Privacy Impact Assessment

Privacy Impact Assessment
for the

Deferred Action for Childhood Arrivals
(DACA)
DHS/USCIS/PIA-045
August 15, 2012

Contact Point
Donald K. Hawkins
Privacy Office
United States Citizenship and Immigration Services
(202) 272-8000
Reviewing Official
Jonathan R. Cantor
Acting Chief Privacy Officer
Department of Homeland Security
(202) 343-1717

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Abstract
On June 15, 2012, Secretary of Homeland Security Janet Napolitano (the Secretary) issued a
Department of Homeland Security (DHS) memorandum entitled, “Exercising Prosecutorial Discretion
with Respect to Individuals Who Came to the United States as Children” (the Secretary’s memorandum).
The Secretary addressed the memorandum to the Acting Commissioner of U.S. Customs and Border
Protection (CBP), and the Directors of U.S. Citizenship and Immigration Services (USCIS) and U.S.
Immigration and Customs Enforcement (ICE). The Secretary’s memorandum sets forth how
prosecutorial discretion may be exercised in cases involving certain people who arrived in the United
States as children. The Secretary emphasized that generally, this population lacked the intent to violate
the law, and that her memorandum would ensure enforcement resources would not be expended on these
low priority cases.
The basis for the Secretary’s memorandum is the Secretary’s authority to exercise prosecutorial
discretion by deferring action in appropriate cases. Prosecutorial discretion is the authority to determine
how and when to exercise enforcement authority in line with agency priorities. Deferred action is an
exercise of this prosecutorial discretion to defer removal action against certain individuals who are
unlawfully present in the United States in order to devote scarce enforcement resources to the highest
priority removal cases, including individuals who pose a danger to national security or public safety or
have been convicted of specific crimes. USCIS is publishing this Privacy Impact Assessment (PIA)
because the deferred action for childhood arrivals process associated with this memorandum involves the
collection and use of personally identifiable information (PII).

Overview
The Secretary of Homeland Security issued a memorandum that permits the Department to
exercise prosecutorial discretion with respect to individuals who came to the United States as children. 1
DHS plans to exercise prosecutorial discretion when enforcing immigration laws against certain people
who were brought to this country as children. This policy allows DHS to ensure that enforcement
resources are not expended on low priority cases, such as individuals who were illegally brought into this
country as children, have not been convicted of a felony offense, a significant misdemeanor offense, or
multiple misdemeanor offenses, and meet other key guidelines. Furthermore, DHS is able to focus
greater attention on the removal of individuals who pose a danger to national security or a risk to public
safety.
USCIS developed and implemented a formal process for individuals who believe they meet the
deferred action for childhood arrivals guidelines to request consideration of deferred action. This process
is open to any individual who can demonstrate that he or she meets the guidelines for consideration, as
1

On June 15, 2012, Secretary of Homeland Security Janet Napolitano (the Secretary) issued a Department of
Homeland Security (DHS) memorandum entitled, “Exercising Prosecutorial Discretion with Respect to Individuals
Who Came to the United States as Children” (the Secretary’s memorandum). The Secretary’s memorandum is
available at http://www.dhs.gov/xlibrary/assets/s1-exercising-prosecutorial-discretion-individuals-who-came-to-usas-children.pdf.

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outlined in the June 15th Secretary’s memorandum, including those who have never been in removal
proceedings as well as those in removal proceedings, with a final order, or with a voluntary departure
order (as long as they are not in immigration detention). Pursuant to the direction of the Secretary, if an
individual meets the guidelines of this process, CBP or ICE are to exercise their discretion on a case-bycase basis to prevent qualifying individuals from being apprehended, placed into removal proceedings, or
removed.
Deferred action is a discretionary determination to defer removal action of an individual as an act
of prosecutorial discretion. Deferred action does not confer lawful status upon an individual. In addition,
although an individual whose case is deferred will not be considered to be accruing unlawful presence in
the United States during the period deferred action is in effect, deferred action does not excuse individuals
of any previous or subsequent periods of unlawful presence. Under existing regulations, an individual
whose case has been deferred is eligible to receive employment authorization for the period of deferred
action, provided he or she can demonstrate “an economic necessity for employment.” DHS can terminate
or renew deferred action at any time at the agency’s discretion.
Deferred Action for Childhood Arrivals
Pursuant to the guidelines for deferred action for childhood arrivals set forth by the Secretary of
Homeland Security, individuals requesting consideration of deferred action are to:
•

Be under the age of 31 as of June 15, 2012;

•

Have come to the United States before reaching their 16th birthday;

•

Have continuously resided in the United States since June 15, 2007, up to the date of filing;

•

Have been physically present in the United States on June 15, 2012, and at the time of
making the request for consideration of deferred action with USCIS; 2

•

Have entered without inspection before June 15, 2012, or had a lawful immigration status that
expired as of June 15, 2012;

•

Be currently in school, 3 have graduated or obtained a certificate of completion from high
school, have obtained a general education development (GED) certificate, or be an honorably
discharged veteran of the Coast Guard or Armed Forces of the United States; and

•

Not have been convicted of a felony, significant misdemeanor, or three or more other
misdemeanors, and do not otherwise pose a threat to national security or public safety.

