Privacy Impact Asssessment

Privacy Impact Assessment
U.S. Citizenship and Immigration Services
USCIS ELIS-2 Account and Case Management
Page 1

Privacy Impact Assessment
for the

U.S. Citizenship and Immigration Services
Electronic Immigration System
(ELIS-2)
Account and Case Management
DHS/USCIS/PIA-042
May 16, 2012
Contact Point
Donald Hawkins
Privacy Officer
U.S. Citizenship and Immigration Services
(202) 272-8000
Reviewing Official
Mary Ellen Callahan
Chief Privacy Officer

Privacy Impact Assessment
U.S. Citizenship and Immigration Services
USCIS ELIS-2 Account and Case Management
Page 2

Department of Homeland Security
(703) 235-0780
Abstract
U.S. Citizenship and Immigration Services (USCIS) is the component of the Department of
Homeland Security (DHS) that oversees lawful immigration to the United States. USCIS is transforming
its operations by creating a new electronic environment known as the USCIS Electronic Immigration
System (USCIS ELIS), which 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. This Privacy Impact
Assessment (PIA) is being conducted because USCIS ELIS collects and uses personally identifiable
information (PII). This new electronic environment is divided into three distinct processes: 1)
Temporary Account and Draft Benefit Requests; 2) Account and Case Management; and 3) Automated
Background Functions. This PIA addresses the Account and Case Management process by describing
how USCIS ELIS uses information provided on initial and subsequent benefit requests and subsequent
collections to create or update USCIS ELIS accounts; gather any missing information; manage workflow;
assist USCIS in making a benefit determination; and provide a repository of data to assist with future
benefit requests. USCIS is publishing separate PIAs for the other two USCIS ELIS processes concurrent
with this PIA.

Overview
U.S. Citizenship and Immigration Services (USCIS) is the component of the Department of
Homeland Security (DHS) that oversees lawful immigration to the United States. USCIS is transforming
its operations by creating a new electronic environment known as the USCIS Electronic Immigration
System (USCIS ELIS), which allows individuals requesting a USCIS benefit to register online and submit
certain benefit requests. 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.
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/or their attorneys and representatives
recognized by USCIS and/or 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 certain fields in
future benefit requests. This eases the burden on an individual so he or she does not have to repeatedly
type in the same information each time the individual is seeking a benefit from USCIS.

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U.S. Citizenship and Immigration Services
USCIS ELIS-2 Account and Case Management
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USCIS is publishing three PIAs to cover the following three distinct processes of this new
electronic environment and the privacy and security protections incorporated into USCIS ELIS: 1
1. Temporary Accounts and Draft Benefit Requests: The DHS/USCIS/PIA-041
Temporary Accounts and Draft Benefit Requests (USCIS ELIS-1) PIA addresses
temporary data provided by Applicants or Representatives. All Applicants first interact
with USCIS ELIS by creating a temporary account, setting notification preferences, and
drafting their first benefit request. If a first-time Applicant does not begin drafting a
benefit request within 30 days of opening a temporary account, USCIS ELIS deletes the
temporary account. If he or she does not submit the benefit request within 30 days of
starting a draft benefit request, 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, at which
point it is processed according to the DHS/USCIS/PIA-042 Account and Case
Management (ELIS-2) PIA detailed below. Applicants with permanent USCIS ELIS
accounts or Representatives may also draft benefit requests. USCIS ELIS deletes all
draft benefit requests, both first-time and existing Applicants, if they are not submitted
within 30 days of initiation.
2. Account and Case Management: The DHS/USCIS/PIA-042 Account and Case
Management (USCIS ELIS-2) PIA 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 DHS/USCIS/PIA-043 Automated Background
Functions (USCIS ELIS-3)PIA addresses the actions USCIS ELIS takes to detect
duplicate and related accounts, compare and append information from existing
immigration benefit data previously collected by USCIS, and identify potential national
security concerns, criminality, and fraud to ensure that serious or complex cases receive
additional scrutiny.

1

The three PIAs covering USCIS ELIS: DHS/USCIS/PIA-041, DHS/USCIS/PIA-042, and DHS/USCIS/PIA-043,
were conducted concurrently and are all available at
http://www.dhs.gov/files/publications/gc 1279308495679.shtm.

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U.S. Citizenship and Immigration Services
USCIS ELIS-2 Account and Case Management
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This PIA addresses the Account and Case Management portion of USCIS ELIS. Specifically,
this PIA explains how Applicants, Co-Applicants, and Representatives may manage their USCIS ELIS
accounts and how USCIS ELIS handles a case by processing the information provided through a benefit
request and related activities.
Account Management
As described below, Applicants, Co-Applicants, and Representatives have different account setup
procedures because of their distinct roles in USCIS ELIS. USCIS instructs all Applicants, Co-Applicants,
and Representatives to secure their account information to ensure confidentiality. Further, USCIS warns
them that divulging confidential information to others presents the risk that others may alter their benefit
requests to their detriment or abuse the personally identifiable information (PII) contained therein.
Applicants
An Applicant may create a permanent USCIS ELIS account through two different methods.
Typically, an Applicant makes a temporary account permanent by submitting his or her first benefit
request through USCIS ELIS (See DHS/USCIS/PIA-041 Temporary Accounts and Draft Benefit Requests
(ELIS-1) PIA). An Applicant may make certain updates to a USCIS ELIS account to correct outdated
information. If an Applicant changes account information that may affect his or her eligibility for a
benefit, such as name, gender, date of birth, identity document, or other biographic information, USCIS
ELIS asks the Applicant to submit scanned evidence or legal documentation showing that the change was
authorized and accurate. An Applicant can change other information, such as email address, phone
numbers, addresses, and notification preferences (standard mail, email, or SMS text message) without
providing supporting evidence. Before the Applicant submits the updated information, USCIS ELIS
provides a Privacy Act Statement notification stating that the information is used to update the account
and determine eligibility for any pending benefit requests. USCIS ELIS confirms the account changes by
displaying the changes and sending a notice to the Applicant via the Applicant’s notification preference.
If the Applicant provides a new email address, USCIS ELIS verifies the email address by sending a
confirmation link to the new email address. Once the Applicant clicks the link, the Applicant must
provide his or her second factor authentication (e.g., answer challenge questions, provide a PIN sent to the
Applicant’s phone via text message, or an automated voice call) to complete the change.
Representatives
Through USCIS ELIS or the paper Notice of Entry of Appearance as Attorney or Accredited
Representative (Form G-28) process, an Applicant may authorize a Representative to view and participate
in pending benefit requests through USCIS ELIS. This authorization follows the requirements for the
Form G-28 and may be terminated by the Applicant at any time.
Representatives must create permanent USCIS ELIS accounts before conducting business on a
client’s behalf to ensure proper benefit association and authorization by the client. Representatives create
a USCIS ELIS account by providing their name, address, contact method, and email address. Attorney
Representatives also provide their attorney license number, bar membership, accreditation date,
accredited organization name, and any law practice restriction information. Once the Representative has
provided this information, USCIS ELIS creates a permanent USCIS ELIS account for the Representative.

