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[Federal Register Volume 76, Number 188 (Wednesday, September 28, 2011)]
[Notices]
[Pages 60063-60067]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-24936]

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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2011-0084]

Privacy Act of 1974; Department of Homeland Security/U.S. 
Citizenship and Immigration Services-014 Electronic Immigration System-
1 Temporary Accounts and Draft Benefit Requests System of Records

AGENCY: Privacy Office, DHS.

ACTION: Notice of Privacy Act system of records.

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[[Page 60064]]

SUMMARY: In accordance with the Privacy Act of 1974, the Department of 
Homeland Security proposes to establish a new Department of Homeland 
Security system of records titled, ``Department of Homeland Security/
U.S. Citizenship and Immigration Services-014 Electronic Immigration 
System-1 Temporary Accounts and Draft Benefit Requests System of 
Records.'' This system of records allows the Department of Homeland 
Security/U.S. Citizenship and Immigration Services to collect and 
maintain records on an individual as he or she creates a temporary 
electronic account and/or drafts a benefit request for submission 
through U.S. Citizenship and Immigration Services Electronic 
Immigration System. This newly established system will be included in 
the Department of Homeland Security's inventory of record systems.

DATES: Submit comments on or before October 27, 2011. This new system 
will be effective October 27, 2011.

ADDRESSES: You may submit comments, identified by docket number DHS-
2011-0084 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.

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-014 Electronic Immigration System-1 Temporary 
Accounts and Draft Benefit Requests 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 allow 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 new 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 an 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 evidence 
electronically. Once an individual provides biographic information in 
one benefit request, USCIS ELIS uses that information to pre-populate 
any future benefit requests. This eases the burden on an individual so 
he or she does not have to repeatedly type in the same information. 
USCIS is publishing three SORNs to cover the three distinct phases of 
the benefit request process of this new electronic environment and the 
privacy and security protections incorporated into USCIS ELIS. The 
SORNs address the new electronic environment in the following different 
processes:
    1. Temporary Accounts and Draft Benefit Requests: The Electronic 
Immigration System-1 Temporary Accounts and Draft Benefit Requests SORN 
(DHS/USCIS-014) addresses temporary data provided by Applicants or 
Representatives. This temporary data includes temporary accounts for 
first-time Applicants and draft benefit request data from first-time 
Applicants, Applicants with permanent accounts, and Representatives. 
Applicants first interact with USCIS ELIS by creating a temporary 
account, setting notification preferences, and drafting the first 
benefit request. If a first-time Applicant does not formally submit a 
benefit request within 30 days of opening the temporary account, USCIS 
ELIS deletes the temporary account and all draft benefit request data. 
If a first-time Applicant submits the benefit request within 30 days, 
USCIS ELIS changes the status of the account from temporary to 
permanent. Applicants with permanent USCIS ELIS accounts or 
Representatives may also draft benefit requests. USCIS ELIS deletes all 
draft benefit requests if they are not submitted within 30 days of 
initiation.
    2. Account and Case Management: The Electronic Immigration System-2 
Account and Case Management SORN (DHS/USCIS-015) addresses the 
activities undertaken by USCIS after Applicants or Representatives 
submit a benefit request. USCIS ELIS uses information provided on 
initial and subsequent benefit requests and subsequent collections 
through the Account and Case Management process to create or update 
USCIS ELIS accounts; collect any missing information; manage workflow; 
assist USCIS adjudicators as they make a benefit determination; and 
provide a repository of data to assist with future benefit requests. In 
addition, USCIS ELIS processes and tracks all actions related to the 
case, including scheduling appointments and issuing decision notices 
and/or proofs of benefit.
    3. Automated Background Functions: The Electronic Immigration 
System-3 Automated Background Functions SORN (DHS/USCIS-016) addresses 
the actions USCIS ELIS takes to detect duplicate and related accounts 
and identify potential national security concerns, criminality, and 
fraud to ensure that serious or complex cases receive additional 
scrutiny.
    This SORN addresses the USCIS ELIS temporary account process for 
first-time Applicants in USCIS ELIS and the draft benefit request 
process for all Applicants and Representatives. Because USCIS ELIS 
collects this information before a benefit request is submitted, USCIS 
does not have an official need-to-know the information in the drafted 
benefit request. USCIS is segregating temporary account and draft

[[Page 60065]]

benefit request information from permanent information in USCIS ELIS 
and preventing USCIS personnel (aside from USCIS ELIS System 
Administrators as part of their system maintenance duties) from viewing 
this temporary data until the Applicant or Representative submits the 
benefit request. USCIS will purge this information from USCIS ELIS if 
the Applicant or Representative does not submit the benefit request 
within 30 days of initiation. If the Applicant submits the benefit 
request, USCIS will convert the temporary account to a permanent 
account and process the benefit request information according to the 
guidelines set forth in the Electronic Immigration System-2 Account and 
Case Management SORN and Electronic Immigration System-3 Automated 
Background Functions SORN.