Individuals who meet the guidelines above are eligible for consideration to receive deferred action for a
period of two years, subject to renewal. The new process is open only to those who satisfy the guidelines.
As such, immediate relatives, including dependents of individuals whose cases are deferred pursuant to
the consideration of deferred action for childhood arrivals process, may not be considered for deferred
action as part of this process unless they independently satisfy the guidelines.
2

A brief, casual, and innocent absence from the United States does not interrupt continuous residence if it was
before August 15, 2012.
3
To be considered “currently in school” under the guidelines, the individual must be enrolled in school on the date
the individual submits a request for consideration of deferred action under this process.

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Forms to File for Deferred Action for Childhood Arrivals
Individuals seeking consideration of deferred action for childhood arrivals are to submit their
request to USCIS through the consideration form, along with a form requesting employment
authorization. Specifically, these forms include:
•

Form I-821D, Consideration of Deferred Action for Childhood Arrivals, is used to request
that USCIS consider deferring action, on a case-by-case basis, based on the guidelines set
forth by the Secretary of Homeland Security in the memorandum, Exercising Prosecutorial
Discretion with Respect to Individuals Who Came to the United States as Children, published
on June 15, 2012.

•

Form I-765, Application for Employment Authorization, is used to apply for employment
authorization.

•

Form I-765, Worksheet, is used to establish economic necessity for employment.

Individuals are to concurrently file the Form I-821D, the Form I-765, and the I-765 Worksheet (I765WS) with the appropriate fees to request consideration of deferred action for childhood arrivals. There
is no fee to file Form I-821D or Form I-765WS. The Form I-765 fee for the Employment Authorization
Document (EAD) is $465, which includes a $380 form fee and $85 for biometric services. USCIS plans
to reject any Form I-821D submitted without Form I-765.
Employment Authorization Eligibility under Deferred Action for Childhood Arrivals
Individuals who meet the guidelines for consideration of deferred action established above are
also eligible for employment authorization under Title 8 Code of Federal Regulations (CFR), Section
274.a.12(c)(14). Those individuals seeking deferred action for childhood arrivals must also apply for an
Employment Authorization Document (EAD) by completing Form I-765, Application for Employment
Authorization with appropriate fees. An EAD is the document USCIS issues to individuals granted
temporary employment authorization in the United States.4 The validity period is two years, not to
exceed the expiration date of the approval of deferred action. Although individuals seeking deferred
action for childhood arrivals must apply for an EAD regardless of whether they have economic necessity,
an EAD will not be approved without a showing of economic necessity. Individuals must demonstrate
economic necessity by completing the I-765 Worksheet.
Fee Exemption
There are no fee waivers available for employment authorization applications connected to the
deferred action for childhood arrivals process. There are very limited fee exemptions available.5 Requests
for fee exemptions must be filed and favorably adjudicated before individuals file their requests for
consideration of deferred action for childhood arrivals without a fee. In order to be considered for a fee
exemption, the individual must submit a written letter and supporting documentation to USCIS
demonstrating that he or she meets one of the following conditions:
4

Form I-688, Form I-688A, Form I-688B, Form I-766, or any successor document issued by USCIS as evidence
that the holder is authorized to work in the United States.
5
8 CFR section 103.7(c, d).

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•

Is under 18 and homeless, in foster care, or under 18 years of age and otherwise lacking any
parental or other familial support, and with income less than 150% of the U.S. poverty level;

•

Cannot care for him or herself due to suffering from a serious, chronic disability and having
an income less than 150% of the U.S. poverty level; or

•

Have, at the time of the request, accumulated $25,000 or more in debt in the past 12 months
as a result of unreimbursed medical expenses for him or herself or an immediate family
member, and having an income less than 150% of the U.S. poverty level.

The fee exemption request must be submitted and decided prior to the individual submitting a request for
consideration of deferred action for childhood arrivals without a fee. Fee exemption requests submitted
along with the deferred action filings are rejected.
In order to be considered for a fee exemption, the individual must provide documentary evidence
to demonstrate that he or she meets any of the above conditions at the time of the request. For evidence
USCIS will:
•

Accept affidavits from community-based or religious organizations to establish an
individual’s homelessness or lack of parental or other familial financial support.

•

Accept copies of tax returns, bank statements, pay stubs, or other reliable evidence of income
level. Evidence can also include an affidavit from the individual or a responsible third party
attesting that the individual does not file tax returns, has no bank accounts, and/or has no
income to prove income level.

•

Accept copies of medical records, insurance records, bank statements, or other reliable
evidence of unreimbursed medical expenses of at least $25,000.

•

Address factual questions through requests for evidence (RFEs).

USCIS mails a written notice to the individual indicating whether the fee exemption was approved or
denied. The individual is also notified to supply the fee exemption approval notice along with his or her
completed forms in order for USCIS to process the request for deferred action consideration.
Deferred Action for Childhood Arrivals Approval Process
The deferred action for childhood arrival approval process begins with an individual downloading
Forms I-821D, I-765, and the I-765 Worksheet from the USCIS website. The request for consideration of
deferred action must be mailed along with a separate application for employment authorization. All
requests for consideration of deferred action for childhood arrivals filings, which include the completed
forms, supporting evidence, and applicable fee or fee exemption approval, are submitted to the USCIS
Lockbox facility (Lockbox) for initial intake processing. 6

6

Lockbox facilities are operated by a financial agent authorized by the Department of Treasury. This financial
agent manages the intake of USCIS applications, petitions and requests and the collection of associated fees
submitted directly by mail. It provides the mechanisms to capture information electronically from USCIS
applications, petitions and requests, deposit associated fees, forward the information to USCIS systems via an
interface, and generate receipt and rejection notices to individuals. The financial agent is also responsible for
preparing the files in accordance with USCIS guidance and sending the files to the next processing site. The

