the property custodian in the Directorate or Program Office to which the property is being returned. or, 2) ltiniself or herself, Employee Exit Cicarance Process REL0000021460 9 a) Administrative. REL0000021460 14 ii) Alien Files. If the separating employee was responsible for creating or handling AFiles, the .D :O or supervisor will.

A. Inventory the A Files, S Flies, TT-Files, and/or: his in the separating employee's custody; ..f..S) i NP B. If the eattpla)yee was assigned an RPC in t..JSCI 's National File Tracking database, query NFTS to determine what A-Files are System charged to that e)ttl lay €~e: and compare against the list of A-Files of which tltc employee has custody; C. Transfer custody of the A-Files. S-1 iles, 1 Fiks, ant.dior EJs (e.€g., to another employee who is taking over that ernpl oy ec's work., to the. supervisor. a, hack to USC IS for tiling) and update N1° l S with the new eustodi a.ra D. ' otif: USCIi that the employee is sepaaratirw. and advise of the associated. RPC to allow the RPC status to be changed from active to inactive or reassigned; E. Ensure: that any missing A-Files, -Files, 1'-Files, or .Us which are charged to the scparting employee are handled according to the U N), which sets forth DHS policy Record,. aw•r=:awion Handbook (R 'I F. Contact the ICE Privacy and Records Office via e-mail at (b)(7)(E):. .# sr(Mc..c . 11s u,~ v, or b - te1ephon at to the USCIS R H, contact the USCIS Records Headquarters, Planning I ranch via the current contact infttrrxmat on prc vided at ' (tfl r i2 b)(7)(E) or pursuant questions or for further guidance, with any iii) Electronic Records and E-mail, Supervisors will ensure that government. records in electronic form and e-mail have been accounted for and are available for reference and use after the employee departs.

This includes electronic government records maintained on the employee's ICE-issued computer equipment (e.g desktop computer, laptop computer, thumb drives), and on relevant ShaarelPoint sites and network drives (e.g., shared drives, "1-I" drives). .A) Govenune(at )eeur€ds will he transferred to other employees who are assuming the separutlug employees duties or assignments, or into :recordkeeping systems maintained in accordance with the office's File plan and records schedule. stetmm.s for the office (whether paper or electronic) and Employee Exit Clearance Process REL0000021460 15 ` •:. is s ! ! a ! , f ! :~: ~~ f" i l3 1,'• • S r: `. if 1 1. I: ! ' 1 I: ~' ' 1 ► # / f ! i 1 • 1I 1 ! •• f o Employee Exit Ckarance Process REL0000021460 H limited to. Reports of Investigation, database printouts, or any other investigative or database file. D) Supervisors may authorize the removal of records (in redacted t" r x . where appropriate), as in the case of writing samples, research folders, and written briefs in which all identifying data has been redacted.

E) Supervisors or DCOs must send an l etronic cc py_of Dt-[S Fortri 141 -02 to the Privacy and Records (: fibre aat ._.(b)(7)(E) t z.'ica .dla .ge. ° live business days prior to the erng1oyee`s planned date of separation, and 10 business days prior to the date of separation ibr exccut.ive and political appointee employees to ensure timely processing and approval. In cases where the supervisor has given approval for the removal of copies of government records, the l('l> Records Officer will review and approve the requests and send the signe=d 1)115 Form 141.02 back to the supervisor/DCO at least one business day before the date of separation. Note. At no time will any separating employee be allowed to take an A. File, `•:Pile, SFi1e, or iJ with him or her.

F) Supervisors and DCOs should consult with the Privacy? and Records Office with questions about this process. T hese functions may be perforrraed by or in coordination with the office's A-FileAccountability Officer (A AO), if the office has d signa€ed such a position. d) Security. Security clearances, The supervisor or DCO of an employee with a security clearance must coordinate with OPR Security 1. ivision, a minimum of 36 business hours before the er rploye w s separation, to ensure that all steps am taken to cancel the ICE-issued clearance or transfer the clearance to another agency as appropriate. This includes ensuring the required security debriefing is conducted.

The supervisor or DCO may begin the coordination process by notifying OPR Security Division of the impending separation via email address .(b)(7)(E). 1ce.d1[ ii) Building access/Physical Security Property. A separating employee must surrender his or her property related to physical security, P1V/H P.1: -12 cards, any other facility access cards or building passes, law enforcement badge and credential, mission support cr :dcntial and DHS Seal, and any other items related to physical security to the PCN Ili Unit office, if he duty station is at Headquarters, orr to his or her supervisor or DCO, on the final day of employment.. Employee Exit Cicammce Process REL0000021460 W1 is r i. : . s ::. _ 1 i :i ¤ ! r III ` ♦'.