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U.S. Citizenship and Immigration Services
USCIS ELIS-2 Account and Case Management
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In order to work on a client’s case, the Representative must complete and submit the Form G-28
with the client’s signature, either electronically through USCIS ELIS or through the traditional paper
process. USCIS also is developing the functionality for Representatives to fill out a G-28 online and link
it to the appropriate cases/applicants. Once the Form G-28 is approved, the Representatives can view data
requests, receive status updates, and respond to requests for evidence regarding a pending benefit request.
USCIS ELIS incorporates the Form G-28 into all benefit requests, so a Representative may draft
the benefit request and have the Applicant complete the Form G-28 at the same time. Either the
Applicant or the Representative may terminate the representation through USCIS ELIS by accessing the
case and selecting “Terminate Representation.” After the relationship between a client and
Representative is terminated, only the name of the former client, USCIS ELIS case number, benefit type,
and the date of termination is visible in the Representative’s account.
Inferred Accounts
Alternatively, if a Representative drafts and submits a benefit request on behalf of the Applicant,
USCIS ELIS will create an inferred account for the Applicant. Inferred accounts are placeholder accounts
for an Applicant within the system and will allow USCIS ELIS to begin processing the case after the
benefit request is formally submitted. After creation of the inferred account, USCIS will mail a systemgenerated access code to the Applicant’s mailing address instructing the Applicant how to activate his or
her inferred account. Upon receipt of the access code, an Applicant will access the inferred account by
visiting USCIS ELIS online, entering the code, and assigning his or her email address to the USCIS ELIS
account associated with the pending benefit request. Thereafter, the USCIS ELIS account will become a
permanent account (i.e., no longer in inferred status) and the Applicant is able to view and update the
account, monitor the status of the pending benefit request, reschedule appointments, and request other
benefits associated with the account, including setting notification preferences (standard mail, email, or
SMS text message).
Co-Applicants
Co-Applicants have USCIS ELIS accounts inferred for them through the benefit request
submitted by the Applicant. When the Applicant submits the benefit request containing Co-Applicant
information, the Co-Applicant account becomes permanent. USCIS ELIS sends a notice to the Applicant
that includes the Co-Applicant’s USCIS ELIS account number. Pursuant to 8 CFR 103.2(a)(3), CoApplicants may not access, modify, or participate in benefit requests submitted by the Applicant.
However, Co-Applicants may create their own USCIS ELIS accounts and submit their own benefit
requests. If the Co-Applicant later requests a separate benefit as an individual Applicant, USCIS ELIS
merges the individual’s Applicant account with the Inferred Co-Applicant account.
Preparers
Unlike a Representative, who is formally representing an Applicant (usually an attorney), a
Preparer is an individual who assists the Applicant in completing the benefit request without specific
qualifications, such as a friend of the Applicant. USCIS ELIS does not allow for Preparers to open
accounts and edit benefit requests as it does for Applicants and Representatives. If the Applicant has a
Preparer assisting him/her when the Applicant is completing the benefit request, USCIS ELIS also asks

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U.S. Citizenship and Immigration Services
USCIS ELIS-2 Account and Case Management
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for that Preparer’s information. The Preparer is prompted to self-identify, but is not permitted to act on
behalf of the Applicant or represent the Applicant before USCIS or in USCIS ELIS.
Case Management
When a benefit request has been formally submitted by the Applicant or Representative, USCIS
ELIS goes through the following steps: 1) Case Receipt Intake Process; 2) Case Review and Requests for
Evidence; 3) Adjudication; and 4) Issuance of Decision. Each of these steps is designed to ensure a
thorough review and the efficient management of an individual benefit request. USCIS ELIS moves the
case through different steps. USCIS ELIS automatically and, in some cases manually on an ad hoc basis,
generates reports to help manage workflow and provide statistics about the system. While simple cases
may require little human involvement, more complex cases may require more extensive review by USCIS
personnel. USCIS personnel review all cases as the final step in the benefits adjudication process.
Throughout the benefit adjudication process, USCIS notifies the Applicant about the status of the
case and changes to his or her USCIS ELIS account. Notifications are available online through USCIS
ELIS, through the Applicant’s USCIS ELIS notification preference (standard mail, email, or SMS text
message), through the USCIS customer service call center, or in-person at a USCIS Field Office. USCIS
issues notifications of the actions taken on the case, including, but not limited to, acceptance of a benefit
request, changes to the USCIS ELIS account, Request(s) for Evidence (RFE), appointments for interviews
or biometrics collections, and issuance of decisions. In some cases the notification may request action by
the Applicant, such as responding to a RFE. In addition, the Applicant or Representative can log in to
USCIS ELIS to reschedule an appointment or update USCIS ELIS account information.
Step 1: Case Receipt Intake Process
After logging in to USCIS ELIS and drafting a benefit request, the Applicant (and/or
Representative, if applicable) must formally submit the benefit request by e-signing it and providing
payment through an embedded Pay.gov 2 screen. If Pay.gov indicates the payment information is valid,
USCIS ELIS accepts the benefit request and creates a permanent USCIS ELIS account for the Applicant
if one does not already exist. Once the individual formally submits the benefit request, USCIS ELIS
notes the date, time, Internet Protocol Address (IP Address), and browser information of the submission.
A copy of all of this information is stored as an unalterable PDF “snapshot” that serves as an official
record of the information provided by the individual (see the DHS/USCIS/PIA-041 Temporary Accounts
and Draft Benefit Requests (ELIS-1) PIA for more information on this intake method). Once the benefit
request has been submitted, USCIS may use the email address provided by the individual to send an
optional anonymous customer satisfaction survey to gather feedback about USCIS ELIS.
Step 2: Case Review and Requests for Evidence
After a benefit request has been submitted, USCIS ELIS uses the information provided on the
benefit request to create or update the Applicant or Co-Applicant’s USCIS ELIS account and create a case
2

See U.S. Department of Treasury Financial Management Service Pay.gov PIA at
http://www.fms.treas.gov/pia/paygov pia%20.pdf and Collections Records. and SORN,
https://www.federalregister.gov/articles/2003/02/04/03-2521/privacy-act-of-1974-as-amended-system-of-records.

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U.S. Citizenship and Immigration Services
USCIS ELIS-2 Account and Case Management
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for the requested benefit. USCIS ELIS performs an initial assessment to prepare the case for adjudication
by checking for all required evidence, performing the necessary system and background checks,
scheduling any necessary appointments, and checking for obvious eligibility issues (e.g., an Applicant
requests Temporary Protected Status, but claims citizenship of a country that has not been designated as
qualifying for Temporary Protected Status).
Once the Applicant or Representative provides all the required information, e-signs, pays, and
submits the case to USCIS, the case goes through several steps in preparation for adjudication. These
steps vary depending on the complexity of the case. USCIS ELIS automatically moves the case through
the steps as USCIS personnel complete the required actions. USCIS personnel involved in these
processes have assigned roles that will permit them to access or edit the information required for their job
functions. Less complex cases may require fewer actions by USCIS personnel. USCIS adjudicators will
review all cases where a benefit may be denied. This workflow management can reduce the processing
time for a benefit request. Some benefit requests require USCIS to collect further information from the
Applicant or Co-Applicant. USCIS ELIS arranges for collections through the appropriate means, which
may include one or more of the following:
1. RFE/RFO – If any required evidence or information for a benefit requested through USCIS ELIS
is missing, USCIS issues an RFE asking the Applicant or Representative to provide the missing
evidence or information. An Applicant or Representative may respond to RFEs by logging into
USCIS ELIS and uploading and submitting scanned copies of the evidence. If USCIS requires an
original piece of evidence, USCIS issues a Request for Original (RFO) specifying which evidence
is required and where it may be mailed. USCIS returns all mailed original pieces of evidence to
the Applicant or Representative unless USCIS determines the evidence is fraudulent, in which
case it is retained for investigative purposes.
2. Biometrics Collection – If the requested benefit requires that the Applicant or Co-Applicant
provide fingerprints and/or other biometrics, USCIS ELIS prompts the Applicant to schedule an
appointment at the Application Support Center (ASC) office closest to the Applicant’s address.
3. Interviews – If the requested benefit requires USCIS to interview the Applicant or Co-Applicant,
USCIS ELIS prompts the Applicant to schedule an appointment at the Field Office with
jurisdiction over the Applicant’s address.
USCIS ELIS runs this additional information through the Automated Background Functions
process and stores the new information and results from the Automated Background Functions process in
the Automated Background Functions until a USCIS personnel reviews the information and appends it to
the Applicant’s or Co-Applicant’s account and case in the USCIS ELIS Account and Case data. 3
Following completion of the Automated Background Functions process and any initial USCIS
background check results review, USCIS ELIS checks the case to ensure that all the required information
is available, all the necessary system queries are complete, and the case is ready for adjudication. If some
3

See the DHS/USCIS/PIA-043 Automated Background Functions (ELIS-3) PIA for more information about these
steps, which include detecting duplicate and related accounts and detecting national security, criminality, and fraud
issues.