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All requests for consideration of deferred action for childhood arrivals, and employment
authorization applications, must be filed with the appropriate Lockbox. Individuals determine the
appropriate Lockbox facility from the USCIS website and downloaded forms. This process is designed to
accelerate incoming applications and petitions by electronically capturing data and images from these
forms, and by performing fee receipting and fee deposit. The Lockbox receives mail directly on-site.
Any deferred action for childhood arrival filings mistakenly mailed to a Service Center are forwarded to
the appropriate Lockbox for initial intake processing.
The Lockbox personnel review newly received filings to ensure they are properly filed. The
Lockbox verifies the completion of the following items: basic biographical information, signature on the
form, jurisdiction of the submitted form, correct fee, and basic eligibility of the individual. Filings that
are not properly completed are rejected with an explanation of why the deferred action for childhood
arrivals package is rejected and the corrective action needed. Rejected requests do not retain their filing
date. Individuals may resubmit rejected filings for review as long as the initial issue was resolved.
Successfully completed filings are accepted through the Lockbox intake process and the
information is transmitted electronically to the Computer Linked Application Information Management
System (CLAIMS 3). 7 The data on each form is entered into CLAIMS 3. USCIS uses CLAIMS 3 to
process the I-821D and I-765. USCIS also issues a receipt number for filings and sends a receipt notice to
the individual. The receipt letter notifies the individual that a case has been received by USCIS and is
currently being processed. The Lockbox assembles and ships A-Files, containing Form I-821D, I-765,
and I-765WS, to one of the four regional Service Centers.8
The Service Centers receive the filings, perform file intake functions, and distribute the files to
adjudicators for processing. USCIS adjudicators perform an initial quality assurance review on incoming
filings against the information in CLAIMS 3 by comparing it against the form. Any identified errors are
corrected at the Service Center. Once the information is verified, adjudicators validate each A-Number in
the Central Index System (CIS) based on the name, date of birth, and existing A-Number. 9

financial agent does not approve or deny petitions/applications/requests received. USCIS has a business
arrangement with the Department of the Treasury to allow Bank One, N.A. to serve as the USCIS financial agent.
Bank One, N.A. provides USCIS lockbox imaging, check collection, and initial processing services. For more
information regarding the Lockbox services provided by the Department of Treasury and appropriate financial
agents, please see the Department of Treasury Electronic Check Processing PIA, available at
http://www.fms.treas.gov/pia/ECP_PIA.pdf and the accompanying system of records notice, Treasury/FMS.017 Collections Records -Treasury/Financial Management Service, May 15, 2009 (74 FR 23019) available at
http://www.treasury.gov/FOIA/Pages/fmspa.aspx.
7
Please see the DHS/USCIS/PIA-016 USCIS Benefits Processing of Applicants other than Petitioners for
Naturalization, Refugee Status, and Asylum (CLAIMS 3) for additional information regarding the administration
and adjudication of immigration and naturalization applications available at http://www.dhs.gov/uscis-pias-andsorns#top.
8
“A-files” are a series of records consisting of numbered files prefixed with an “A” used to document the complete
history of USCIS’ interaction with an individual as prescribed by the Immigration and Nationality Act, prior laws,
and other regulations. The records consist of various forms, correspondence and pre-existing files related to or
supplied by the individual and/or documentation supporting action considered by USCIS or its predecessor agencies.
9
Please see the DHS/USCIS/PIA-009 Central Index System (CIS) for additional information on the A-number
validation searches, available at http://www.dhs.gov/uscis-pias-and-sorns#top.

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In a parallel process, individuals who filed a request for consideration of deferred action for
childhood arrivals are scheduled for mandatory biometrics capture (photo, fingerprint, and signature) at
an Application Support Center (ASC) regardless of whether biometrics were captured for a previous filing
with USCIS. ASC appointments are scheduled through the Scheduling and Notification of Applicant
Processing (SNAP) system. 10 USCIS contacts the individual with an appointment time to have his or her
biometrics taken at a specified ASC. At the ASC, USCIS electronically captures the individual’s full
fingerprints (hereafter referred to as the 10-prints) and related biographic data. Individuals under the age
of 14 have their press prints captured instead of full fingerprints. A press print is a fingerprint that is
collected electronically.
USCIS uses the collected biometrics to conduct background and security checks. The purposes
of these checks are to enhance national security and ensure the integrity of the immigration process. All
individuals seeking consideration of deferred action as childhood arrivals are subject to security
background checks. As part of the background check, USCIS requires that specific security checks or a
combination of checks are completed for Forms I-821D and I-765. Specifically, USCIS uses the
following background checks for individuals requesting deferred action:

10

•

Federal Bureau of Investigation (FBI) Fingerprint Check is conducted on individuals over the
age of 14 when the request, if favorably disposed, would allow them to remain in the United
States beyond one year. The FBI Fingerprint Check is a search of the FBI’s Integrated
Automated Fingerprint Identification System (IAFIS) to identify applicants who have an
arrest record. If there is a criminal history record, FBI also sends the FBI Record of Arrests
and Prosecutions (commonly referred to as the “RAP Sheet”) to USCIS electronically. The
RAP Sheet is stored in Biometric Background Storage System. 11 A hard copy of the RAP
Sheet is also sent to the respective Service Center and is stored in the A-File. 12

