[Federal Register Volume 72, Number 107 (Tuesday, June 5, 2007)]
[Notices]
[Pages 31086-31090]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 07-2783]



[[Page 31086]]

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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2007-0019]


Privacy Act; Inter-Country Adoptions

AGENCY: Privacy Office, Department of Homeland Security (DHS).

ACTION: Notice of Privacy Act system of records notice.

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SUMMARY: Pursuant to the Privacy Act of 1974, the Department of 
Homeland Security, U.S. Citizenship and Immigration Services (USCIS) is 
updating and re-issuing a legacy system of records, Department of 
Justice DOJ/Immigration and Naturalization (INS)--007 SORN known as 
Orphan Petitioner Index and Files that was published on July 27, 2001, 
66 FR 39199. This system of records will now be referred to as DHS/
USCIS-005 Inter-Country Adoptions.

DATES: Written comments must be submitted on or before July 5, 2007.

ADDRESSES: 
    You may submit comments, identified by DOCKET NUMBER DHS-2007-0019 
by one of the following methods:
     Federal e-Rulemaking portal: http://www.regulations.gov. 
Follow the instructions for submitting comments via docket number DHS 
2007-0019. All comments received will be posted without change to 
http://www.regulations.gov, including any personal information 
provided.
     Fax: 1-866-466-5370.
     Mail: Hugo Teufel III, DHS Chief Privacy Officer, 
Department of Homeland Security, Washington, DC 20528.
     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: 
Patrick Kernan, 20 Massachusetts Avenue, NW., Washington, DC 20529, by 
telephone (202) 272-9522. For privacy issues, please contact: Hugo 
Teufel III (571-227-3813), Chief Privacy Officer, Privacy Office, U.S. 
Department of Homeland Security, Washington, DC 20528.

SUPPLEMENTARY INFORMATION:

I. Background

    DHS implements United States immigration law and policy through the 
USCIS's processing and adjudication of applications and petitions 
submitted for citizenship, asylum, and other immigration benefits. 
USCIS also supports national security by preventing individuals from 
fraudulently obtaining immigration benefits and by denying applications 
from individuals who pose national security or public safety threats. 
United States Immigration policy and law is also implemented through 
Immigration and Customs Enforcement's (ICE) law enforcement activities 
and Customs and Border Protection's (CBP) inspection process and 
protection of our borders.
    USCIS is embarking on an enterprise-wide ``Transformation Program'' 
that will transition the agency from a fragmented, form-centric, and 
paper-based operational environment to a centralized, person-centric, 
consolidated environment utilizing electronic adjudication. The new 
operational environment will employ the types of online customer 
accounts used in the private sector. This ``person-centric'' model will 
link information related to an individual in a single account in order 
to facilitate customer friendly transactions, track activities, and 
reduce identity fraud.
    The Secure Information Management Service (SIMS) is a web-based, 
information and case management service that enables authorized USCIS 
representatives to perform end-to-end processing of applications while 
providing the agency with the ability to better associate and manage 
relationships with those seeking immigration related benefits.
    To support this effort, USCIS is deploying a series of pilots to 
validate key concepts of the program's mission. One of the key 
functions of the SIMS deployment is to demonstrate the overall benefits 
of the USCIS Transformation Project. Using the inter-country adoption 
caseload as a ``proof-of-concept'' of the SIMS, this pilot will 
demonstrate the case processing capability of the case management 
system, verify that an enumerator (unique identifier based on 
biometrics) supports the USCIS person-centric business process, and 
verify that the case management system can be used to view digitized 
files.
    The SIMS will utilize the Enumeration Services of DHS's US-VISIT 
Program, when deployed, to establish a unique identity for each 
individual interacting with USCIS. Enumeration Services will establish 
an enterprise-wide unique personal identifier, known as the enumerator, 
based on 10 fingerprints and limited biographic information of an 
individual. An enumerator is a randomly generated alphanumeric unique 
identifier that is used to link disparate records associated with an 
individual for the purpose of identification. Enumeration will allow 
USCIS to consolidate information on an individual and facilitate 
identity verification, risk evaluation, and benefit eligibility.
    In addition, the SIMS will utilize digitized Alien Registration 
Files (A-Files) generated through USCIS's Integrated Digitization 
Document Management Program (IDDMP). System of Records Notice for A-
Files and the Central Index System was published on January 16, 2007, 
72 FR 1755. IDDMP enables USCIS to scan, store and view immigration 
paper files and related documents while integrating to person-centric 
records, making them electronically available to USCIS and other 
agencies.

