[Federal Register Volume 76, Number 188 (Wednesday, September 28, 2011)]
[Proposed Rules]
[Pages 59926-59927]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-24857]


 ========================================================================
 Proposed Rules
                                                 Federal Register
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 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.
 
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 

  Federal Register / Vol. 76, No. 188 / Wednesday, September 28, 2011 / 
Proposed Rules  

[[Page 59926]]



DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

6 CFR Part 5

[Docket No. DHS-2011-0086]


Privacy Act of 1974: Implementation of Exemptions; Department of 
Homeland Security/U.S. Citizenship and Immigration Services-015 
Electronic Immigration System-2 Account and Case Management System of 
Records

AGENCY: Privacy Office, DHS.

ACTION: Notice of proposed rulemaking.

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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-015 Electronic Immigration System-2 Account 
and Case Management 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 28, 2011.

ADDRESSES: You may submit comments, identified by docket number DHS-
2011-0086, 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-015 Electronic Immigration System-2 Account and 
Case Management 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.
    DHS is claiming exemptions from certain requirements of the Privacy 
Act for DHS/USCIS-015 Electronic Immigration System-2 Account and Case 
Management System of Records. Some information in Electronic 
Immigration System-2 Account and Case Management (USCIS ELIS Account 
and Case Management) 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

[[Page 59927]]

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-015 Electronic 
Immigration System-2 Account and Case Management 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 ``61'':

Appendix C to Part 5--DHS Systems of Records Exempt From the Privacy 
Act

* * * * *
    61. The DHS/USCIS-016 Electronic Immigration System-2 Account 
and Case Management 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-2 Account and Case 
Management 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 there under; and national 
security and intelligence activities. The DHS/USCIS-016 Electronic 
Immigration System-2 Account and Case Management 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. 2011-24857 Filed 9-27-11; 8:45 am]
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