•

CBP TECS Name Check is conducted on all applicants over 14 years of age. The TECS
Name Check query consists of a name-based search of a multi-agency database containing
information from 26 different Federal agencies. The information in TECS includes records
of known and suspected terrorists, sex offenders, people who are public safety risks and other
individuals that may be of interest (e.g., individuals who have warrants issued against them,
people involved in illegal gang activity) to the law enforcement community. If there are
positive results from the TECS Name Check, the results are stored in Interagency Border
Inspection System (IBIS) Manifest and may be placed in the A-File. 13

Please see the DHS/USCIS/PIA-020 Scheduling and Notification of Applicant Processing (SNAP) for additional
information about the USCIS automated scheduling process for immigration benefits, available at
http://www.dhs.gov/uscis-pias-and-sorns#top.
11
Please see the DHS/USCIS/PIA-033 Immigration Benefits Background Check Systems (IBBCS) PIA for more
information on the Biometric Background Storage System, available at http://www.dhs.gov/uscis-pias-andsorns#top.
12
Please see the Fingerprint Identification Records System (FIRS) Integrated Automated Fingerprint Identification
System (IAFIS) Outsourcing for Noncriminal Justice Purposes - Channeling PIA and the corresponding Justice/FBI009 - Fingerprint Identification Records System (64 FR 52343) SORN for more information on the fingerprint
search.
13
Please see the DHS/CBP/PIA-009(a) TECS System: CBP Primary and Secondary Processing (TECS) National
SAR Initiative, available at http://www.dhs.gov/xlibrary/assets/privacy/privacy-pia-cbp-tecs-sar-update.pdf, and the

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USCIS uses the information it yields from these checks to screen out individuals who seek deferred action
for childhood arrivals improperly or fraudulently. 14
Individuals who have been convicted of a felony offense, a significant misdemeanor offense, or
three or more other misdemeanor offenses not occurring on the same date and not arising out of the same
act, omission, or scheme of misconduct will not be considered for deferred action under the new process
except where DHS determines there are exceptional circumstances15
At any point during the adjudication process, the USCIS adjudication officer may issue a Request
for Evidence (RFE) directly to the individual or his or her representative to request additional information
on the pending case. An RFE is made when the deferred action for childhood arrivals filing is lacking
required documentation/evidence (initial evidence) or the officer needs more documentation/evidence
(additional evidence) to make a determination. The RFE indicates what evidence or information is
needed to fully evaluate the particular response. The notice explains where to send the evidence and a
deadline for the response.
USCIS personnel review all the information provided by the individual along with any additional
information compiled during the case review and background check process. Once approved for deferred
action as a childhood arrival, the individual receives an approval letter indicating the duration of the
deferred action and, if appropriate, an employment authorization document. If USCIS determines that the
individual does not satisfy the guidelines or otherwise determines that the individual does not warrant an
exercise of prosecutorial discretion, then USCIS declines to defer action for that particular case. USCIS
issues a denial notice with an explanation citing the reason(s) USCIS declined the request. The individual
cannot file a motion to reopen or reconsider, and cannot appeal the decision if USCIS denies the request.
The final decision is recorded in CLAIMS 3. Notices are either mailed or emailed to the individual.

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 Immigration Nationality Act, 8 U.S.C. § 1101, et seq. provides the legal authority to collect
information used for the adjudication of immigration applications, petitions, and requests. The Secretary
of Homeland Security issued the Exercising Prosecutorial Discretion with Respect to Individuals Who
Came to the United States as Children memorandum, published on June 15, 2012, establishing guidelines
that should be satisfied before an individual is considered for an exercise of prosecutorial discretion as a
childhood arrival.

corresponding DHS/CBP-011 - U.S. Customs and Border Protection TECS (73 FR 77778) SORN, available at
http://edocket.access.gpo.gov/2008/E8-29807.htm, for more information on the TECS name check search.
14
See DHS/USCIS/PIA-033 Immigration Benefits Background Check Systems (IBBCS) PIA in footnote 12 above.
15
In very rare circumstances, USCIS may exercise its discretionary authority to defer action in a particular case
where the individual does not meet the criminal history guidelines for consideration of deferred action for childhood
arrivals. These exceptional circumstances are extremely rare and would require very compelling equities to be
presented. Please see the Consideration of Deferred Action for Childhood Arrivals Process Frequently Asked
Questions for more information at www.uscis.gov.

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1.2

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

The following system of records notices cover the collection, maintenance, and use of deferred
action of childhood arrivals requests:
•

DHS/USCIS/ICE/CBP-001 - Alien File, Index, and National File Tracking System of Records
(June 13, 2011, 76 FR 34233) covers the consideration for deferred action for childhood arrivals
requests, employment authorization applications, and supplemental evidence;

•

DHS/USCIS-002 - Background Check Service (June 5, 2007, 72 FR 31082) covers the status and
results of background checks;

•

DHS/USCIS-003 - Biometric Storage System (April 6, 2007, 72 FR 17172) covers the collection,
use, and storage of biometric data; and

•

DHS/USCIS-007 - Benefits Information System (September 29, 2008, 73 FR 56596) covers the
consideration of deferred action for childhood arrivals request data, employment authorization
application data, decision data, and fee exemption data.

1.3

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

CLAIMS 3 is the information technology system that supports benefits processing of applicants
other than petitioners for naturalization, refugee status, and asylum and maintains records from the
SORNs listed above. CLAIMS 3 was authorized for operation on March 30, 2012, for a period of three
years. The CLAIMS 3 Authority to Operate (ATO) is set to expire on March 30, 2015. The CLAIMS 3
Security Plan was completed on February 22, 2012.