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U.S. Citizenship and Immigration Services
USCIS ELIS-2 Account and Case Management
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information or evidence is missing, USCIS ELIS automatically moves the case back to the proper step in
the process. Once USCIS ELIS determines that all necessary information has been provided, it will move
the case to adjudication through System Qualified Adjudication (SQA) or evaluation by USCIS
personnel.
Step 3: Adjudication
Depending on the complexity of the case, an application may go through SQA or go to USCIS
personnel for review. USCIS ELIS will use SQA for cases involving simple adjudications, where the
cases require only minimal review by USCIS personnel. USCIS ELIS will only use SQA to approve a
case. When USCIS ELIS cannot approve a case, it sends it to USCIS personnel for evaluation and a
decision.
For cases requiring USCIS personnel to be more involved in the review and decision-making
process, USCIS personnel review all the information provided by the Applicant – along with any
additional information compiled during the Case Review, RFE, and Automated Background Functions
process. USCIS personnel may issue an RFE/RFO, perform ad hoc queries of other USCIS and federal
agency systems identified in Section 2.2 of this PIA, or refer cases to USCIS subject matter experts to
gather all relevant information. USCIS ELIS maintains a repository of guides and directives to assist
USCIS personnel in the adjudication process. USCIS ELIS takes snapshots at different points in the case
process (e.g., the point in time a decision is rendered on the case). These snapshots contain all
information known about the case at that point in the benefit request process, including internal USCIS
notes and results from the Automated Background Functions process. These snapshots are stored in the
Applicant’s case data.
Step 4: Issuance of Decision
If USCIS grants the benefit to the Applicant and/or Co-Applicant, USCIS ELIS automatically
generates an approval notice and sends it to the Applicant and/or Representative’s current address, as
appropriate. Depending on the benefit granted, the Applicant (and any Co-Applicants) or Representative
(as appropriate) receives evidence of the new benefit or immigration status on a paper document or
official card stock, otherwise known as a proof of benefit. 4 USCIS ELIS records and tracks each proof of
benefit using a confirmation code which is stored in USCIS ELIS with an electronic copy of the proof of
benefit. The electronic proof of benefit feature provides Applicants, Co-Applicants, Representatives, and
USCIS personnel with the ability to view USCIS documents previously issued to an Applicant or CoApplicant. If USCIS denies a benefit request, USCIS ELIS issues a denial notice with an explanation
citing the reason(s) USCIS denied the benefit, and, where appropriate, the process to appeal the denial or
reopen the case.

4

The proof of benefit is documentary evidence that gives the Applicant and/or Co-Applicant legal proof of an
immigration status or proof of a temporary benefit.

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U.S. Citizenship and Immigration Services
USCIS ELIS-2 Account and Case Management
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Section 1.0 Authorities and Other Requirements
1.1

What specific legal authorities and/or agreements permit and
define the collection of information by the project in question?

The primary legal authority supporting the collection of the information provided to USCIS is 8
U.S.C. § 1101 et seq. Specifically, 8 U.S.C. § 1360 established a central file of information for the
security and enforcement agencies of the Government of the United States which contains the names of
all aliens admitted or denied admission to the United States and such other relevant information as
required to aid in the proper enforcement of this chapter. The Homeland Security Act of 2002, Pub. L.
No.107-296, 116 Stat. 2135 (2002), 6 U.S.C. § 112, and the INA charge the Secretary of Homeland
Security with administration and enforcement of the immigration and naturalization laws. The Secretary
of Homeland Security has delegated duties to USCIS pursuant to a DHS Management Directive MD
0150.1. DHS has also promulgated regulations which permit the collection and processing of benefit
requests online entitled, “Immigration Benefits Business Transformation, Increment I.” 76 Fed. Reg.
53764 (August 29, 2011); “Immigration Benefits Business Transformation, Increment I; Correction.” 76
Fed. Reg. 73475, (Nov. 29, 2011).
The Government Paperwork Elimination Act (GPEA), 44 U.S.C. § 3504 (2004), provides that,
when possible, federal agencies use electronic forms, electronic filing, and electronic submissions to
conduct agency business with the public. GPEA establishes the criteria and guidelines for the use of
electronic signatures. Executive Order 13571, 75 Fed. Reg. 24339 (Apr. 27, 2011), requires federal
agencies to develop plans to streamline delivery of services and improve customer service by exploring
lower-cost, self-service options accessed by the Internet or mobile phone and improved processes that
deliver services faster and more responsively, reducing the overall need for customer inquiries and
complaints.

1.2

What Privacy Act System of Records Notice(s) (SORN(s)) apply
to the information?

DHS/USCIS issued DHS/USCIS-015 – Electronic Immigration System-2 Account and Case
Management SORN (76 FR 70739, November 15, 2011) to cover the collection, maintenance, and use of
this information. USCIS ELIS Account and Case Management also relies on several existing SORNs to
support its operation. Benefit request information from formally submitted benefit requests is covered by
DHS/USCIS-014 – Electronic Immigration System-1 Temporary Accounts and Draft Benefit Requests
SORN (76 FR 70730, November 15, 2011). Duplicate and related account and case information, as well
as potential national security concerns, criminality, and fraud check information is covered by
DHS/USCIS-016 – Electronic Immigration System-3 Automated Background Functions SORN (76 FR
70735, November 15, 2011). Internal user roles and access information is covered by DHS/ALL-004 –

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USCIS ELIS-2 Account and Case Management
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General Information Technology Access Account Records System SORN (74 FR 49882, September 29,
2009). 5

1.3

Has a system security plan been completed for the information
system(s) supporting the project?

Yes. The comprehensive System Security Plan for USCIS ELIS is in place which includes the
Account and Case Management process. The Authority to Operate (ATO) was issued on December 6,
2011 and is valid through July 2012, at which time USCIS expects to issue a new 12-month ATO.

1.4

Does a records retention schedule approved by the National
Archives and Records Administration (NARA) exist?

No. USCIS is currently working with the National Archives and Records Administration
(NARA) to establish and publish the proposed USCIS ELIS records retention schedules. USCIS
currently plans to retain all account information and supporting evidence for 100 years after the account
holder’s date of birth, or 15 years from last action, whichever is later. Permanent accounts (e.g., for
applicants who currently have Alien Files (A-files)), related case snapshots, and supporting evidence will
be transferred to the custody of NARA 100 years after the individual’s date of birth. Non-immigrant case
information and supporting evidence will be actively accessible for 15 years from last action and then
made inactive, unless related to a national security, law enforcement, or fraud investigation concern, as
described below.
Records that are linked to national security, law enforcement, or fraud investigations will remain
accessible for the life of the related activity, to the extent retention for such purposes exceeds the normal
retention period for such data in USCIS ELIS. USCIS is reviewing its requirements for the information
as it transitions to a fully electronic environment and may amend its retention plans and schedules as
needed.
U.S. citizen accounts and cases will be archived internally after five years. All accounts and
cases will be put in an inactive status 15 years after last action.
USCIS proposes that, in compliance with NARA General Records Schedule 24, Section 6, “User
Identification, Profiles, Authorizations, and Password Files,” internal USCIS personnel accounts will be
destroyed or deleted six years after the account is terminated, or when they are no longer needed for
investigative or security purposes, whichever is later.

