This section of the FEDERAL REGISTER

contains notices to the public of the proposed

issuance of rules and regulations. The

purpose of these notices is to give interested

persons an opportunity to participate in the

rule making prior to the adoption of the final

rules.

Proposed Rules Federal Register

60385 

Vol. 76, No. 189 

Thursday, September 29, 2011 

DEPARTMENT OF HOMELAND 

SECURITY 

Office of the Secretary 

6 CFR Part 5 

[Docket No. DHS–2011–0088] 

Privacy Act of 1974: Implementation of 

Exemptions; Department of Homeland 

Security U.S. Citizenship and 

Immigration Services–016 Electronic 

Immigration System-3 Automated 

Background Functions System of 

Records 

AGENCY: Privacy Office, DHS. 

ACTION: Notice of proposed rulemaking. 

SUMMARY: The Department of Homeland 

Security is giving concurrent notice of a 

newly established system of records 

pursuant to the Privacy Act of 1974 for 

the ‘‘Department of Homeland Security 

U.S. Citizenship and Immigration 

Services–016 Electronic Immigration 

System-3 Automated Background 

Functions System of Records’’ and this 

proposed rulemaking. In this proposed 

rulemaking, the Department proposes to 

exempt portions of the system of records 

from one or more provisions of the 

Privacy Act because of criminal, civil, 

and administrative enforcement 

requirements. 

DATES: Comments must be received on 

or before October 31, 2011. 

ADDRESSES: You may submit comments, 

identified by docket number DHS– 

2011–0088, by one of the following 

methods: 

• Federal e-Rulemaking Portal: 

http://www.regulations.gov. Follow the 

instructions for submitting comments. 

• Fax: 703–483–2999. 

• Mail: Mary Ellen Callahan, Chief 

Privacy Officer, Privacy Office, 

Department of Homeland Security, 

Washington, DC 20528. 

• Instructions: All submissions 

received must include the agency name 

and docket number for this rulemaking. 

All comments received will be posted 

without change to http:// 

www.regulations.gov, including any 

personal information provided. 

• Docket: For access to the docket to 

read background documents or 

comments received go to http:// 

www.regulations.gov. 

Instructions: All submissions received 

must include the agency name and 

docket number for this notice. All 

comments received will be posted 

without change to http:// 

www.regulations.gov, including any 

personal information provided. 

Docket: For access to the docket to 

read background documents or 

comments received, go to http:// 

www.regulations.gov. 

FOR FURTHER INFORMATION CONTACT: For 

general questions please contact: Donald 

K. Hawkins (202–272–8000), Privacy 

Officer, U.S. Citizenship and 

Immigration Services, 20 Massachusetts 

Avenue, NW., Washington, DC 20529. 

For privacy issues please contact: Mary 

Ellen Callahan (703–235–0780), Chief 

Privacy Officer, Privacy Office, 

Department of Homeland Security, 

Washington, DC 20528. 

SUPPLEMENTARY INFORMATION: 

I. Background 

In accordance with the Privacy Act of 

1974, 5 U.S.C. 552a, the Department of 

Homeland Security (DHS) U.S. 

Citizenship and Immigration Services 

(USCIS) proposes to establish a new 

DHS system of records titled, ‘‘DHS/ 

USCIS–016 Electronic Immigration 

System-3 Automated Background 

Functions System of Records.’’ DHS/ 

USCIS is creating a new electronic 

environment known as the Electronic 

Immigration System (USCIS ELIS). 

USCIS ELIS allows individuals 

requesting a USCIS benefit to register 

online and submit certain benefit 

requests through the online system. This 

system will improve customer service; 

increase efficiency for processing 

benefits; better identify potential 

national security concerns, criminality, 

and fraud; and create improved access 

controls and better auditing capabilities. 

DHS and USCIS are promulgating the 

regulation ‘‘Immigration Benefits 

Business Transformation, Increment I’’ 

(August 29, 2011, 76 FR 53764) to make 

it possible for USCIS to transition to an 

electronic environment. This regulation 

will assist USCIS in the transformation 

of its operations by removing references 

and processes that inhibit the use of 

electronic systems or constrain USCIS’s 

ability to respond to changing 

workloads, priorities, or statutory 

requirements. 