1.4

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

NARA approved the Alien File [N1-566-08-11] and CLAIMS 3 [N1-566-08-13] retention
schedules.

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.

The collection of information for deferred action for childhood arrivals is subject to the
Paperwork Reduction Act. USCIS obtained approval from OMB for Form I-821D (OMB No. 16150124) and Form I-765 (OMB No. 1615-0040).

Section 2.0 Characterization of the Information

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The following questions are intended to define the scope of the information requested and/or collected, as
well as reasons for its collection.

2.1

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

USCIS collects biographic, biometric, verifiable evidence, 16 and applicable fees from individuals
for consideration of deferred action and employment authorization eligibility. Specifically, individuals
seeking consideration of deferred action for childhood arrivals must complete Form I-821D,
Consideration of Deferred Action for Childhood Arrivals, Form I-765, Application for Employment
Authorization, and the I-765WS, I-765 Worksheet. USCIS may also collect information from the
individual’s representative through the G-28, Notice of Entry of Appearance as Attorney or Accredited
Representative. Requests for fee exemptions must be filed and favorably adjudicated before an individual
files his or her request for consideration of deferred action for childhood arrivals without a fee. In order to
be considered for a fee exemption, the individual is to submit a letter and supporting documentation. The
information from these forms is extracted and retained in CLAIMS 3. Verifiable evidence is stored in the
individual’s A-File.17
The individual must undergo biographic and biometric background checks before USCIS will
consider whether to exercise prosecutorial discretion under the consideration of deferred action for
childhood arrivals process. The ASC captures fingerprints for individuals required to undergo a full
biometrics capture. The fingerprints are transmitted daily to the FBI’s IAFIS database. This query submits
fingerprints, without any names associated with the prints. Results of this query are all the names of
individuals that match the prints in the FBI’s system. These results 18 are loaded into BBSS. 19 The USCIS
BBSS maintains copies of the responses to the FBI Fingerprint Check and the FBI RAP Sheets. In certain
instances, the RAP Sheets are also placed in the A-File. 20 The CBP TECS Name Check uses the
individual’s name to obtain criminal history information. This information is stored in the USCIS IBIS
Manifest and the A-File. 21

16

Verifiable evidence is documentation submitted by the individual sufficient for consideration of deferred action
for childhood arrivals, employment necessity, and fee exemption needs. Please see Appendix B for a full listing of
acceptable evidence.
17
Please see Appendix A for a full listing of data elements collected through Form I-821D, I-765, and G-26 and
Appendix B for a list of accepted documents to establish eligibility.
18
If there is no match in Integrated Automated Fingerprint Identification System, the FBI’s response is “NONIDENT.” If a criminal history record does not exist, the FBI provides USCIS a response (IDENT) indicating that
there was a match on the fingerprints submitted.
19
Please see the DHS/USCIS/PIA-033 IBBCS PIA on the results and systems used to store the fingerprint check
results.
20
See footnote 17 above.
21
Please see the DHS/USCIS/PIA-033 IBBCS PIA on the results and systems used to store the fingerprint check
results and name check, available at http://www.dhs.gov/uscis-pias-and-sorns#top.

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2.2

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

USCIS collects the completed forms and the associated evidence directly from the individual or
his or her representative. The biometric information is provided by the individual for the FBI Fingerprint
Check. The responses from the FBI Fingerprint check are stored in BBSS and may be placed in the AFile. The response from the TECS Name Check is stored in IBIS Manifest and may be placed in the AFile. Also the history action code is placed in CLAIMS 3 if there is no derogatory information.

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 does not collect information from commercial or publicly available data sources to
determine deferred action for childhood arrivals.

2.4

Discuss how accuracy of the data is ensured.

USCIS collects information directly from the individual or his or her representative; therefore,
USCIS is dependent upon the accuracy of the information provided by the individual or their
representative. The accuracy of the information is also determined by the fingerprint and name checks.

2.5

Privacy Impact Analysis: Related to Characterization of the
Information.

Privacy Risk: There is a privacy risk that more PII than is necessary may be collected.
Mitigation: To mitigate this risk, USCIS developed a detailed process to review what
information is necessary to determine deferred action for childhood arrivals. The USCIS Privacy Office
reviewed all the data elements that are collected on I-821D to ensure that only the minimum amount of
information needed to consider deferred action status was collected. USCIS reviewed the data to ensure
that it would increase processing efficiency, provide better customer service, and ensure deferred action
for childhood arrivals is provided to only those who were qualified to receive it. Data that did not meet
these guidelines were not included in the form. All information requested on Form I-821D is necessary to
process requests for consideration of deferred action for childhood arrivals. All data elements collected
were negotiated with and approved by OMB during Paperwork Reduction Act collection review.
Privacy Risk: Data entry errors that might occur when transferring information from the deferred
action forms submitted by individuals into the CLAIMS 3.
Mitigation: USCIS mitigates this risk by requiring adjudication officers to conduct a quality
assurance check in CLAIMS 3 to verify the accuracy of the information. This is completed by comparing
the information from the form against the system. Any data errors are manually updated to reflect the
correct information.

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Section 3.0 Uses of the Information
The following questions require a clear description of the project’s use of information.

3.1

Describe how and why the project uses the information.

USCIS begins processing deferred action requests after they are received through the intake
process. USCIS uses information provided in the request, response to an RFE, through an ASC biometrics
collection, and from the background check results to:
•

Gather any missing information;

•

Manage workflow;

•

Generate reports;

•

Assist USCIS in making a final determination;

•

Provide a repository of data to assist with future requests;

•

Schedule appointments; and

•

Issue decision notices.

