Privacy Act of 1974 System of Records
| Published date | 27 October 2021 |
| Citation | 86 FR 59408 |
| Record Number | 2021-23342 |
| Section | Notices |
| Court | Homeland Security Department |
Federal Register, Volume 86 Issue 205 (Wednesday, October 27, 2021)
[Federal Register Volume 86, Number 205 (Wednesday, October 27, 2021)]
[Notices]
[Pages 59408-59411]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-23342]
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DEPARTMENT OF HOMELAND SECURITY
[Docket No. USCIS-2021-0019]
Privacy Act of 1974 System of Records
AGENCY: Office of the Citizenship and Immigration Services Ombudsman,
Department of Homeland Security.
ACTION: Notice of a modified system of records.
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SUMMARY: In accordance with the Privacy Act of 1974, the U.S.
Department of Homeland Security (DHS) proposes to modify and reissue
the current DHS system of records notice titled, ``DHS/Office of the
Citizenship and Immigration Services Ombudsman (CISOMB)-001 Virtual
Ombudsman System'' and rename it as, ``DHS/CISOMB-001 Case Assistance
Analytics and Data Integration (CAADI) System.'' This system of records
enables the DHS Office of the Citizenship and Immigration Services
Ombudsman (CIS Ombudsman) to perform its statutory mission, which is
to: (1) Assist individuals and employers who are experiencing
difficulty resolving immigration benefit-related matters with U.S.
Citizenship and Immigration Services (USCIS); (2) identify systemic
problems and challenges with the delivery of immigration benefits; and
(3) propose changes in the administrative practices of USCIS to
mitigate those problems and challenges. This updated system will be
included in the DHS inventory of records systems.
DATES: Submit comments on or before November 26, 2021. This modified
system will be effective upon publication. New or modified routine uses
will be effective November 26, 2021.
ADDRESSES: You may submit comments, identified by docket number DHS-
2021-0019 by one of the following methods:
Federal e-Rulemaking Portal: http://www.regulations.gov.
Follow the instructions for submitting comments.
Fax: 202-343-4010.
Mail: Lynn Parker Dupree, Chief Privacy Officer, Privacy
Office, U.S. Department of Homeland Security, Washington, DC 20528-
0655.
Instructions: All submissions received must include the agency name
and docket number DHS-2021-0019. 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:
Zoubair Moutaoukil (202) 357-8100, Privacy Point of Contact, Office of
the Citizenship and Immigration Services Ombudsman, Washington, DC
20528. For privacy questions, please contact: Lynn Parker Dupree, (202)
343-1717, Chief Privacy Officer, Privacy Office, U.S. Department of
Homeland Security, Washington, DC 20528-0655.
SUPPLEMENTARY INFORMATION:
I. Background
Pursuant to the Privacy Act of 1974, 5 U.S.C. 552a, the CIS
Ombudsman is giving notice that it proposes to update, rename, and
reissue the current system of records titled, ``DHS/CISOMB-001 Virtual
Ombudsman System'' as the ``DHS/CISOMB-001 Case Assistance
[[Page 59409]]
Analytic Data Integration (CAADI) System of Records.'' This system of
records will ensure the efficient and secure processing of information
to aid the CIS Ombudsman in providing assistance to individuals and
employers and their representatives in resolving problems with USCIS;
identifying areas in which individuals, employers, and their
representatives have problems in dealing with USCIS; and to the extent
possible, proposing administrative changes to mitigate those problems.
This SORN is being updated to: (1) Provide notice that applicants
are allowed to submit the DHS Case Assistance Form 7001 online via the
website, https://www.dhs.gov/topic/cis-ombudsman/forms/7001; (2)
provide more specificity on the Categories of Records collected; (3)
clarify the record source categories, to include information received
from other agencies during processing; (4) modify Routine Use ``E'' and
add Routine Use ``F'' to conform to OMB Memorandum M-17-12; and (5)
update the retention schedule.
CAADI is used to efficiently manage the workflow of the submitted
requests for case assistance. Individuals/employers (or their legal/
accredited representatives) seeking case assistance from the CIS
Ombudsman submit their request using the Form DHS-7001, Case Assistance
Form, which can be completed and submitted electronically on the CIS
Ombudsman website. Individuals/employers are also able to attach and
submit supporting documentation related to their request, such as
paperwork previously submitted to USCIS. Cases within CAADI have a
corresponding field for each section of Form DHS-7001, so that each
piece of information entered by the individual/employer appears in the
CAADI record.
CAADI assists the CIS Ombudsman in accomplishing its statutory
mandate in a more efficient and effective manner and reduces the amount
of time dedicated to data entry and collection by affording an
individual or employer with the option to submit their information
electronically. CIS Ombudsman also uses the data from this system of
records to generate reports and statistics to assist with identifying
systemic challenges and trends, as well as proposing changes to
mitigate those issues.