Applicants and petitioners 

(Applicants); co-applicants, 

beneficiaries, derivatives, dependents, 

or other persons on whose behalf a 

benefit request is made or whose 

immigration status may be derived 

because of a relationship to the 

Applicant (Co-Applicants); and their 

attorneys and representatives accredited 

by the Board of Immigration Appeals 

(Representatives) may create 

individualized online accounts. These 

online accounts help Applicants and 

their Representatives file for benefits, 

track the status of open benefit requests, 

schedule appointments, change their 

addresses and contact information, and 

receive notices and notifications 

regarding their cases. Through USCIS 

ELIS, individuals may submit additional 

information and/or evidence 

electronically. Once an individual 

provides biographic information in one 

benefit request, USCIS ELIS uses that 

information to pre-populate any future 

benefit requests filed by the same 

individual. This eases the burden on an 

individual so he or she does not have 

to repeatedly type in the same 

information and decreases the 

opportunity for error. 

USCIS collects this information 

primarily for the benefit decisionmaking process, to detect duplicate and 

related accounts, identify potential 

national security concerns, criminality, 

and fraud. In essence, Electronic 

Immigration System-3 Automated 

Background Functions (USCIS ELIS 

Automated Background Functions) is 

used to assist USCIS personnel in 

verifying the data submitted by the 

Applicant or Representative, to ensure 

that any duplicate accounts will be 

merged, and that background check 

results, indicating threats to the national 

security, public safety criminality, or 

fraud will be appropriately considered 

in adjudicating the benefit request. 

DHS is claiming exemptions from 

certain requirements of the Privacy Act 

for DHS/USCIS–016 Electronic 

Immigration System-3 Automated 

Background Functions System of 

Records. Some information in Electronic 

Immigration System-3 Automated 

Background Functions (USCIS ELIS 

Automated Background Functions) 


jlentini on DSK4TPTVN1PROD with PROPOSALS
60386 Federal Register / Vol. 76, No. 189 / Thursday, September 29, 2011 / Proposed Rules 

relates to official DHS national security, 

law enforcement, and immigration 

activities. The exemptions are required 

to preclude subjects from compromising 

an ongoing law enforcement, national 

security or fraud investigation; to avoid 

disclosure of investigative techniques; 

to protect the identities and physical 

safety of confidential informants and 

law enforcement personnel; and to 

ensure DHS’s ability to obtain 

information from third parties and other 

sources. 

This system is exempted from the 

following provisions of the Privacy Act 

pursuant to 5 U.S.C. 552a(k)(2): 5 U.S.C. 

552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), 

(e)(4)(I); and (f). Additionally, many of 

the functions in this system require 

retrieving records from law enforcement 

systems. Where a record received from 

another system has been exempted in 

that source system under 5 U.S.C. 

552a(j)(2), DHS will claim the same 

exemptions for those records that are 

claimed for the original primary systems 

of records from which they originated 

and claims any additional exemptions 

in accordance with this rule. 

The exemptions proposed here are 

standard for agencies where the 

information may contain investigatory 

materials compiled for law enforcement 

purposes. These exemptions are 

exercised by executive federal agencies. 

In appropriate circumstances, where 

compliance would not appear to 

interfere with or adversely affect the 

overall law enforcement process, the 

applicable exemptions may be waived 

on a case-by-case basis. 

A notice of system of records for DHS/ 

USCIS–016 Electronic Immigration 

System-3 Automated Background 

Functions System of Records is also 

published in this issue of the Federal 

Register. 

II. Privacy Act 

The Privacy Act allows government 

agencies to exempt certain records from 

the access and amendment provisions. If 

an agency claims an exemption, 

however, it must issue a Notice of 

Proposed Rulemaking to make clear to 

the public the reasons why a particular 

exemption is claimed. 

List of Subjects in 6 CFR Part 5 

Freedom of information; Privacy. 

For the reasons stated in the 

preamble, DHS proposes to amend 

Chapter I of Title 6, Code of Federal 

Regulations, as follows: 

PART 5—DISCLOSURE OF RECORDS 

AND INFORMATION 

1. The authority citation for part 5 

continues to read as follows: 

Authority: Pub. L. 107–296, 116 Stat. 

2135; (6 U.S.C. 101 et seq.); 5 U.S.C. 301. 

Subpart A also issued under 5 U.S.C. 552. 

Subpart B also issued under 5 U.S.C. 552a. 