The main purpose for collecting this information is to determine whether to approve requests for deferred
action for childhood arrivals. All information collected from the individual requesting deferred action
that is processed by CLAIMS 3 is necessary to establish the individual’s identity and history with USCIS,
as well as appropriateness for consideration of deferred action. In addition, USCIS uses the information
to determine suitability for consideration of deferred action using criminal, immigration, or terrorismrelated history.

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.

USCIS does not use technology to conduct pattern based queries or searches in considering
deferred action requests. USCIS only runs reports to allow employees to analyze data relating to cases
involving suspected fraud, public safety, or national security for consideration of deferred action based on
the guidelines for eligibility for deferred action for childhood request. USCIS may use the results to
facilitate the identification of fraud patterns or trends, as well as previously unknown associations
between applicants involved in fraud who pose national security and public safety concerns.22 USCIS
places the information it collects, derogatory or not, in a record for each individual for several purposes,
including future immigration status verification, evaluating subsequent requests made by an individual,
and for litigation.
22

Please see DHS/USCIS/PIA-044 Fraud Detection and National Security Directorate (FDNS) for more information
on how USCIS detects, identifies, and combats threats to the security of the United States and the integrity of its
legal immigration system, available at http://www.dhs.gov/uscis-pias-and-sorns#top.

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3.3

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

Information provided in this request is protected from disclosure to ICE and CBP for the purpose
of immigration enforcement proceedings unless the individual meets the guidelines for the issuance of a
Notice to Appear (NTA) or a referral to ICE under the guidelines set forth in USCIS’s Notice to Appear
guidance (www.uscis.gov/NTA). Individuals whose cases are deferred pursuant to the consideration of
deferred action for childhood arrivals process will not be referred to ICE. The information may be shared
with national security and law enforcement agencies, including ICE and CBP, for purposes other than
removal, including for assistance in the consideration of the deferred action for childhood arrivals request,
to identify or prevent fraudulent claims, for national security purposes, or for the investigation or
prosecution of a criminal offense. The above information sharing policy covers family members and
guardians, in addition to the individual.

3.4

Privacy Impact Analysis: Related to the Uses of Information

Privacy Risk: Individuals who have legitimate access to PII could exceed their authority and use
the data for unofficial purposes.
Mitigation: USCIS developed a Deferred Action for Childhood Arrivals Standard Operating
Procedure to ensure accurate data entry and proper handling and the appropriate use of information. Prior
to any system access, all DHS employees are required to take annual computer security and privacy
awareness training, which addresses this issue. DHS also maintains rules of behavior for employees who
use DHS systems. USCIS also limits access to PII by employing role-based access (only allowing access
to users who need particular PII to perform their duties). USCIS also deploys user logs to ensure users are
only accessing information related to their job functions. Additionally, disciplinary rules are in place to
ensure the appropriate use of information.

Section 4.0 Notice
The following questions seek information about the project’s notice to the individual about the information
collected, the right to consent to uses of said information, and the right to decline to provide information.

4.1

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

USCIS provides individuals notice throughout the request process for deferred action for
childhood arrivals. Prior to the submission of any information, individuals are presented with a Privacy
Act Statement, as required by Section (e)(3) of the Privacy Act. The Privacy Act Statement notifies the
individual about the authority to collect the information requested, purposes, routine uses, and
consequences of providing or declining to provide the information to USCIS. Individuals are also
provided general notice through the publication of this PIA, and DHS/USCIS/ICE/CBP-001 - Alien File,
Index, and National File Tracking System of Records (June 13, 2011, 76 FR 34233), DHS-USCIS-002 Background Check Service (June 5, 2007, 72 FR 31082), DHS-USCIS-003 - Biometric Storage System

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(April 6, 2007, 72 FR 17172), and DHS/USCIS-0007 - Benefit Information System (September 29, 2008,
73 FR 56596) SORNs cover the collection, maintenance, and use of this information. Additional
information about deferred action for childhood arrivals is available at www.uscis.gov.

4.2

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

Individuals are informed at the point of data collection that it is within their legal right to decline
to provide the requested information. However, failure to provide the requested information may result in
the delay of a final decision and result in the denial of the form. Declining to provide all of the required
information on the Form I-765, I-765WS, or the I-821D, or to provide payment, may result in USCIS
declining the request.

4.3

Privacy Impact Analysis: Related to Notice

Privacy Risk: Insufficient notice is provided to the individual describing the purpose and use of
the collected information.
Mitigation: USCIS mitigates this risk by providing notice to the individual prior to the collection
of information through the publication of SORNs in the Federal Register, PIAs, its public outreach
efforts, and information on www.uscis.gov/childhoodarrivals. Individuals seeking deferred action are
made aware that the information they are providing is being collected to determine whether they are
eligible to be considered for deferred action as a childhood arrival. Each immigration form, specifically
Form I-821D and Form I-765, contains a Privacy Act Statement describing the legal authority to collect
information, purpose, routine uses, and right to decline to provide information. In the spirit of
transparency, USCIS is also publishing this PIA to provide additional notice to the individual of how the
deferred action for childhood arrivals process operates, about the information collected, the right to
consent to uses of said information, and the right to decline to provide information.

Section 5.0 Data Retention by the project
The following questions are intended to outline how long the project retains the information after the initial
collection.

