[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]


-----------------------------------------------------------------------

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.

-----------------------------------------------------------------------

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]
BILLING CODE 9112-FJ-P