5

All of these SORNs are available for review on the DHS Privacy website at http://www.dhs.gov/privacy.

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USCIS ELIS-2 Account and Case Management
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1.5

If the information is covered by the Paperwork Reduction Act
(PRA), provide the OMB Control number and the agency number
for the collection. If there are multiple forms, include a list in an
appendix.

USCIS has obtained approval from OMB for the data collections required for USCIS ELIS
accounts and benefit requests. Please see the Appendix for the list of approved forms and OMB Control
numbers.

Section 2.0 Characterization of the Information
2.1

Identify the information the project collects, uses, disseminates, or
maintains.

Information about Applicants and Co-Applicants may include:
•
•
•
•
•
•
•

•
•
•
•
•
•
•
•
•

USCIS ELIS account number;
Alien Registration Number(s) (A-Number);
Family Name;
Given Name;
Middle Name;
Alias(es);
Physical and mailing address(es):
o Address,
o Unit Number,
o City,
o State,
o ZIP Code,
o Postal Code,
o Province,
o Country;
Date Of Birth;
Deceased Date;
Nationality;
Country of Citizenship;
City Of Birth;
State Of Birth;
Province Of Birth;
Country Of Birth;
Gender;

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U.S. Citizenship and Immigration Services
USCIS ELIS-2 Account and Case Management
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•
•
•
•
•
•
•
•
•
•

•
•
•
•
•

Marital Status;
Military Status;
Preferred Contact Method;
Phone Number;
Phone Extension;
Email Address;
Password;
Challenge questions and answers;
Immigration status;
Government-issued identification (e.g. passport, driver's license):
o Document type,
o Issuing organization,
o Document number,
o Expiration date;
Benefit requested;
Signature (electronic or scanned physical signature);
Payment tracking number;
IP Address and browser information; and
USCIS ELIS case submission confirmation number.

Benefit-specific eligibility information (if applicable) may include:
•
•
•
•
•
•

•
•
•
•
•
•
•

U.S. State Department-Issued Personal Identification Number (PID);
Arrival/Departure Information;
Immigration history (citizenship/naturalization certificate number, removals, explanations, etc.);
Family Relationships (e.g., parent, spouse, sibling, child, other dependents, etc., as well as
custody, guardianship, and other relationship practices);
USCIS Receipt/Case Number;
Personal Background Information (e.g., involvement with: national security threats, the
Communist Party, torture, genocide, killing, injuring, polygamy, 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., vaccinations, referrals, 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 (SSN), if applicable;
Supporting Documentation as Necessary (i.e., birth certificate, appeals or motions to reopen or
reconsider decisions, etc.);
Physical Description;

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USCIS ELIS-2 Account and Case Management
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•
•
•
•
•
•

Fingerprint(s);
Photographs;
FBI Identification Number;
Fingerprint Identification Number;
Criminal Records; and
Criminal and National Security Background Check Information.

Preparer information6 includes:
•
•
•
•
•
•
•

Name;
Organization;
Physical and Mailing Addresses;
Email Address;
Phone and Fax Numbers;
Paid/Not Paid; and
Relationship to Applicant.

Representative information 7 includes:
•
•
•
•
•
•
•
•
•
•

Name;
Law Firm/Recognized Organization;
Physical and Mailing Addresses;
Phone and Fax Numbers;
Email Address;
Attorney Bar Card Number or Equivalent;
BAR Membership;
Accreditation Date;
BIA Representative Accreditation Expiration Date; and
Law Practice Restriction Explanation.

USCIS ELIS stores this information in the individual’s account and case in three forms: 1) raw
data; 2) PDF snapshots; and 3) evidence or other supporting files uploaded by the Applicant,
Representative, or USCIS. A copy of this information is stored in USCIS ELIS for management
reporting functions.

6

Preparers do not formally represent the Applicant. If the Applicant has a Preparer assisting him/her when
completing the benefit request, USCIS requests this information.

7

Representatives must complete and submit the Form G-28 with client’s signature either electronically or in paper
format.

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2.2

What are the sources of the information and how is the
information collected for the project?

USCIS ELIS derives information for the Account and Case Management process from multiple
sources. The main source of information is the benefit request filed by the Applicant or Representative.
The Applicant or Representative provides the initial benefit request information by e-filing it as described
above. USCIS ELIS gathers additional information from the Applicant or Representative during account
updates, submitted Forms G-28, or in responses to RFEs. If required for a particular benefit request,
USCIS collects further information from the individual in person at a Field Office during an interview or
at an ASC.
Data stored within USCIS ELIS from previously submitted benefit requests is used to prepopulate certain fields for future benefit requests. If USCIS discovers that an Applicant or Co-Applicant
has multiple USCIS ELIS accounts, USCIS ELIS merges the accounts to maintain one account per
person. Cases associated with duplicate accounts will be maintained as they were, but will be reassociated with the merged account. USCIS personnel use commercial sources outside of USCIS ELIS
(e.g., LexisNexis or Dun and Bradstreet) to verify information that the Applicant or Co-Applicant
provides in support of the benefit requested. USCIS personnel input and store notes or data from these
commercial sources with the case or account in USCIS ELIS, if relevant to the case. The USCIS ELIS
Account and Case Management process also stores and uses information from the following USCIS and
other DHS systems of records for USCIS ELIS Applicants, Co-applicants, Representatives, and
Preparers:
•

•

•

•

•

•

•

DHS/USCIS/PIA-009 – Central Index System (CIS).
o DHS/USCIS/ICE/CBP-001 – Alien File, Index, and National File Tracking System of
Records, June 13, 2011, 76 FR 34233.
DHS/USCIS/PIA-013 – Fraud Detection and National Security Data System (FDNS-DS).
o DHS-USCIS-006 – Fraud Detection and National Security Data System (FDNS-DS),
August 18, 2008, 73 FR 48231.
DHS/USCIS/PIA-015 – Computer Linked Application Information Management System Version 4
(CLAIMS 4).
o DHS-USCIS-007 – Benefits Information System (BIS), September 29, 2008, 73 FR
56596.
DHS/USCIS/PIA-016 – Computer Linked Application Information Management System Version 3
(CLAIMS 3).
o DHS-USCIS-007 – Benefits Information System (BIS), September 29, 2008, 73 FR 56596.
DHS/USCIS/PIA-027 – Refugee, Asylum, and Parole System and the Asylum Pre-Screening
System (RAPS/APSS).
o DHS/USCIS-010 – Asylum Information and Pre-Screening, January 5, 2010, 75 FR 409.
DHS/CBP/PIA-009 – TECS System: CBP Primary and Secondary Processing.
o DHS/CBP-011 – U.S. Customs and Border Protection TECS, December 19, 2008, 73 FR
77778.
DHS/ICE/PIA-001 – Student and Exchange Visitor Information System (SEVIS).