Temporary Accounts

    USCIS ELIS creates temporary accounts for Applicants that have not 
previously submitted a benefit request through USCIS ELIS. These 
temporary accounts permit the first-time Applicant to log in to USCIS 
ELIS, set notification preferences, and draft a benefit request. If no 
benefit request is submitted within 30 days of initiation, USCIS ELIS 
deletes the temporary account. This minimizes the time USCIS ELIS 
retains personally identifiable information (PII) about individuals 
that have no pending benefit requests with USCIS, while still giving 
Applicants time to draft and submit a benefit request. If the Applicant 
submits a benefit request within the time allotted, USCIS ELIS will 
convert the temporary account to a permanent account and treat it 
according to the Electronic Immigration System-2 Account and Case 
Management SORN and Electronic Immigration System-3 Automated 
Background Functions SORN.

Draft Benefit Requests

    USCIS ELIS retains benefit requests drafted by Applicants or 
Representatives for 30 days from initiation to further minimize the PII 
retained by USCIS ELIS. This information is not accessible by USCIS 
personnel (aside from system administrators for system maintenance) and 
will only be shared internally for system maintenance purposes and 
externally to reduce the harm to individuals in the event the system is 
compromised. However, once a benefit request has been formally 
submitted to USCIS, the information will be retained and used according 
to the Electronic Immigration System-2 Account and Case Management SORN 
and Electronic Immigration System-3 Automated Background Functions SORN 
in order to maintain USCIS ELIS accounts and determine eligibility for 
requested benefits.
    USCIS ELIS collects information previously collected on different 
forms. In the first release of USCIS ELIS, USCIS collects information 
from the following forms:
     I-90--Application to Replace Permanent Residence Card 
(1615-0082), 08/31/12;
     I-129--Petition for a Nonimmigrant Worker (1615-0009), 10/
31/13;
     I-131--Application for Travel Document (1615-0013), 03/31/
12;
     I-140--Immigrant Petition for Alien Worker (1615-0015), 
01/31/13;
     I-539--Application to Extend/Change Nonimmigrant Status 
(1615-0003), 02/29/12;
     I-539--Application to Extend/Change Nonimmigrant Status 
(On-Line Application) (Pending);
     I-765--Application for Employment Authorization (1615-
0040), 09/30/11;
     I-821--Application for Temporary Protected Status (1615-
0043), 10/31/13;
     I-907--Request for Premium Processing Service (1615-0048), 
08/31/11;
     AR-11--Alien Change of Address Card System (1615-0007), 
09/30/11; and
     G-28 Notice of Entry of Appearance as Attorney or 
Accredited Representative (1615-0105), 04/30/12.
    Additional forms from which information will be collected will be 
posted to the USCIS ELIS website as the system develops.
    USCIS collects, uses, and maintains temporary account and draft 
benefit request information pursuant to the Immigration and Nationality 
Act of 1952, Public Law No. 82-414, sections 101 and 103, as amended.
    This newly established system will be included in DHS's inventory 
of record systems.

II. Privacy Act

    The Privacy Act embodies fair information practice principles in a 
statutory framework governing the means by which the U.S. Government 
collects, maintains, uses, and disseminates individuals' records. The 
Privacy Act applies to information that is maintained in a ``system of 
records.'' A ``system of records'' is a group of any records under the 
control of an agency for which information is retrieved by the name of 
an individual or by some identifying number, symbol, or other 
identifying particular assigned to the individual. In the Privacy Act, 
an individual is defined to encompass U.S. citizens and lawful 
permanent residents. As a matter of policy, DHS extends administrative 
Privacy Act protections to all individuals where systems of records 
maintain information on U.S. citizens, lawful permanent residents, and 
visitors.
    Below is the description of the DHS/USCIS-014 Electronic 
Immigration System-1 Temporary Accounts and Draft Benefit Requests 
System of Records.
    In accordance with 5 U.S.C. 552a(r), DHS has provided a report of 
this system of records to the Office of Management and Budget and to 
Congress.

System of Records:
DHS/USCIS-014

System name:
    DHS/USCIS-014 Electronic Immigration System-1 Temporary Accounts 
and Draft Benefit Requests System of Records.

Security classification:
    Unclassified .

System location:
    Records are maintained at the USCIS Headquarters in Washington, DC 
and field offices.