Current Adoption Process

    The current adoption process is a form-centric approach that 
focuses on a series of forms and independent processes, rather than a 
consolidated set of transactions focusing on the customer's primary 
request. Currently, a customer must file multiple applications to, (1) 
obtain parent qualification and approval, (2) adopt a child, and (3) 
obtain citizenship for a child.
    Generally, customers residing in the U.S. must file adoption 
applications with the local USCIS office with jurisdiction over their 
place of residence in the U.S. Customers residing outside of the U.S. 
must contact the nearest American consulate or embassy that will take 
action on their application. Should a customer move during the adoption 
process, USCIS must transfer his case to a different jurisdiction, 
resulting in longer processing times and limiting access to the file to 
a single adjudicator. Utilizing paper-based files results in high 
transmittal costs and requires a complex record management system.
    Customers may be engaged in the adoption process over a multi-year 
period depending upon the country from which they seek to adopt because 
of the differences in legal requirements in each foreign country. USCIS 
regulations dictate that applications expire in 18 months in order to 
ensure that home studies are current. As a result, customers may be 
required to re-file their applications. Currently, re-filing is the 
same as starting the process all over again. This process results in 
additional cost and time to complete the filing requirements.

New Operational Concept

    The new operational concept will facilitate interactions between 
USCIS and adoptive parents or their

[[Page 31087]]

representatives. Each adoption application request will link to an 
existing SIMS account or trigger the creation of a new SIMS account 
that contains personally identifiable information. All adoption 
requests related to an individual will be contained in a SIMS case that 
tracks the actions required to adjudicate the adoption or 
naturalization request. The priorities of the new concept are as 
follows:
     Establish a person-centric view for individuals associated 
with a case, utilizing the Enumeration Service of the US-VISIT program 
to establish a unique identity for each individual that is required by 
USCIS to be fingerprinted.
     Provide a centralized, web-based repository for the data 
that provides access to all the documents related to a case, thereby 
eliminating the need for a paper application or a case file. However, 
for purposes of this pilot and to ensure continuity of operations, 
USCIS will maintain the paper file as a backup to the newly created 
electronic file.
    If it is determined that this new operational concept is valid, 
USCIS will consider adding additional application types and 
functionality to the SIMS and as appropriate, update the relevant 
system of records notices for those programs that use this new 
technology. As part of DHS's ongoing efforts to increase transparency 
and update legacy system of records notices, USCIS reviewed and is 
updating and re-issuing Department of Justice DOJ/Immigration and 
Naturalization (INS)-007 SORN, known as Orphan Petitioner Index and 
Files that was published on July 27, 2001, 66 FR 39199 to account for 
the new capabilities that SIMS offers that were not previously covered 
by the legacy SORN. The legacy SORN will be retired and replaced with 
the DHS/USCIS-005 Inter-country Adoptions system of records.
    Consistent with DHS's information sharing mission, information 
stored in the Adoptions portion of SIMS may be shared with other DHS 
components, as well as appropriate federal, state, local, tribal, 
foreign, or international government agencies. This sharing will only 
take place after DHS determines that the receiving component or agency 
has a need to know the information to carry out national security, law 
enforcement, immigration, intelligence, or other functions consistent 
with the routine uses set forth in this system of records notice.
    Types of information sharing that may result from the routine uses 
outlined in this notice include: (1) Disclosure to social worker or 
federal, state, or local government agency to determine the applicants' 
suitability for adopting a child; (2) disclosure to individuals who are 
working as a contractor or with a similar relationship working on 
behalf of DHS; (3) sharing when there appears to be a specific 
violation or potential violation of law, or identified threat or 
potential threat to national or international security, such as 
criminal or terrorist activities, based on individual records in this 
system; (4) sharing with the National Archives and Records 
Administration (NARA) for proper handling of government records; (5) 
sharing when relevant to litigation associated with the Federal 
government; and (6) sharing to protect the individual who is the 
subject of the record from the harm of identity theft in the case of a 
data breach affecting this system.