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DHS/ICE 001 – Student and Exchange Visitor Information System (SEVIS), January 5,
2010, 75 FR 412.
DHS/ICE/PIA-015 – Enforcement Integrated Database (EID).
o DHS/ICE-011 – Immigration Enforcement Operational Records System (ENFORCE),
May 3, 2010, 75 FR 23274.
DHS/US-VISIT/PIA-005 – Arrival and Departure Information System (ADIS).
o DHS/USVISIT-001 – Arrival and Departure Information System (ADIS), August 22,
2007, 72 FR 47057.
DHS/US-VISIT/PIA-002(b) – Automated Biometric Identification System (IDENT).
o DHS/USVISIT-0012 – DHS Automated Biometric Identification System (IDENT), June 5,
2007, 72 FR 31080.
o

•

•

•

USCIS ELIS may also gather information from systems outside of DHS. These include the
following systems and SORNs:
•
•

•
•

•

Department of State – Consular Consolidated Database (CCD).
Department of Justice Executive Office for Immigration Review – Case Access System for the
Executive Office of Immigration Review (CASE).
o JUSTICE/EOIR-001-Records and Management Information System, May 11, 2004, 69
FR 26179.
Department of Justice Federal Bureau of Investigation – Central Records System (CRS).
o JUSTICE/FBI-002- FBI Central Records System, February 20, 1998, 64 FR 52343.
Department of Justice Federal Bureau of Investigation – Fingerprint Identification Records
System (FIRS).
o JUSTICE/FBI-009–Fingerprint Identification Records System (FIRS), September 28,
1999, 64 FR 52347.
Department of Treasury Financial Management Services Collection Records (Pay.gov)
o TREASURY/FMS-017-Collections Records – Treasury/Financial Management Service,
May 15, 2009, 74 FR 23019.

2.3

Does the project use information from commercial sources or
publicly available data? If so, explain why and how this
information is used.

USCIS ELIS does not currently connect to commercial sources or publicly available data.
However, USCIS personnel use commercial sources outside of USCIS ELIS (e.g., LexisNexis or Dun and
Bradstreet) to verify information that the Applicant or Co-Applicant provided in support of the benefit
requested. If relevant to the case, USCIS personnel input and store notes or data from these commercial
sources with the case or account in USCIS ELIS.

2.4

Discuss how accuracy of the data is ensured.

USCIS ELIS records all data changes made in the system in order to make it available for
auditing purposes. USCIS ELIS generates a snapshot of all the information before it is submitted for the

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Applicant’s review. If a Representative drafted the benefit request, USCIS requires the Applicant to
electronically sign or physically sign a copy of the snapshot before the Representative submits the benefit
request. During the drafting of a benefit request, USCIS provides several reminders for the Applicant or
Representative to review information for accuracy before submission. Only the Applicant and his or her
Representative may submit information directly to USCIS.
For information that is collected from other DHS components or other federal agencies, USCIS
personnel review the information to ensure that it is correct and accurate. Applicants may challenge
information during the interview process or the appeals process, if applicable. Before USCIS denies a
benefit request for which the opportunity to contest exists, the Applicant is given the opportunity to
withdraw without prejudice and re-file or contest the information used to deny the benefit request through
a motion to reopen/reconsider or administrative appeal (if available).

2.5

Privacy Impact Analysis: Related to Characterization of the
Information

Privacy Risk: There is a risk that USCIS may collect more information than is necessary.
Mitigation: USCIS developed a detailed process to review what information is necessary to
determine an Applicant or Co-Applicant’s eligibility for a requested benefit. USCIS reviewed all the data
elements that are collected on every available form. This review provided an understanding of common
data elements across all form types and allowed for the grouping of information into standard categories
for the benefit requests, which include: 1) the Applicant; 2) the benefit being requested; 3) the eligibility
for that benefit; 4) the other individuals included in the benefit request; 5) the signatures; and 6) the
Preparers and Representatives who assisted with the benefit request process.
All benefit requests processed through USCIS ELIS use these standard sections. Sections 1 and 5
are the same for all benefit requests available in USCIS ELIS. Sections 2 and 3 vary depending on the
type of benefit. Section 4 is only completed if multiple people are part of the benefit request. Section 6
must be completed if there is a representative or preparer assisting in the benefit request process.
With the sections of the benefit request standardized, USCIS undertook a review of each data
element that was being requested. The information was evaluated against multiple criteria to ensure that
it was necessary for the benefit being sought. USCIS reviewed the data to ensure that it would increase
processing efficiency, provide better customer service, and ensure the benefit is provided to only those
who were qualified to receive it. Data that did not meet these requirements were eliminated from the
benefit request. As an example, SSNs will no longer be requested for many benefit types.
Privacy Risk: There is a risk that USCIS may collect inaccurate information from the various
sources.
Mitigation: USCIS collects information primarily from the Applicant or Representative so that
the Applicant and Co-Applicant’s most current and accurate information is available to USCIS.
However, in order to verify the information provided by the Applicant or Representative and perform
necessary background and national security checks, USCIS ELIS receives information from other federal
systems. USCIS employees may check other sources, including commercial sources, to verify

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information provided by the Applicant or Representative. USCIS employees always evaluate and verify
information before using it to make a final decision.
Where USCIS collects information from sources other than the Applicant or Representative,
USCIS ELIS only retains information if it is relevant to the case. USCIS ELIS discards irrelevant
records, such as system query results that pertain to the wrong individual, to prevent USCIS from
retaining more information than is necessary.
Privacy Risk: There is a risk that USCIS ELIS will make a wrong decision through the SQA.
Mitigation: USCIS ELIS’s SQA will only be used for simple issues in benefit requests for
which no substantive evaluation is needed by USCIS personnel. If an SQA case cannot be approved by
the system, the case will be moved to USCIS employees for evaluation and a decision.

Section 3.0 Uses of the Information
3.1

Describe how and why the project uses the information.

USCIS ELIS begins processing benefit requests after they are received through the intake
process. USCIS ELIS uses information provided in an Applicant’s benefit request, account updates,
response to an RFE, through an interview or ASC biometrics collection, and from Automated
Background Functions results to:
•
•
•
•
•
•
•
•

Create or update USCIS ELIS accounts and cases;
Gather any missing information;
Manage workflow;
Generate reports;
Assist USCIS in making a benefit determination;
Provide a repository of data to assist with future benefit requests;
Schedule appointments and interviews; and
Issue decision notices and/or proof of benefit.

USCIS uses and shares this information to verify an Applicant’s immigration status and for other
purposes related to the immigration process. USCIS also provides this information to DHS and other
federal, state, local, and tribal agencies for law enforcement purposes and other uses consistent with the
USCIS ELIS Account and Case Management SORN.
The two main purposes of collecting this information through USCIS ELIS are to determine the
Applicant’s and Co-Applicant’s eligibility for the requested benefit and to improve customer service.
Benefit Eligibility: USCIS collects standardized biographical information to provide a consistent
means of analyzing each Applicant’s benefit request. USCIS ELIS assists USCIS personnel in flagging
issues of eligibility. For instance, if an applicant submitted a benefit request without providing any
identity documentation, USCIS ELIS flags the issue for USCIS personnel review. This results in USCIS
personnel making a faster, higher quality evaluation of a requested benefit than is possible in the paperbased environment.

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Improved Customer Service: USCIS is striving to substantially improve its ability to provide
excellent customer service. To gather feedback about a user’s experience with USCIS ELIS, USCIS may
use the email address provided during the submission of a benefit request to email out a link to an
anonymous OMB-approved customer satisfaction survey. The email address is not associated with the
survey responses, and USCIS does not track or identify whether or not an individual chooses to complete
the survey. The survey does not ask for personally identifiable information, only for the user’s opinions
about their experience with USCIS ELIS. USCIS ELIS also facilitates increased contact with individuals
online, via email, text message, or voice call, and improves the quality of communications. By fostering a
more communicative relationship between USCIS and the Applicant, USCIS provides better service to
the Applicant.