5.1

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

USCIS enters the information from the completed deferred action for childhood arrivals and
employment authorization forms into CLAIMS 3 for processing and adjudication. Information in
CLAIMS 3 is destroyed 15 years after the last completed action with respect to the request. Supplemental
evidence submitted along with the application is stored in the A-File. The A-File records are permanent
whether hard copy or electronic. DHS transfers the A-Files to the custody of the National Archives 100
years after the individual’s date of birth.

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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 request.
Mitigation: USCIS retains data beyond the approval or denial of a request in order to ensure the
information is available for several purposes, including future immigration status verification, evaluating
subsequent requests by an individual, 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. When information
is no longer necessary, USCIS retires the records according to the retention period described in the
applicable SORNs.

Section 6.0 Information Sharing
The following questions are intended to describe the scope of the project information sharing external to
the Department. External sharing encompasses sharing with other federal, state and local government, and private
sector entities.

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 shares 10-print records with the FBI to conduct a criminal background check for all
individuals requesting deferred action for childhood arrivals. The FBI Fingerprint Check requests and
responses are electronically transmitted through BBSS to and from the FBI’s IAFIS system. FBI
fingerprints, other biometric information, and the criminal history check responses are encrypted when
electronically transmitted between BBSS and the FBI. The data exchange between USCIS and the FBI for
the purpose of FBI Name Check occurs via zipped and encrypted email. 23

6.2

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

USCIS only shares information outside of DHS as permitted under the routine uses outlined in
the applicable SORNs in Section 1.2. USCIS may share information with other agencies to assist in
making a determination on a deferred action request. USCIS also shares information with other agencies
for law enforcement purposes, or other uses compatible with applicable SORNs.

6.3

Does the project place limitations on re-dissemination?

USCIS has signed an Information Sharing Agreement (ISA) and Memorandum of Understanding
(MOU) with the FBI that set forth the terms and conditions for the transfer and use of information
pertaining to background checks and associated systems. The transfer of data is conducted pursuant to
23

Please see the DHS/USCIS/PIA-033 IBBCS PIA on the results and systems used to store the fingerprint check
results and name check, available at http://www.dhs.gov/uscis-pias-and-sorns#top.

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the MOU between USCIS and the FBI. In addition, the FBI has policies and procedures in place to
ensure that information is not inappropriately disseminated.

6.4

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

In addition to the MOU described above, 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: The privacy risk in external sharing is the sharing of data for purposes that are not
in accord with the stated purpose and use of the original collection.
Mitigation: USCIS is careful to share data only with external agencies that have a need-to-know,
and put the information to a use that is compatible with USCIS SORNs. All external sharing
arrangements are reviewed prior to the sharing of information to ensure such uses are consistent with
existing published routine uses in the applicable SORNs and/or performed with the consent of the
individual whose information is being shared. The Privacy Act Statement included in Form I-821D
notifies the individual that USCIS may provide information from their request to other government
agencies. As required by DHS procedures and policies, all current external sharing arrangements are
consistent with the original purpose for which the information was collected.

Section 7.0 Redress
The following questions seek information about processes in place for individuals to seek redress which
may include access to records about themselves, ensuring the accuracy of the information collected about them,
and/or filing complaints.

7.1

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

The Privacy Act of 1974, 5 U.S.C. § 552a, as amended, provides statutory privacy rights to U.S.
citizens and Legal Permanent Residents (LPRs). The Privacy Act does not cover visitors or aliens. As a
matter of DHS policy, any PII that is collected, used, maintained, and/or disseminated in connection with
a mixed system by DHS are to be treated as a System of Records subject to the Privacy Act regardless of
whether the information pertains to a U.S. citizen, Legal Permanent Resident, visitor, or alien. Under this
policy, DHS components are to handle non-U.S. person PII held in mixed systems in accordance with the
fair information practices, as set forth in the Privacy Act. Non-U.S. persons have the right of access to
their PII and the right to amend their records, absent an exemption under the Privacy Act; however, this
policy does not extend or create a right of judicial review for non-U.S. persons.

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An individual seeking consideration of deferred action for childhood arrivals may gain access to
their USCIS records by filing a Freedom of Information Act (FOIA) or Privacy Act request. Any
individual seeking access to their USCIS record may submit the aforementioned requests to following
address:
USCIS National Records Center
Freedom of Information Act/Privacy Act Program
P. O. Box 648010,
Lee’s Summit, MO 64064-8010
The information requested may, however, be exempt from disclosure under the Privacy Act because
sometimes files contain law enforcement sensitive information and the release of such information could
possibly compromise ongoing criminal investigations. Further information for Privacy Act and FOIA
requests for USCIS records can also be found at http://www.uscis.gov.

7.2

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

USCIS treats all requests for amendment of information in a system of records as Privacy Act
amendment requests. Individuals may direct all requests to contest or amend information to the FOIA/PA
Office at USCIS at the address listed above. They must state clearly and concisely in the redress request
the information being contested, the reason for contesting it, and the proposed amendment thereof.
However, there is no appeals process for deferred action for childhood arrivals final determinations. The
individual cannot file a motion to reopen or reconsider, and cannot appeal the decision if USCIS denies
his or her request for consideration of deferred action for childhood arrivals. USCIS will not review its
discretionary determinations on considering deferred action for childhood arrivals.

7.3

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

The procedures for individuals to amend their information are outlined in this PIA and SORNs
associated with the deferred action for childhood arrivals process.