Categories of individuals covered by the system:
    Electronic Immigration System-1 Temporary Accounts and Draft 
Benefit Requests (USCIS ELIS Temporary Accounts and Draft Benefit 
Requests) stores and/or uses information about individuals who receive 
or petition for benefits under the Immigration and Nationality Act, as 
amended. These individuals include: 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 an 
Applicant (Co-Applicants); attorneys and Board of Immigration Appeals 
accredited representatives (Representatives); and individuals that 
assist in the preparation of the benefit request.

Categories of records in the system:
    Temporary USCIS ELIS account information includes the following 
from all of the categories of individuals above. If an Applicant or 
Representative formally submits a benefit request within the 30-day 
window, USCIS proposes converting the temporary account to a permanent 
USCIS ELIS

[[Page 60066]]

account and retaining the information according to the Electronic 
Immigration System-2 Account and Case Management SORN and Electronic 
Immigration System-3 Automated Background Functions SORN. An 
Applicant's temporary USCIS ELIS account registration information 
includes the following:
     Valid e-mail address
     Password
     Challenge questions and answers
     Telephone Number (optional)

    All benefit requests about the Applicant or Co-Applicant includes 
the following information:
     Alien Registration Number(s).
     Full name and any alias(es) used.
     Physical and mailing address(es).
     Immigration status.
     Date of birth.
     Place of birth (city, state, and country).
     Country of citizenship.
     Gender.
     Contact information (Phone number(s), E-mail address).
     Military status.
     Government-issued identification (e.g. passport, driver's 
license):
    [cir] document type.
    [cir] issuing organization.
    [cir] document number.
    [cir] expiration date.
     Benefit requested.
     IP Address.
     Browser information.
     USCIS ELIS account number (for returning Applicants).

    The following information may be requested for benefit-specific 
eligibility:
     Arrival/Departure Information.
     Family Relationships (e.g., Parent, Spouse, Sibling, 
Child, Other Dependents, etc., as well as polygamy, custody, 
guardianship, and other relationship issues).
     USCIS Receipt/Case Number.
     Personal Background Information (e.g., involvement with 
national security threats, Communist party, torture, genocide, killing, 
injuring, forced sexual contact, limiting or denying others religious 
beliefs; service in military or other armed groups; work in penal or 
detention systems, weapons distribution, combat training, etc.).
     Health Information (e.g., communicable disease, physical 
or mental disorder, prostitution, drug abuse, etc.).
     Education History.
     Work History.
     Financial Information (income, expenses, scholarships, 
savings, assets, property, financial support, supporter information, 
life insurance, debts, encumbrances, etc.).
     Social Security Number, if applicable.
     Supporting documentation as necessary (i.e. Birth 
Certificate).
     Criminal Records.

    Preparer information includes:
     Name.
     Organization.
     Physical and Mailing Addresses.
     Phone and Fax Numbers.
     Paid/Not Paid.
     Relationship to Applicant.

    Representative information includes:
     Name.
     Law Firm/Recognized Organization.
     Physical and Mailing Addresses.
     Phone and Fax Numbers.
     E-mail Address.
     Attorney Bar Card Number or Equivalent.
     BAR Membership.
     Accreditation Date.
     BIA Representative Accreditation Expiration Date.
     Law Practice Restriction Explanation.

Authority for maintenance of the system:
    The Immigration and Nationality Act of 1952, Public Law 82-414, 
sections 101 and 103, as amended.

Purpose(s):
    The purpose of the system collecting this information is to provide 
an Applicant with a temporary account so that he or she may submit a 
benefit request through USCIS ELIS for the first time. All draft 
benefit request information is collected to assist the Applicant or 
Representative in providing all of the information necessary to request 
a benefit. If a first-time Applicant does not formally submit a benefit 
request within 30 days of opening the temporary account, the 
information will be deleted. If an Applicant or Representative formally 
submits a benefit request within the 30-day window, USCIS proposes 
converting the temporary account to a permanent USCIS ELIS account and 
retaining the information according to the USCIS ELIS Account and Case 
Management SORN and USCIS ELIS Automated Background Functions SORN.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    A. To appropriate agencies, entities, and persons when:
    1. DHS suspects or has confirmed that the security or 
confidentiality of information in the system of records has been 
compromised;
    2. DHS has determined that as a result of the suspected or 
confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, harm to the security or integrity 
of this system or other systems or programs (whether maintained by DHS 
or another agency or entity), or harm to the individual that relies 
upon the compromised information; and
    3. The disclosure made to such agencies, entities, and/or persons 
is reasonably necessary to assist in connection with DHS's efforts to 
respond to the suspected or confirmed compromise and prevent, minimize, 
or remedy such harm.
    B. To contractors and their agents, grantees, experts, consultants, 
and others performing or working on a contract, service, grant, 
cooperative agreement, or other assignment for DHS, when necessary to 
accomplish an agency function related to this system of records. 
Individuals provided information under this routine use are subject to 
the same Privacy Act requirements and limitations on disclosure as are 
applicable to DHS officers and employees.
    If a benefit request has been submitted to USCIS within 30 days of 
initiation, the information will become permanent and shared according 
to the routine uses listed in the Electronic Immigration System-2 
Account and Case Management SORN and Electronic Immigration System-3 
Automated Background Functions SORN in order to maintain USCIS ELIS 
accounts and determine eligibility for requested benefits.