3.2

Does the project use technology to conduct electronic searches,
queries, or analyses in an electronic database to discover or locate
a predictive pattern or an anomaly? If so, state how DHS plans to
use such results.

No. The Account and Case Management process performs queries and searches of electronic
databases, but does not create predictive results or discover unknown anomalies. Management reports
may be generated to identify trends for efficiency and management purposes, but are not generated to
identify predictive patterns or anomalies associated with criminal or terrorist activity. See the
DHS/USCIS/PIA-043 Automated Background Functions (ELIS-3) PIA for a discussion of the functions
used to evaluate potential risks and fraud.

3.3

Are there other components with assigned roles and
responsibilities within the system?

Yes. USCIS ELIS shares information with other components within DHS through the Person
Centric Query Service (PCQS), which permits a user to query USCIS ELIS and view content. PCQS
provides access to other DHS components, including CBP, ICE, US-VISIT, and DHS Office of Inspector
General. USCIS ELIS also pushes case status update information to ADIS and SEVIS to assist other
DHS components, such as ICE and CBP, in determining a person’s immigration status for purposes of
admission or obtaining a specific immigration benefit. Employees from these other components must
meet the same requirements for access (background checks, privacy and security training, and job
functions giving them an official need to know). Pursuant to the OneDHS policy, 8 USCIS shares
information in USCIS ELIS with other components of DHS on a case-by-case basis where the component
has demonstrated a proper need-to-know. USCIS shares this information consistent with the permitted
uses under the Privacy Act, the USCIS ELIS Account and Case Management SORN, and DHS
information sharing agreements. Regular internal and external data exchanges are noted above.

8

DHS Memorandum “DHS Policy for Internal Information Exchange and Sharing” (February 1, 2007).

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Section 4.0 Notice
4.1

How does the project provide Individuals notice prior to the
collection of information? If notice is not provided, explain why
not.

USCIS has published several SORNs (see Section 1.2, above) to cover the various collections of
information used in USCIS ELIS. Further, USCIS is engaged in on-going public outreach efforts to
notify the public about USCIS ELIS and posts updates on www.uscis.gov/elis. USCIS targets outreach
efforts to different populations depending on which populations it expects to be impacted by USCIS ELIS
releases.
Where USCIS ELIS collects information from other systems, USCIS relies on the notice provided
by those systems. USCIS ELIS presents individuals with a Privacy Act Statement as required by Section
(e)(3) of the Privacy Act before logging in to USCIS ELIS and before submitting any information. All
paper-based USCIS applications include a Privacy Act Statement on the benefit form. The Privacy Act
Statement details the authority to collect the information requested, purpose(s) for which the information
is intended to be used, routine uses which may be made of the information, and any effects on the
individual of not providing the requested information. Lastly, USCIS notifies the individual and obtains
their consent before collecting information in person at ASCs or in interviews.

4.2

What opportunities are available for Individuals to consent to
uses, decline to provide information, or opt out of the project?

Providing information to USCIS ELIS is a voluntary act on the part of the Applicant. USCIS
ELIS informs the Applicant at the point of data collection that it is within his or her right to decline to
provide the requested information; however, failure to provide accurate information may delay a final
decision or result in denial of the pending benefit request. USCIS ELIS gives Applicants several
opportunities to update their accounts or correct information in an interview, if applicable. Once an
Applicant has provided information to USCIS ELIS, USCIS may re-use that information for additional
authorized compatible purposes without requiring the Applicant to consent to each particular use.
Pursuant to 8 CFR 103.2(a)(3), Co-Applicants may not access, modify, or participate in benefit
requests submitted by the Applicant. However, Co-Applicants may create their own USCIS ELIS
accounts and submit their own benefit requests.

4.3

Privacy Impact Analysis: Related to Notice.

Privacy Risk: There is a risk that an individual may not be fully aware of the extent of the
collections, information sharing, or the potential uses of his or her information.
Mitigation: USCIS provides notice to individuals through the publication of SORNs in the
Federal Register, this PIA, its public outreach efforts, and information on www.uscis.gov. USCIS
notifies individuals via a Privacy Act Statement on all forms and in USCIS ELIS. Before an individual

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submits information in USCIS ELIS, he or she must acknowledge that the information provided will be
used to create or update accounts, determine eligibility for the requested benefit, and conduct background
and security checks.
Privacy Risk: There is a risk that Co-Applicants may not consent to or know that USCIS has
collected their information because the Applicant consents for Co-Applicants by including the CoApplicant in the benefit request.
Mitigation: This risk is largely mitigated by the fact that Co-Applicants are in many cases the
Applicant’s dependents who are in close contact with the Applicant. In most cases, the Co-Applicant is
married to or the child of the Applicant. USCIS warns Applicants that the information they provide about
themselves and any Co-Applicants on a benefit request must be true, accurate and complete. Applicants
must attest to the accuracy and completeness about the Co-Applicant’s information as part of the
submission process. Pursuant to 8 CFR 103.2(a)(3), Co-Applicants may not access, modify, or participate
in benefit requests submitted by the Applicant. However, Co-Applicants may create their own USCIS
ELIS accounts and submit their own benefit requests using the USCIS ELIS account.

Section 5.0 Data Retention by the Project
5.1

Explain how long and for what reason the information is retained.

USCIS is currently working with the National Archives and Records Administration (NARA) to
establish and publish the proposed USCIS ELIS records retention schedules.
USCIS ELIS retains information to assist USCIS in making a benefit determination, including
using the information as a historical reference to support the evaluation of subsequent benefits sought by
an individual. This information also serves as a repository of data to assist the Applicant in completing
future benefit requests, verify status, and for litigation purposes. Because these business needs extend
well beyond normal records retention requirements, USCIS is currently working with the National
Archives and Records Administration (NARA) to establish and publish the proposed USCIS ELIS
records retention schedules. USCIS currently plans to retain all account information and supporting
evidence for 100 years after the account holder's date of birth, or 15 years from last action, whichever is
later.
Prior to deletion from USCIS ELIS, accounts for applicants who currently have A-files and
related case snapshots and supporting evidence will be transferred to the custody of the NARA 100 years
after the individual's date of birth. Nonimmigrant case information and supporting evidence will be
stored for 15 years from last action. U.S. citizen accounts and cases will be moved to internal archives
after five years. If the Applicant’s or Co-Applicant’s account and case have no activity for 15 years, did
not present any fraud, national security, or law enforcement issues, and have no pending related cases,
USCIS will put the case data in an inactive status until 100 years from date of birth.
Records that are linked to national security, law enforcement, or fraud investigations will remain
accessible for the life of the related activity, to the extent retention for such purposes exceeds the normal
retention period for such data in USCIS ELIS. USCIS is reviewing its need for the information as it
transitions to a fully electronic environment and may amend its retention plans and schedules as needed.

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USCIS ELIS retains other USCIS-generated information concerning a benefit request along with
the case, as well as account and case history, which includes when and by whom a record was changed or
altered. USCIS ELIS keeps active audit logs recording every system action for 90 days and then archives
the audit logs for seven years. USCIS proposes that, in compliance with NARA General Records
Schedule 24, section 6, “User Identification, Profiles, Authorizations, and Password Files,” internal
USCIS personnel accounts will be destroyed or deleted six years after the account is terminated or when
no longer needed for investigative or security purposes, whichever is later.