1 ' . 1 PI&L iv) The supervisor or DCO must contact j (b)(7)(E)0q ice•dhs. ov to close any account. : ¤ s i r r r s r: r ! r REL0000021460 W • N, N I 4 N N N' Ns N N ! ' F N! ♦ N N ~! - • - 3 N N N E N : 1 F :f 'F • f N. 1i N N • : Ni • N • s' s # !^ ':f . E s s r • i N s N" 5) Fine ` 'rg the Exit Clearance Process. iN f A N ' ♦: : A e I i f s F i' A " i ! ': • / N s N, '.. REL0000021460 E r separation, a > > N r R R Ii li S:. # M [• ' a is' f R •11 [ IIa i I t • a. t I~ I I t ► i a• i: .

REL0000021460 20 ! 1.: 1! :• y 1 1 ! 4) Security clearances may be inactivated if an employee's new position does not require access to classified information. (A security clearance may be reinstated/ reactivated with 24 months of separation, transfer, or movement to a non-cleared or non-sensitive position, provided the investigation is not outdated.) • • 1 I. P I. .

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6) The ECF is used to verify that those items that must be returned during intr°a4CE moves have been surrendered. .E • r r^ 1• , S C 1 1s • f . J 1 i ; .! ; 1 :r: ~► • •r 1 i M ,:.!# r :• E r # i l: it r . a r1 .- 1 ` ' 1 1 ': ' . t+ • •:•: 1E► • #: sr r 3 Employee Exit Clearance Process REL0000021460 23 f. •s Is s: 1• • • . s s :t to t s a , s " ,• , 1 1 ' 1 1 1 is1Ii . iii1 r !: •t rt ' sJJ js i s Employee Exit Clea nse Mess REL0000021460 WE REL0000021460 M Wfr PF 8. Attachment. Exit Clearance Form, ICE Form REL0000021460 DEPARTMENT OF HOMELAND SECUPJTY U. S. Immigration and Customs Enforcement EXIT CLEARANCE FORM INSI RUCTIONS: The Exit Clearance Form CECF is t.# od to docufne-lt Vie ; q£oremeotc it i 1., .

S. Irrlrriii rclt<i,, E and CLston#s Enforcement (ICS`s:, or wo movFna .o is u}tl"Iw:t :)..: lt3o"r. w.;t1€il applicable ou1 0 to return p oporty, rc:s-31 ie financial pit ll l .iti ,n.., ono c_ mpLot dobr Whom the sepathitl ='#r t lcen one the of Batt II A appre F„ c1 t% Human roouuutol via e- nosI tojSr # Ur .,r" flee g fated Ctvarri i o lJ t€ to the ex€tin 'r e3 n 3,o 'ee, , r : a F' ci DC("', owed rt^,ts. Y A I _:turned roust iAin on th e signat un inn of An or tor COCtiSO of ror ~ t. r, : suoor b. ho.suw ,.4 € , M .otori .<f4 of Ads cn n,.,jst be ,o rs ne .oud 'Decease -} e ,a. Jf a?'<c:s with th e ; tt fal ara na: ~y ,^~ I ;xit€r# ; on wyee: ri t L€l. tt"t^ A,8 ns ,4 Ernploi oc £?qua, fcon'Etact. ss as upper ~uunate Trio Pro utti c u,,t:zoien to 'wool," '. € .y attoMin t to €rl, !,..3pt_ f' otli the :i'li w o. n leaving E43 t,I'C #•M 3 ore .ogt.med to s€qr) the Exit Ckr rnm; - -z. C miicMiors" the ou ter , ,t.; „'si l.a, t !'1::£ f:; the ~.4.,e f ECE to the ICE i. ftu of too curd the c mp £. € :f t' eceaseo rt:F d Note: tl) Completion a`3't tt is form :<'t3•::~n not superseuie: rri se = sration, not does it exempt the employee from any cuwstanthng ton.ia? oh! :'tat ons to the Doportnuent ANus anchor ICE, (2) Although participation is voluntary, separating employecur are encouraged to cern , ..l.s the Aids Lot b#ur e at .{l;.#Irv#'f;zr t 1.., cornp e1'..:: other doc .1?# en,:: mAted to on epoyeeus i boom ',t (ONSi For Senior Executive Service employees, please also complete the Office of Personnel Mangemere Exit Surrey at .ft sA 1 ? - Individual responses are centidentia and resEts wil only be reported in aggregate form to maintain confidentiality. µ4 t ame: Title: Telephone Number: PART L GENERAL INFORMATION (To be ccn pE d by the e nplhyec and reviewed by the supervisor or OC t Name (Las: Fir t, M dde a:^#tea vr.#as S cur y Number (last 4) : Effective Date of Personnel Action k f Directorate or Program Office/Location s_ Psi P,,.#n ;zi .t I£;,' Series i ue..,. _...... i l Last Date On Duty Office Telephone Number 'c ";iriF€1q': „luun it"tif;tia'3 iArroncy (whore l pihcoble) .,I MELQY E,',%- AQ TA-CI J EQ MAILQ .. Manure 9 'fir ress: City. Apt.