CIS Ombudsman personnel, when appropriate, may send inquiries to
USCIS and other DHS Components, as well as the U.S. Departments of
State, Labor, and Justice, to resolve case issues or to obtain case
status. The CIS Ombudsman may provide those departments with
information such as receipt numbers and beneficiary or petitioners'
names to obtain status updates in order to assist individuals and
employers. This type of information is generally stored in those
agencies' files, records, and databases.
II. Privacy Act
The Privacy Act embeds Fair Information Practice Principles in a
statutory framework governing the means by which Federal Government
agencies collect, maintain, use, secure, and disseminate individuals'
records. The Privacy Act applies to information that is maintained in a
``system of records,'' a group of any records under the control of an
agency from which information is retrieved by the name of an individual
or by some identifying number, symbol, or other identifier assigned to
the individual. In the Privacy Act, an individual is defined to
encompass U.S. citizens and lawful permanent residents. Additionally,
and similarly, the Judicial Redress Act (JRA) provides covered persons
with a statutory right to make requests for access and amendment to
covered records, as defined by the JRA, along with judicial review for
denials of such requests. In addition, the JRA prohibits disclosures of
covered records, except as otherwise permitted by the Privacy Act.
The description of the DHS/CISOMB-001 Case Assistance Analytic Data
Integration (CAADI) System of Records is provided below.
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:
SYSTEM NAME AND NUMBER:
U.S. Department of Homeland Security (DHS)/Office of Citizenship
and Immigration Services Ombudsman-001 Case Assistant Analytic Data
Integration System (CAADI) System of Records.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Records are maintained at the Office of Citizenship and Immigration
Services Ombudsman in Washington, DC.
SYSTEM MANAGER(S):
Kelly Kingsley, Management and Program Analyst, (202) 357-8485,
Office of Citizenship and Immigration Services Ombudsman, 375 E St. SW,
Washington, DC 20024.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 452 of the Homeland Security Act of 2002; 6 U.S.C. 272.
PURPOSE(S) OF THE SYSTEM:
The purpose of this system of records is to provide efficient and
secure case management and processing of information related to
individuals and employers experiencing problems with USCIS.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Any individuals or persons, including their employers or
representatives, who are seeking assistance from the CIS Ombudsman in
resolving general problems with USCIS.
CATEGORIES OF RECORDS IN THE SYSTEM:
The CIS Ombudsman collects the following information via Form DHS-
7001 from individuals who seek assistance in resolving problems with
USCIS:
Full legal name, including any aliases;
Date and country of birth;
Country of citizenship;
A-Number;
Contact information, including mailing address, email
address, phone number, and fax number;
Full legal name of person preparing the form if other than
the individual named in the application or petition;
Applications and/or petitions filed;
Receipt number received from USCIS in response to
application/petition filed;
Immigration status or interim benefit applied or
petitioned for;
Type of case problem;
Source of case problem;
Description of case problem;
Prior actions taken to remedy the problem;
Designated attorney/representative name, address, phone
number, email address, and fax number;
Supporting documentation attached to submissions, such as
evidence submitted to USCIS, documents received from USCIS, or other
information the individual feels is relevant or important;
Consent of the petitioner for USCIS to disclose
information in the file to the designated representative, if
applicable;
Verification statement signed and dated by the subject of
the request or the authorized representative; and
Declaration by the attorney or accredited representative
submitting the case problem.
RECORD SOURCE CATEGORIES:
Records are obtained from individuals or persons seeking
assistance, including
[[Page 59410]]
their employers or representatives, and USCIS, or other agencies such
as the U.S. Departments of State, Labor, and Justice.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
In addition to those disclosures generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a portion of the records or
information contained in this system may be disclosed outside DHS as a
routine use pursuant to 5 U.S.C. 552a(b)(3), as follows:
A. To the Department of Justice (DOJ), including the U.S.
Attorney's Offices, or any other federal agencies conducting litigation
or proceedings before any court, adjudicative, or administrative body,
when it is relevant or necessary to the litigation and one of the
following is a party to the litigation or has an interest in such
litigation:
1. DHS or any Component thereof;
2. Any employee or former employee of DHS in his/her official
capacity;
3. Any employee or former employee of DHS in his/her individual
capacity, only when DOJ or DHS has agreed to represent the employee; or
4. The United States or any agency thereof.
B. To a congressional office from the record of an individual in
response to an inquiry from that congressional office made at the
request of the individual to whom the record pertains.
C. To the National Archives and Records Administration (NARA) or
General Services Administration (GSA) pursuant to records management
inspections being conducted under the authority of 44 U.S.C. 2904 and
2906.
D. To an agency or organization for the purpose of performing audit
or oversight operations as authorized by law, but only such information
as is necessary and relevant to such audit or oversight function.