5.2

Privacy Impact Analysis: Related to Retention

Privacy Risk: There is a risk that USCIS may retain information longer than is necessary to
approve or deny the benefit sought.
Mitigation: USCIS retains data beyond the approval or denial of a benefit in order to ensure the
information is available for several purposes, including future immigration status verification, evaluating
subsequent benefits sought by an Applicant, and for litigation. Many records serve the same purpose as
the paper-based A-File, which NARA has determined to be of permanent historical value. Where
information is no longer necessary, USCIS will retire it according to the retention period described in the
appropriate SORN (see Section 1.2, above).

Section 6.0 Information Sharing
6.1

Is information shared outside of DHS as part of the normal
agency operations? If so, identify the organization(s) and how
the information is accessed and how it is to be used.

USCIS ELIS automatically shares information with other federal agencies, including the
Department of Justice and the Department of State, through the system queries for background checks
listed in Section 2.2 above. The DHS/USCIS/PIA-043 Automated Background Functions (ELIS-3) PIA
contains detailed information about this sharing. USCIS ELIS receives payment confirmation
information from the Department of Treasury’s Financial Management Services. The Department of
State accesses USCIS ELIS through PCQS to assist it in issuing visas.
Certain USCIS ELIS data is ingested into other DHS systems, such as USCIS E-Verify, USVISIT ADIS, and ICE SEVIS, therefore certain USCIS ELIS data also may be shared via these other
DHS systems. USCIS also shares this information on a case-by-case basis with federal, state, tribal, and
local agencies consistent with the routine uses published in the USCIS ELIS SORNs in Section 1.2 above.

6.2

Describe how the external sharing noted in 6.1 is compatible with
the SORN noted in 1.2.

USCIS ELIS only shares information as permitted under the Routine Uses outlined in the
applicable SORNs. USCIS ELIS performs system queries to determine eligibility for the benefit
requested. USCIS ELIS shares information with other agencies to assist the receiving agency in

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determining a person’s immigration status. USCIS ELIS also shares information with other agencies for
law enforcement purposes, or other uses compatible with DHS/USCIS-015 - Electronic Immigration
System-2 Account and Case Management SORN.

6.3

Does the project place limitations on re-dissemination?

Yes. DHS has Memoranda of Understanding (MOU) in place with external organizations
whenever there is sharing of information. When sharing information with parties outside of DHS, the
same specifications related to security and privacy that are in place for USCIS and DHS apply to the
outside entity. Access to records is governed by need-to-know criteria that demand the receiving entity to
demonstrate the mission related need for the data before access is granted. The reason for the access, an
intended use consistent with the receiving agency’s purpose, USCIS’s justification for collecting the data,
and an acknowledgement that the receiving agency will not share the information without USCIS’s
permission are also concerns that are included in either the terms of a negotiated MOU or the language of
an authorization providing information to an external agency.

6.4

Describe how the project maintains a record of any disclosures
outside of the Department.

For data sharing on an ad hoc basis, USCIS requires a representative from the outside agency to
establish, in writing, what specific information they need on particular individuals. USCIS also requires
the representative to sign a non-disclosure statement before the information is released. USCIS maintains
a record of any ad hoc information sharing activities.

6.5

Privacy Impact Analysis: Related to Information Sharing

Privacy Risk: There is a risk that USCIS may release more information about an individual than
is necessary to support the adjudication of his or her immigration benefit request.
Mitigation: This risk is mitigated by the data sharing agreements in place along with the
appropriate MOUs. For ad hoc disclosures, USCIS provides only the requested information to prevent
any otherwise unauthorized or inappropriate release of information.

Section 7.0 Redress
7.1

What are the procedures that allow individuals to access their
information?

Representatives may log into their USCIS ELIS accounts to access information regarding their
client case(s) and account; current contact information; draft, pending, and closed benefit requests; and
current case statuses. However, Representatives cannot see information in cases for individuals they no
longer represent if the Applicant or Representative removes access.

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Pursuant to 8 CFR 103.2(a)(3), Co-Applicants may not access, modify, or participate in benefit
requests submitted by the Applicant. However, Co-Applicants may create their own USCIS ELIS
accounts and submit their own benefit requests. If the Co-Applicant might be denied a benefit because of
information provided by the Applicant in an earlier benefit request, USCIS provides the Co-Applicant
with the opportunity to challenge the information during the interview process, appeals process, or
through an RFE/Notice of Intent to Deny (NOID), as applicable.
DHS has issued a Final Rule exempting the DHS/USCIS–015 Electronic Immigration System-2
Account and Case Management System of Records from certain provisions of the Privacy Act pursuant to
5 U.S.C. § 552a(k)(2). 9 Some information in USCIS ELIS 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. 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 claims the same exemption for the information obtained from
the third-agency records that would be claimed for the original system of records and any authorized
additional exemptions in accordance with this rule.

7.2

What procedures are in place to allow the subject Individual to
correct inaccurate or erroneous information?

Before the Applicant submits the benefit request, USCIS ELIS provides a snapshot of all the data
provided. USCIS ELIS prompts the Applicant or Representative to review the contents of the snapshot
prior to final submission. If any changes to the snapshot are needed, the Applicant or Representative has
the ability to go back to any portion of the draft benefit request and make the necessary changes. An
applicant must always review and electronically or physically sign any benefit request drafted by a
Representative.
An Applicant may make certain updates to his or her USCIS ELIS account to correct outdated
information. If an Applicant is changing account information that may affect eligibility for a benefit, such
as name, gender, date of birth, identity document, or other biographic information, the Applicant must
provide evidence or legal documentation showing that the change was authorized. Other information,
such as phone numbers, addresses, and notification preferences may be changed without providing
supporting evidence. Before the Applicant submits the updated information, USCIS ELIS provides a
Privacy Act Statement indicating that USCIS uses the information to update the account and determine
eligibility for any pending benefit requests. USCIS ELIS confirms the account changes by sending a
notice to the Applicant or Co-Applicant via the Applicant’s notification preference (standard mail, email,
or SMS text message). If the Applicant or Co-Applicant provides a new email address, USCIS ELIS

9

76 FR 70638 (Nov. 15, 2011).

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verifies that email address by sending a confirmation link to the new email address. Once the Applicant
or Co-Applicant clicks the link, he or she must provide a second factor authentication, such as answering
challenge questions or entering the PIN number sent to his/her mobile phone to complete the change.
USCIS provides opportunities to correct information through the interview process and
RFE/NOIDs. If the Applicant is denied the requested benefit, he or she may appeal the decision (if
available), file a motion to reopen/reconsider the case, or file a new benefit request as appropriate.
Pursuant to 8 CFR 103.2(a)(3), Co-Applicants may not access, modify, or participate in benefit requests
submitted by the Applicant. However, Co-Applicants may access the portion of a benefit request that
relates to him or her after the case has been closed.
While some information in USCIS ELIS has been exempted from portions of the Privacy Act of
1974 pursuant to 5 U.S.C. § 552a(k)(2), and records from law enforcement systems will retain their
exemptions pursuant to 5 U.S.C. § 552a(j)(2), individuals seeking notification of and access to any record
contained in this system of records, or seeking to contest its content, may submit a request in writing to:
National Records Center
FOIA/PA Office
P.O. Box 648010
Lee’s Summit, MO 64064-8010
If an individual believes more than one component of DHS maintains Privacy Act records
concerning him or her, the individual may submit the request the component's FOIA Officer, whose
contact information can be found at: http://www.dhs.gov/xfoia/editorial_0579.shtm under “contacts,” or
to the Chief Privacy Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410,
STOP-0550, Washington, DC 20528.