II. The Privacy Act

    The Privacy Act embodies Fair Information principles in a statutory 
framework governing the means by which the United States Government 
collects, maintains, uses, and disseminates personally identifiable 
information. 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 from which information is 
retrieved by the name of an individual or by some identifying number, 
symbol, or other identifying particular assigned to the individual. 
Individuals may request their own records that are maintained in a 
system of records in the possession or under the control of DHS by 
complying with DHS Privacy Act regulations, 6 CFR 5.21.
    The Privacy Act requires that each agency publish in the Federal 
Register a description denoting the type and character of each system 
of records in order to make agency recordkeeping practices transparent, 
to notify individuals about the use to which personally identifiable 
information is put, and to assist the individual to more easily find 
files within the agency.
    In accordance with 5 U.S.C. 552a(r), DHS has provided a report of 
this revised system of records to the Office of Management and Budget 
and to the Congress.
System of Records: DHS-USCIS-005

System name:
The Department of Homeland Security (DHS), Inter-country Adoptions 
Security Classification:
    Sensitive; Unclassified.

System location:
    The Inter-country Adoptions information is maintained in the SIMS 
database, which is physically located within USCIS's data center in the 
Washington, DC metropolitan area. Backups are maintained in an 
undisclosed offsite location. Inter-country Adoptions will be 
accessible world-wide from designated USCIS domestic and international 
field offices and service centers that are part of the DHS Network.

Categories of individuals covered by the system:
    A. All individuals seeking an inter-country adoption pursuant to 
the Immigration and Nationality Act, 8 U.S.C. Section 1101(b)(1)(F);
    B. All individuals over the age of 18 residing in a prospective 
adoptive parent's household whose principal or only residence is the 
home of the prospective adoptive parents pursuant to 8 CFR Section 
204.3.
    C. Representatives of the adoptive parents may be contained in this 
system of records;
    D. Minors being adopted pursuant to the Immigration and Nationality 
Act, 8 U.S.C. Section 1101(b)(1)(F); and
    E. Biological mothers, fathers, or custodians of adopted minors.

Categories of records in the system:
    A. Applicant/Petitioner information includes biographic information 
associated with each applicant/petitioner including, but not limited 
to; name, date of birth, country of birth, address, phone numbers, 
family member names, citizenship status, marital status, employment 
status, gender, height, biometrics, and results of background 
investigations (inclusive of home study checks, Federal Bureau of 
Investigation (FBI) checks, Treasury Enforcement Communication System 
(TECS)/Interagency Border Inspection System (IBIS) Name Checks, and FBI 
Fingerprint Checks). The applicant/petitioner information also includes 
uniquely identifiable numbers, including but not limited to: Alien 
Number, Receipt Number, and Social Security Number.
    B. Information related to other individuals over the age of 18 
residing in a prospective adoptive parent's household would be derived 
from newly created inter-country adoption applications. The information 
collected about these individuals includes: full name and date of 
birth.
    C. Information related to the representatives of the adoptive 
parents may include: full name, date of birth, and place of birth.
    D. Information related to the minor(s) being adopted may include 
full name, date of birth, country of birth, and Social Security Number.

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    E. Information related to the minor's biological mother, father, or 
custodian may include full name, date of birth, and country of birth.

Authority of maintenance for the system:
    Sections 103 and 290 of the Immigration and Nationality Act, as 
amended (8 U.S.C. 1103 and 1360), and the regulations issued pursuant 
thereto; and section 451 of the Homeland Security Act of 2002 (Pub. L. 
107-296).