State. Z p. i F other Personal Cell kiurrioer; Please check the appropriate box for exitingi~ Transfer to another ICE Directorate or Progrom OPEC [,'I Duty Station Retirement Ej Resignation 0 D Involuntary Termination otle Individual is Deceased End of Internship Transfer to other Federal Agency ICE: form G-659 (8 14) Paqu I :ar :t REL0000021460 PART II.

CLEARANCE PROCESS CHECKLIST

The supervisor or DCO will check the boxes of those items that are applicable to the individual who is separating from ICE, or moving to another position within ICE. The property custodian to whom the exiting employee has returned property, or the person who has taken action related to the exit clearance process, i.e., received documents, deactivated access, given a debriefing, reconciled payment of outstanding financial liabilities, will print his or her name under the section of responsibility, confirming sign Part III, Exit Clearance Certification, affirming that the receipt or action taken. Both employee and supervisor or DCO will requirements of the ECF have been fulfilled. 1.

GENERAL PROPERTY 3.

SECURITY

Desktops, laptops, PEDs (includes pagers, cell phones, phone chargers, tablet devices, etc.), air cards, mobile computing devices (thumb drives, external hard drives, etc.), PDAs, voice mailboxes, Secure ID tokens, and Government Emergency Telecommunications Service (GETS) Cards recovered or accounted for Name of Person Receiving Property (Printed) Official or Diplomatic Passport recovered Name of Person Receiving Property (Printed) 2. LAW ENFORCEMENT PROPERTY ® All law enforcement equipment recovered (e.g., firearms, ammunition, other ordnance and munitions, body armor, intermediate use-of-force devices, tactical radio equipment, etc.) Name of Person Receiving Property (Printed) ® ICE Badge/Credentials/Seal recovered ®PIVJHSPD 12 cards recovered ® Employee has cleared the necessary sections of the Security Office (Special Security, Communication Security, Physical Security, Personnel Security, Administrative Security) SF-312 Classified Information Nondisclosure Agreement signed Name of Person Receiving Property I Security Clearing Official (Printed) Name of Person Receiving Property / Security Clearing Official (Printed) 4.

GOVERNMENT RECORDS

Government records returned/transferred ® DHS Form 141-02 completed (separating employees only) A—File, T-Tiles, S-Files, and Empty Jackets inventoried and transferred; NFTS updated. Uniforms returned ® Electronic network storage cleared of data Name of Person Receiving Property (Printed) Name of Person Receiving Records (Printed) ® Vehicles and keys returned Name of Person Receiving Property (Printed) ICE Form G-559 (8/14) Page 2 of 4 REL0000021460 5.

FINANCIAL 8.

SYSTEMS ACCESS DEACTIVATION q Government Purchase Card recovered and account closed I q List of systems accounts provided to supervisor q Government Travel Credit Card recovered and account closed q Debit Card recovered and account closed Name of Person Receiving Property (Printed) ♦ ~, ~:~, ■ II q Outstanding Employee Debts due ICE reconciled Travel Voucher reconciled q Advanced Payments reconciled q q q Name of Person Receiving Payment(s) (Printed) 5. ETHICS q Financial Disclosure Termination Report completed, (OGE 278 Filers Only) 7. TRANSIT SUBSIDIES l PARKING PERMITS Name of Person Receiving Property (Printed) ICE Form G-559 (8/14) Page 3 of 4 REL0000021460 Date Date Employee's Signature Employee (Print name) DCO's/Supervisor's Signature DCO/Supervisor (Print Name) Comments: Privacy Statement ICE Form G-559 (8114) Page 4 of 4 REL0000021460