E. To appropriate agencies, entities, and persons when (1) DHS
suspects or has confirmed that there has been a breach of the system of
records; (2) DHS has determined that, as a result of the suspected or
confirmed breach, there is a risk of harm to individuals, DHS
(including its information systems, programs, and operations), the
Federal Government, or national security; and (3) the disclosure made
to such agencies, entities, and persons is reasonably necessary to
assist in connection with DHS's efforts to respond to the suspected or
confirmed breach, or to prevent, minimize, or remedy such harm.
F. To another federal agency or entity, when DHS determines that
information from this system of records is reasonably necessary to
assist the recipient agency or entity in (1) responding to a suspected
or confirmed breach or (2) preventing, minimizing, or remedying the
risk of harm to individuals, the recipient agency or entity (including
its information systems, programs, and operations), the Federal
Government, or national security, resulting from a suspected or
confirmed breach.
G. To an appropriate federal, state, tribal, local, international,
or foreign law enforcement agency or other appropriate authority
charged with investigating or prosecuting a violation or enforcing or
implementing a law, rule, regulation, or order, when a record, either
on its face or in conjunction with other information, indicates a
violation or potential violation of law, which includes criminal,
civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the
disclosure.
H. To 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.
I. To an attorney or representative who is acting on behalf of an
individual covered by this system of records to obtain the individual's
information submitted to the CAADI System.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
The CIS Ombudsman stores records in this system electronically or
on paper in secure facilities in a locked drawer behind a locked door.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
The CIS Ombudsman's retrieves records by Case Number, A-Number, or
the individual's name.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
In accordance with NARA's approved retention and disposal schedule
DAA-0563-2019-0004-0001, the processed case files are resolved at the
final disposition of the case and are deleted or destroyed three years
after resolution. Incomplete case files are the record copy of cases
where additional information is requested, but not received. The CIS
Ombudsman's procedure is to close such cases seven days after the
request for additional information, if such information is not
received. These records are also deleted or destroyed three years after
resolution.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
The CIS Ombudsman safeguards records in this system according to
applicable rules and policies, including all applicable DHS automated
systems security and access policies. The CIS Ombudsman has imposed
strict controls to minimize the risk of compromising the information
that is 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.
RECORD ACCESS PROCEDURES:
Individuals seeking access to and notification of any record
contained in this system of records, or seeking to contest its content,
may submit a request in writing to the DHS Chief Privacy Officer and
Chief Freedom of Information Act Officer, whose contact information can
be found on page two of this document. If an individual believes more
than one DHS Component maintains Privacy Act records concerning him or
her, the individual may submit the request to the DHS Chief Privacy
Officer and Chief Freedom of Information Act Officer. Even if neither
the Privacy Act nor the JRA provide a right of access, certain records
about you may be available under the Freedom of Information Act (FOIA).
When an individual is seeking records about himself or herself from
this system of records or any other Departmental system of records, the
individual's request must conform with the Privacy Act regulations set
forth in 6 CFR part 5. The individual must first verify his/her
identity, meaning that the individual must provide his/her full name,
current address, and date and place of birth. The individual must sign
the request, and the individual's 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. In
addition, the individual should:
Explain why he or she believes the Department would have
the information being requested;
Identify which DHS Component may have the information;
Specify when the individual believes the records would
have been created; and
[[Page 59411]]
Provide any other information that will help the FOIA
staff determine which DHS component agency may have responsive records.
If the request is seeking records pertaining to another living
individual, the request must include an authorization from the
individual whose record is being requested, authorizing the release to
the requester.
Without the information above, the DHS Component(s) may not be able
to conduct an effective search, and the individual's request may be
denied due to lack of specificity or lack of compliance with applicable
regulations.
CONTESTING RECORD PROCEDURES:
For records covered by the Privacy Act or covered JRA records,
individuals may make a request for amendment or correction of a record
of the Department about the individual by writing directly to the DHS
Component that maintains the record, unless the record is not subject
to amendment or correction. The request should identify each particular
record in question, state the amendment or correction desired, and
state why the individual believes that the record is not accurate,
relevant, timely, or complete. The individual may submit any
documentation that would be helpful. If the individual believes that
the same record is in more than one system of records, the request
should state that and be addressed to each component that maintains a
system of records containing the record. The CIS Ombudsman may amend
requestor-specific information upon notification from that individual.
Additionally, the CIS Ombudsman may verify information submitted by the
requestor against other agency databases; amendments may also be made
as a result. Amendments may be made in case notes or by overwriting
inaccurate information. Requestors are notified of material changes.
NOTIFICATION PROCEDURES:
See ``Record Access Procedures'' above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
When this system receives a record from another system 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.
HISTORY:
DHS/CISOMB-001, 75 FR 18857 (April 13, 2010).
* * * * *
Lynn Parker Dupree,
Chief Privacy Officer, U.S. Department of Homeland Security.
[FR Doc. 2021-23342 Filed 10-26-21; 8:45 am]
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