Purpose(s):
    USCIS collects the information on adoptive parents and other 
associated individuals in order to assess the physical, mental, and 
emotional capabilities of the prospective adoptive parents and those 
residing in the house. USCIS also collects information pertaining to 
the minor to be adopted so that he or she can complete the 
naturalization process. Information will be collected on organizations 
that have facilitated the adoption process to include law firms, 
adoption home study providers, adoption placement agencies and adoption 
non-profit organizations so that USCIS will be able to track and verify 
those entities that are authorized to participate in the adoption 
process. Finally, where available USCIS collects biographic information 
relating to the biological parents and the custodians of the minor 
being adopted so that USICS will be able to identify potential 
incidence of fraud.
    The Inter-country Adoptions SORN stores information on individuals 
and organizations associated with the following activities:
     Filing of the Office and Management and Budget (OMB)-
approved versions of USCIS adoption related forms and applications:
     Form I-600, Petition to Classify Orphan as an Immediate 
Relative.
     Form I-600A, Application for Advance Processing of Orphan 
Petition.
     Form N-600, Application for Certificate of Citizenship.
     Form N-600K, Application for Citizenship and Issuance of 
Certificate under Section 322.
     Account setup data for each individual seeking to adopt 
and organization involved in an adoption case.
     FBI Name Checks, TECS/IBIS Name Checks, and FBI 
Fingerprint Checks on other individuals over the age of 18 residing in 
a prospective adoptive parent's household.
    Consistent with DHS's information sharing mission, information 
stored in SIMS may be shared with other DHS components, as well as 
appropriate federal, state, local, tribal, foreign, or international 
government agencies. This sharing will only take place after DHS 
determines that the receiving component or agency has a need to know 
the information to carry out national security, law enforcement, 
immigration, intelligence, or other functions consistent with the 
routine uses set forth in this system of records notice.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    In addition to those disclosures generally permitted under 5 U.S.C. 
Section 552a(b) of the Privacy Act, all or a portion of the records or 
information contained in this system may be disclosed to authorized 
entities, as is determined to be relevant and necessary, outside DHS as 
a routine use pursuant to 5 U.S.C. Section 552a(b)(3) as follows:
    A. To clerks and judges of courts exercising naturalization 
jurisdiction for the purpose of filing petitions for naturalization and 
to enable such courts to determine eligibility for naturalization or 
grounds for revocation of naturalization.
    B. To the Department of State (DoS) in the processing of visas, 
applications, or petitions for benefits under the Immigration and 
Nationality Act, and all other immigration and nationality laws 
including treaties and reciprocal agreements.
    C. To appropriate federal, state, tribal, and local government law 
enforcement and regulatory agencies, foreign governments, and 
international organizations, for example the Department of Defense, the 
DoS, the Department of the Treasury, the Central Intelligence Agency, 
the Selective Service System, the United Nations, and INTERPOL, and 
individuals and organizations during the course of an investigation by 
DHS or the processing of a matter under DHS's jurisdiction, or during a 
proceeding within the purview of the immigration and nationality laws, 
when necessary to elicit information required by DHS to carry out its 
functions and statutory mandates.
    D. To an appropriate federal, state, tribal, local, or foreign 
government agency or organization, or international organization, 
lawfully engaged in collecting law enforcement intelligence, whether 
civil or criminal, or charged with investigating, prosecuting, 
enforcing or implementing civil or criminal laws, related rules, 
regulations or orders, to enable these entities to carry out their law 
enforcement responsibilities, including the collection of law 
enforcement intelligence and the disclosure is appropriate to the 
proper performance of the official duties of the person receiving the 
disclosure.
    E. To the United States Department of Justice (DOJ) (including 
United States Attorneys' offices) or other Federal agency conducting 
litigation or in proceedings before any court, adjudicative or 
administrative body, or to the court or administrative body, when it is 
necessary to the litigation and one of the following is a party to the 
litigation or has an interest in such litigation: (1) Any employee of 
DHS in his/her official capacity; (2) any employee of DHS in his/her 
individual capacity where DOJ or DHS has agreed to represent said 
employee; or (3) the United States or any agency thereof.
    F. To an appropriate federal, state, local, tribal, territorial, 
foreign, or international agency, if the information is relevant and 
necessary to a requesting agency's decision concerning the hiring or 
retention of an individual, or issuance of a security clearance, 
license, contract, grant, or other benefit, or if the information is 
relevant and necessary to a DHS decision concerning the hiring or 
retention of an employee, the issuance of a security clearance, the 
reporting of an investigation of an employee, the letting of a 
contract, or the issuance of a license, grant or other benefit and when 
disclosure is appropriate to the proper performance of the official 
duties of the person making the request.
    G. To an attorney or representative (as defined in 8 CFR 1.1(j)) 
who is acting on behalf of an individual covered by this system of 
records in connection with any proceeding before USCIS or the Executive 
Office for Immigration Review.
    H. To a Congressional office from the record of an individual in 
response to an inquiry from that Congressional office made at the 
request of that individual.
    I. To NARA or other Federal government agencies pursuant to records 
management inspections being conducted under the authority of 44 U.S.C. 
Sections 2904 and 2906.
    J. To a Federal, state or local government agency seeking to verify 
or ascertain the citizenship or immigration status of any individual 
within the jurisdiction of the agency for any purpose authorized by 
law.
    K. 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. Those 
provided information under this routine use are subject to the