2. Add at the end of Appendix C to 

Part 5, the following new paragraph 

‘‘62’’: 

Appendix C to Part 5—DHS Systems of 

Records Exempt From the Privacy Act 

* * * * * 

62. The DHS/USCIS–016 Electronic 

Immigration System-3 Automated 

Background Functions System of Records 

consists of electronic and paper records and 

will be used by DHS and its components. The 

DHS/USCIS–016 Electronic Immigration 

System-3 Automated Background Functions 

System of Records is a repository of 

information held by USCIS to serve its 

mission of processing immigration benefits. 

This system also supports certain other DHS 

programs whose functions include, but are 

not limited to, the enforcement of civil and 

criminal laws; investigations, inquiries, and 

proceedings thereunder; and national 

security and intelligence activities. The DHS/ 

USCIS–016 Electronic Immigration System-3 

Automated Background Functions System of 

Records contains information that is 

collected by, on behalf of, in support of, or 

in cooperation with DHS and its components 

and may contain personally identifiable 

information collected by other federal, state, 

local, tribal, foreign, or international 

government agencies. This system is 

exempted from the following provisions of 

the Privacy Act pursuant to 5 U.S.C. 

552a(k)(2): 5 U.S.C. 552a(c)(3); (d); (e)(1), 

(e)(4)(G), (e)(4)(H), (e)(4)(I); and (f). 

Additionally, many of the functions in this 

system require retrieving records from law 

enforcement systems. Where a record 

received from another system has been 

exempted in that source system under 5 

U.S.C. 552a(j)(2), DHS will claim the same 

exemptions for those records that are claimed 

for the original primary systems of records 

from which they originated and claims any 

additional exemptions in accordance with 

this rule. Exemptions from these particular 

subsections are justified, on a case-by-case 

basis determined at the time a request is 

made, for the following reasons: 

(a) From subsection (c)(3) (Accounting for 

Disclosures) because release of the 

accounting of disclosures could alert the 

subject of an investigation of an actual or 

potential criminal, civil, or regulatory 

violation to the existence of that investigation 

and reveal investigative interest on the part 

of DHS as well as the recipient agency. 

Disclosure of the accounting would therefore 

present a serious impediment to law 

enforcement efforts and/or efforts to preserve 

national security. Disclosure of the 

accounting would also permit the individual 

who is the subject of a record to impede the 

investigation, to tamper with witnesses or 

evidence, and to avoid detection or 

apprehension, which would undermine the 

entire investigative process. 

(b) From subsection (d) (Access to Records) 

because access to the records contained in 

this system of records could inform the 

subject of an investigation of an actual or 

potential criminal, civil, or regulatory 

violation to the existence of that investigation 

and/or reveal investigative interest on the 

part of DHS or another agency. Access to the 

records could permit the individual who is 

the subject of a record to impede the 

investigation, to tamper with witnesses or 

evidence, and to avoid detection or 

apprehension. Amendment of the records 

could interfere with ongoing investigations 

and law enforcement activities and would 

impose an unreasonable administrative 

burden by requiring investigations to be 

continually reinvestigated. In addition, 

permitting access and amendment to such 

information could disclose security-sensitive 

information that could be detrimental to 

homeland security. 

(c) From subsection (e)(1) (Relevancy and 

Necessity of Information) because in the 

course of investigations into potential 

violations of federal law, the accuracy of 

information obtained or introduced 

occasionally may be unclear, or the 

information may not be strictly relevant or 

necessary to a specific investigation. In the 

interests of effective law enforcement, it is 

appropriate to retain all information that may 

aid in establishing patterns of unlawful 

activity. 

(d) From subsections (e)(4)(G), (e)(4)(H), 

and (e)(4)(I) (Agency Requirements) and (f) 

(Agency Rules), because portions of this 

system are exempt from the individual access 

provisions of subsection (d) for the reasons 

noted above, and therefore DHS is not 

required to establish requirements, rules, or 

procedures with respect to such access. 

Providing notice to individuals with respect 

to existence of records pertaining to them in 

the system of records, or otherwise setting up 

procedures pursuant to which individuals 

may access and view records pertaining to 

themselves in the system, would undermine 

investigative efforts and reveal the identities 

of witnesses, and potential witnesses, and 

confidential informants. 

Dated: September 15, 2011. 

Mary Ellen Callahan, 

Chief Privacy Officer, Department of 

Homeland Security. 

[FR Doc. 2011–24931 Filed 9–28–11; 8:45 am] 

BILLING CODE 9111–97–P 


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