7.3

How does the project notify Individuals about the procedures for
correcting their information?

USCIS notifies Applicants about the process for correcting information before submission
through warning banners, a pre-submission PDF for review, through the account update features in
USCIS ELIS. USCIS informs individuals during the interview process that they may provide or correct
information regarding their benefit request. Otherwise, the individual is notified through the publication
of the appropriate SORNs and this PIA.

7.4

Privacy Impact Analysis: Related to Redress

Privacy Risk: There is a risk that an individual may submit information that is inaccurate and be
unable to correct it before a determination is made.
Mitigation: USCIS provides several opportunities to correct information before it is submitted
(see USCIS/DHS/PIA-041 Temporary Account and Draft Benefit Request (ELIS-1) PIA). However, an
Applicant or Representative cannot make changes to the benefit request once it has been submitted in
USCIS ELIS. Once submitted, the pending benefit request may only be amended at an interview, under
oath, before a USCIS adjudicator or through a response to a RFE/NOID.

Privacy Impact Assessment
U.S. Citizenship and Immigration Services
USCIS ELIS-2 Account and Case Management
Page 25

Applicants, Co-Applicants, and Representatives may correct or amend account and notification
information by logging in to USCIS ELIS. This feature allows Applicants to make normal changes in
information, including name, relationship, and contact method changes. Applicants and their
representatives may also update their information by mailing it to USCIS through the existing paper
process.

Section 8.0 Auditing and Accountability
8.1

How does the project ensure that the information is used in
accordance with stated practices in this PIA?

USCIS ELIS will employ role-based access controls to ensure internal users of the system do not
have access to information beyond the functions of their employment. USCIS ELIS will also keep audit
logs and account access information by recording the user identification and the date and time of access.
USCIS ELIS will keep case and account histories to track who created, deleted, or edited a record and
when a change is made.
In accordance with National Institute of Standards and Technology (NIST) controls and OMB
requirements, staff and/or administrators of USCIS ELIS conduct a self-assessment of privacy policies
and security controls, at least annually, to determine the extent to which policies and controls are
implemented correctly, operating as intended, and producing the desired outcome with respect to meeting
the privacy and security requirements for the operating environment.

8.2

Describe what privacy training is provided to users either
generally or specifically relevant to the project.

All internal USCIS ELIS users, whether federal employees or contractors, must complete annual
privacy training to ensure they properly handle PII. DHS personnel, contractors, and vendors with
significant security responsibilities (e.g., ISSOs, system administrators) receive initial specialized
training, and annual refresher training thereafter, specific to their security and privacy responsibilities.
USCIS ELIS incorporates simulated events into incident response training to facilitate effective response
by personnel. Staff who are responsible for maintaining USCIS ELIS also train personnel on their
incident response roles and responsibilities with respect to the USCIS solution as well as provide
refresher training on an annual basis.
USCIS maintains training records including name, position, type of training received, and costs of
training. USCIS requires security and privacy awareness training be completed before authorizing
internal accounts. Training records are maintained by USCIS.

Privacy Impact Assessment
U.S. Citizenship and Immigration Services
USCIS ELIS-2 Account and Case Management
Page 26

8.3

What procedures are in place to determine which users may
access the information and how does the project determine who
has access?

USCIS ensures that all USCIS ELIS employees are trained and agree to USCIS-wide system rules
of behavior before being granted access. USCIS provides security awareness training to all information
system users (including managers, senior executives, and contractors) as part of initial training for new
users, when required by system changes, and annually thereafter. DHS personnel and contractors with
significant security responsibilities (e.g., ISSOs, system administrators) receive initial specialized
training, and annual refresher training thereafter, specific to their security responsibilities prior to being
granted access to DHS systems.
USCIS ELIS has formal documented procedures that establish appropriate divisions of
responsibility and separate duties, as needed, to eliminate conflicts of interest in the responsibilities and
duties of individuals. The purpose of this segregation of duties is to prevent users from having all of the
necessary authority or access to information to perform fraudulent activity absent collusion.
Access controls for USCIS ELIS will follow the principles of least privilege necessary to
complete the assigned tasks. USCIS will maintain a list of security functions deployed in hardware,
software, and firmware and security-related information. USCIS explicitly authorizes access to that
functionality when feasible. In addition, USCIS advises users with privileges to use non-privileged
access when accessing functions that do not require privileged access.
USCIS ELIS employees have access to different views and content based on their roles and
access privileges. USCIS ELIS will record all employee access along with their activities in USCIS
ELIS. USCIS ELIS will limit each user’s view to the data required to perform their job function (e.g.,
adjudicator, supervisor or performance analyst.

Privacy Impact Assessment
U.S. Citizenship and Immigration Services
USCIS ELIS-2 Account and Case Management
Page 27

8.4

How does the project review and approve information sharing
agreements, MOUs, new uses of the information, new access to the
system by organizations within DHS and outside?

The USCIS Office of Transformation Coordination - Program Management Office, USCIS Office
of Information Technology, USCIS Privacy Office, and USCIS Office of Chief Counsel review all MOUs
related to USCIS ELIS.
New uses of information and or new access requests for the system by organizations within DHS
and outside agencies go through the USCIS change control process, including assessments of impact, and
must be approved by the proper Program Authorities of this process (e.g., USCIS Privacy Office, USCIS
Transformation Program Office Change Control Board, USCIS Office of Information Technology, and
DHS offices, where applicable.)

Responsible Officials
Donald Hawkins
Privacy Officer
U.S. Citizenship and Immigration Services
Department of Homeland Security

Approval Signature

[Original signed copy on file with the DHS Privacy Office]

Mary Ellen Callahan
Chief Privacy Officer
Department of Homeland Security

Privacy Impact Assessment
U.S. Citizenship and Immigration Services
USCIS ELIS-2 Account and Case Management
Page 28

APPENDIX
Section 1.5: OMB Approved Data Collections:

Form
Number

Form Title

OMB
Control
Number

Expiration
Date

I-90

Application to Replace Permanent Residence Card

(1615-0082)

08/31/12

I-102

Application for Replacement/Initial Nonimmigrant
Departure Document

(1615-0079)

08/31/12

I-130

Petition for Alien Relative(as evidence)

(1615-0012)

01/31/12

I-131

Application for Travel Document

(1615-0013)

03/31/12

I-134

Affidavit of Support (as evidence)

(1615-0014)

05/31/12

I-290B

Notice of Appeal or Motion

(91615-0095)

05/31/12

I-508/I508F

Waiver of Rights, Privileges, Exemptions, and Immunities

(1615-0025)

11/30/11

I-539

Application to Extend/Change Nonimmigrant Status

(1615-0003)

02/29/12

I-539

Application to Extend/Change Nonimmigrant Status (OnLine Application)

(Pending)

I-566

Interagency Record of Request--A, G or NATO Dependent
Employment Authorization or Change/Adjustment to/from
A, G or NATO Status (as evidence)

(1615-0027)

01/31/11

I-601

Application for Waiver of Grounds of Inadmissibility

(1615-0029)

06/30/12

I-693

Report of Medical Examination and Vaccination Record

(1615-0033)

10/31/11

I-765

Application for Employment Authorization

(1615-0040)

09/30/11

I-821

Application for Temporary Protected Status

(1615-0043)

10/31/13

I-912

Request for Fee Waiver

(1615-0116)

10/31/12

AR-11

Alien Change of Address Card System

(1615-0007)

09/30/11

G-28

Notice of Entry of Appearance as Attorney or Accredited
Representative

(1615-0105)

04/30/12