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same Privacy Act limitations as are applicable to DHS officers and 
employees.
    L. To the appropriate federal, state, local, tribal, territorial, 
or foreign, or international agency responsible for investigating, 
prosecuting, enforcing, or implementing a statute, rule, regulation, or 
order, where DHS becomes aware of, or in conjunction with other 
information determines, that a violation or potential violation of 
civil or criminal law has occurred.
    M. To the Social Security Administration (SSA) for the purpose of 
issuing a Social Security number and card to an alien who has made a 
request for a Social Security number as part of the immigration process 
and in accordance with any related agreements in effect between the 
SSA, DHS, and the DoS entered into pursuant to 20 CFR 422.103(b) (3); 
422.103(c); and 422.106(a), or other relevant laws and regulations.
    N. To Federal and foreign government intelligence or 
counterterrorism agencies or components where DHS becomes aware of an 
indication of a threat or potential threat to national or international 
security, or when the information is needed to assist in anti-terrorism 
efforts and disclosure is appropriate to the proper performance of the 
official duties of the person making the disclosure;
    O. To appropriate agencies, entities, and persons when:
    (1) It is suspected or confirmed that the security or 
confidentiality of information in the system of records has been 
compromised;
    (2) It is 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, or harm to the security or integrity of this 
system or other systems or programs (whether maintained by DHS or 
another agency or entity) that rely upon the compromised information; 
and
    (3) The disclosure is made to such agencies, entities, and persons 
when reasonably necessary to assist in connection with efforts to 
respond to the suspected or confirmed compromise and prevent, minimize, 
or remedy such harm.
    P. To officials of other federal, state, and local government 
agencies and adoption agencies and social workers to elicit information 
required for making a final determination of the petitioner's ability 
to care for a beneficiary.

Disclosure to Consumer Reporting Agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining 
and disposing of records in the system: Storage:
    Records in the system will be stored in an electronic database 
repository housed in USCIS's data center.

Retrievability:
    The following data elements may be used to initiate a query in 
order to retrieve data from the Inter-country Adoptions System of 
Records within SIMS. These data elements include an individual's Name 
and Date of Birth, Enumerator, SIMS Account Number, and SIMS Case 
Number.

Safeguards:
    USCIS offices are located in secure, guarded buildings and access 
to premises requires official identification. Information in this 
system is also safeguarded in accordance with applicable laws, rules 
and policies including the DHS Information Technology Security Programs 
Handbook. All records are protected from unauthorized access through 
appropriate administrative, physical, and technical safeguards 
including restricting access to authorized personnel who require 
information in the records for the performance of their official 
authorized duties, using locks, and password protection identification 
features.
    Information in this system is safeguarded in accordance with 
applicable laws and policies, including the DHS information technology 
security policies and the Federal Information Security Management Act 
(FISMA). All records are protected from unauthorized access through 
appropriate administrative, physical, and technical safeguards. These 
safeguards include restricting access to authorized personnel who have 
a need-to-know through the use of locks and password protection 
features. The system is also protected through a multi-layer security 
approach. The protective strategies are physical, technical, 
administrative and environmental in nature, which provide access 
control to sensitive data, physical access control to DHS facilities, 
confidentiality of communications, authentication of sending parties, 
and personnel screening to ensure that all personnel with access to 
data are screened through background investigations commensurate with 
the level of access required to perform their duties.