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records in this system are stored electronically or on paper in 
secure facilities in a locked drawer behind a locked door. The records 
are stored on magnetic disc and/or tape to maintain a real-time copy of 
the data for disaster recovery purposes. Real-time copies of data are 
deleted at the same time as the original data.

Retrievability:
    Records may be retrieved by any of the data elements listed above 
or combination thereof.

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

[[Page 60067]]

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

Retention and disposal:
    USCIS has submitted to the National Archives and Records 
Administration (NARA) a retention schedule for these records. USCIS 
proposes that information collected for an Applicant's temporary 
account and all draft benefit requests will be retained for 30 days 
after initiation. If a first-time Applicant does not formally submit a 
benefit request within 30 days of opening the temporary account, the 
information will be deleted. If an Applicant or Representative formally 
submits a benefit request within the 30-day window, USCIS proposes 
converting the temporary account to a permanent USCIS ELIS account and 
retaining the information according to the Electronic Immigration 
System-1 Account and Case Management SORN and Electronic Immigration 
System-2 Automated Background Functions SORN.

System Manager and address:
    The DHS system manager is the Chief, Records Division, U.S. 
Citizenship and Immigration Services, Department of Homeland Security, 
U.S. Citizenship and Immigration Services, 20 Massachusetts Avenue, 
NW., Washington, DC 20529.

Notification procedure:
    Individuals seeking notification of and access to any record 
contained in this system of records, or seeking to contest its content, 
may log in to USCIS ELIS to amend their information within the 30-day 
window. If they submit a benefit request, the information will still be 
available by logging in to their USCIS ELIS account and may be amended 
through the processes described in the USCIS ELIS Account and Case 
Management SORN and USCIS ELIS Automated Background Functions SORN.
    Because of the temporary nature of this data, records will not 
likely be available for FOIA requests. However, individuals are free to 
request records pertaining to them by submitting a request in writing 
to the National Records Center, FOIA/PA Office, P.O. Box 648010, Lee's 
Summit, MO 64064-8010. Specific FOIA contact information can be found 
at http://www.dhs.gov/foia under ``Contacts.'' If an individual 
believes more than one component maintains Privacy Act records 
concerning him or her, the individual may submit the request to the 
Chief Privacy Officer and Chief Freedom of Information Act Officer, 
Department of Homeland Security, 245 Murray Drive SW., Building 410, 
STOP-0655, Washington, DC 20528.
    When seeking records about yourself from this system of records or 
any other Departmental system of records your request must conform with 
the Privacy Act regulations set forth in 6 CFR part 5. You must first 
verify your identity, meaning that you must provide your full name, 
current address, and date and place of birth. You must sign your 
request and your signature must either be notarized or submitted under 
28 U.S.C. 1746, a law that permits statements to be made under penalty 
of perjury as a substitute for notarization. While no specific form is 
required, you may obtain forms for this purpose from the Chief Privacy 
Officer and Chief Freedom of Information Act Officer, http://www.dhs.gov or 1-866-431-0486. In addition you should provide the 
following:
     An explanation of why you believe the Department would 
have information on you;
     Identify which component(s) of the Department you believe 
may have the information about you;
     Specify when you believe the records would have been 
created;
     Provide any other information that will help the FOIA 
staff determine which DHS component agency may have responsive records; 
and
     If your request is seeking records pertaining to another 
living individual, you must include a statement from that individual 
certifying his/her agreement for you to access his/her records.
    Without this bulleted information the component(s) may not be able 
to conduct an effective search and your request may be denied due to 
lack of specificity or lack of compliance with applicable regulations.

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

Contesting record procedures:
    See ``Notification procedure'' above.

Record source categories:
    Records are obtained from the Applicant or his or her 
Representative.

Exemptions claimed for the system:
    None.

    Dated: September 15, 2011.
Mary Ellen Callahan,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2011-24936 Filed 9-27-11; 8:45 am]
BILLING CODE 9111-97-P
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