Retention and Disposal:
    USCIS is working with NARA to develop a retention and disposal 
schedule for data contained within SIMS. USCIS's proposal for retention 
and disposal of these records is to store and retain adoption related 
records for 75 years, during which time the records will be archived. 
The 75 year retention period is derived from the length of time USCIS 
may interact with a customer. The proposed retention and disposal 
schedule is based upon a holistic adoption ``case'' which will contain 
each of the USCIS adoption related applications and supporting 
documentation. It should be noted that for purposes of the SIMS pilot a 
hardcopy record of all adoption related applications and supporting 
documentation will be maintained by USCIS. The SIMS retention and 
disposal schedule will be reviewed and updated accordingly as 
additional USCIS applications and system functionalities are added to 
SIMS.

System manager(s) and address:
    Robert Genesoni, Pilot Branch Chief, Transformation Program Office, 
U.S. Citizenship and Immigration Services (USCIS) Transformation 
Program Office, Department of Homeland Security, 111 Massachusetts 
Avenue, NW., Fifth Floor, Washington, DC 20529.

Notification procedure:
    In order to gain access to one's information stored in the Inter-
country Adoptions portion of the SIMS database, a request for access 
must be made in writing and addressed to the Freedom of Information 
Act/Privacy Act (FOIA/PA) officer at USCIS. Individuals who are seeking 
information pertaining to themselves are directed to clearly mark the 
envelope and letter ``Privacy Act Request.'' Within the text of the 
request, the subject of the record must provide his/her account number 
and/or the full name, date and place of birth, and notarized signature, 
and any other information which may assist in identifying and locating 
the record, and a return address. For convenience, individuals may 
obtain Form G-639, FOIA/PA Request, from the nearest DHS office and 
used to submit a request for access. The procedures for making a 
request for access to one's records can also be found on the USCIS Web 
site, located at www.uscis.gov.
    An individual who would like to file a FOIA/PA request to view 
their USCIS record may do so by sending the request to the following 
address:
    U.S. Citizenship and Immigration Services, National Records Center, 
FOIA/PA Office, P.O. Box 648010, Lee's Summit, MO 64064-8010.

[[Page 31090]]

Record access procedures:
    See procedures as stated in the ``Notification procedure'' section 
above.

Contesting records procedures:
    See procedures as stated in the ``Notification procedure'' section 
above.

Record source categories:
    Information contained in this system of records is primarily 
supplied by individuals, seeking to adopt, on the OMB-approved versions 
of the following USCIS applications and forms:
     Form I-600, Petition to Classify Orphan as an Immediate 
Relative.
     Form I-600A, Application for Advance Processing of Orphan 
Petition.
     Form N-600, Application for Certificate of Citizenship.
     Form N-600K, Application for Citizenship and Issuance of 
Certificate under Section 322.
    Information contained in this system of records is also obtained 
from:
     SIMS account registration data obtained from each 
individual seeking to adopt, representatives of prospective adoptive 
parents and other organizations involved in an adoption case;
     Home study reports prepared by State-certified home study 
providers submitted to USCIS in furtherance of the adoption process;
     Memoralizations of interviews performed by authorized 
USCIS personnel of individuals seeking to adopt; and
     Data obtained from other DHS and non-DHS Federal agency's 
systems and databases including the FBI, DoS, ICE, and CBP.

Exemptions claimed for the system:
    None.

    Dated: May 25, 2007.
Hugo Teufel III,
Chief Privacy Officer.
[FR Doc. 07-2783 Filed 5-31-07; 1:24 pm]
BILLING CODE 4410-10-P