7.4

Privacy Impact Analysis: Related to Redress

Privacy Risk: There is a privacy risk that an individual’s opportunity for redress may be limited
by Privacy Act exemptions or limited avenues for seeking redress.
Mitigation: Individuals are given numerous opportunities during and after the completion of the
processing to correct information they have provided and to respond to information received from other
sources. USCIS does not claim any Privacy Act exemptions for deferred action for childhood arrivals
individuals, and therefore individuals may submit a redress request or appeal as stated in the DHS Privacy
Act regulations (found at Title 6 Code of Federal Regulations, Section 5.21).

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Privacy Risk: There is a privacy risk that individuals seeking consideration of deferred action for
childhood arrivals will be deterred from filing a Privacy Act request due to their non-U.S. citizen status.
Mitigation: Under the DHS mixed-system policy, non-U.S. persons have the right of access to
their information and the right to amend their records, absent an exemption under the Privacy Act;
however, this policy does not extend or create a right of judicial review for non-U.S. persons. Due to the
inherent difficulties in determining an individual’s current citizenship status, which may change over time
through naturalization or adjustment, USCIS defines the system of records covering deferred action for
childhood arrivals as a mixed system, meaning it collects information on U.S. persons and non-U.S.
persons and extends the rights of the Privacy Act to these individuals. Therefore, individuals seeking
consideration of deferred action for childhood arrivals may submit a Privacy Act request.
Although individuals requesting consideration of deferred action for childhood arrivals are
provided the right to access and amendment of their records, there is no appeals process for deferred
action for childhood arrivals final determinations. The individual cannot file a motion to reopen or
reconsider, and cannot appeal the decision if USCIS denies his or her request for consideration of
deferred action for childhood arrivals. USCIS will not review its discretionary determinations.

Section 8.0 Auditing and Accountability
The following questions are intended to describe technical and policy based safeguards and security
measures.

8.1

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

DHS security specifications require auditing capabilities that log the activity of each user in order
to reduce the possibility of misuse and inappropriate dissemination of information. In accordance with
DHS security guidelines, USCIS systems use auditing capabilities that log user activity. All user actions
are tracked via audit logs to identify audit information by user identification, network terminal
identification, date, time, and data accessed. All USCIS systems employ auditing measures and technical
safeguards to prevent the misuse of data. Engineers assigned to maintain the USCIS systems have
legitimate job duties that require them to design, develop, and optimize the system within the security
accreditation environment. This work is performed under supervisory oversight. Furthermore, each
employee is required to undergo annual security awareness training that addresses their duties and
responsibilities to protect the data. In addition, USCIS systems have internal audits separate from the
domain security audits; therefore, a double layer of audit trails exist.

8.2

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

USCIS provides annual privacy and security awareness training to all employees and contractors.
The Culture of Privacy Awareness training addresses appropriate privacy concerns, including Privacy Act
obligations (e.g., SORNs and Privacy Act Statements). The Computer Security Awareness training
examines appropriate technical, physical, personnel, and administrative controls to safeguard information.

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Additionally, USCIS personnel responsible for considering requests for consideration of deferred action
for childhood arrivals will receive special training specific to this process.

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 deploys role-based access controls and enforces a separation of duties throughout the
processing and adjudication of deferred action for childhood arrival requests to limit access to only those
persons who have a need-to-know in order to perform their duties. This need-to-know is determined by
the respective responsibilities of the employee. In compliance with federal law and regulations, user
access privileges are also limited by establishing role-based user accounts in CLAIMS 3 and its
associated systems to minimize access to information that is needed view and edit the data.

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?

USCIS has a formal review and approval process in place for new sharing agreements. Any new
sharing agreements, use of information, and/or new access requests for USCIS systems must go through
the USCIS change control process and must be approved by the proper authorities prior to sharing
information within and outside of DHS.

Responsible Officials
Donald K. Hawkins
Chief Privacy Officer
United States Citizenship and Immigration Services

Approval Signature
[Original signed copy on file with DHS Privacy Office.]
________________________________
Jonathan R. Cantor
Acting Chief Privacy Officer
Department of Homeland Security

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APPENDIX A: Deferred Action Forms and Collected Data Elements
Form I-821D, Consideration of Deferred Action for Childhood Arrivals
Information about consideration of deferred action for childhood arrivals individuals may
include:
•

First Name

•

Middle Name

•

Last Name

•

Alias(es)

•

Current and Past Mailing address(es)

•

Alien Number (A-Number)

•

Social Security Number

•

Date of Birth

•

Gender

•

City/Town/Village of Birth

•

Country of Birth

•

County of Residence

•

Country of Citizenship/Nationality

•

Date of initial entry into the United States

•

Place of Entry into the United States

•

Status of Entry

•

I-94 Number

•

I-94 Expiration Date

•

Current Education Status

•

Military Status

•

Arrival/Residence information

•

Criminal, National Security and Public Safety Information

•

Signature

Preparer information includes:
•

Name

•

Organization

•

Physical, Mailing, and Email Addresses

•

Phone and Fax Numbers

•

Relationship to the individual

•

Signature

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Form I-765, Application for Employment Authorization
Information about consideration of deferred action for childhood arrivals individuals may
include:
•

First Name

•

Middle Name

•

Last Name

•

Alias(es)

•

Country of Citizenship/Nationality

•

Place and date of Birth

•

Marital Status

•

Social Security Number, if any

•

Alien Number or I-94

•

Date of Last Entry into the United States

•

Place of Last Entry into the United States

•

Manner of Last Entry

•

Current Immigration Status

•

Signature

Preparer information includes:
•

Name

•

Organization

•

Physical, Mailing, and Email Addresses

•

Phone and Fax Numbers

•

Relationship to the individual

•

Signature

Form I-765, Worksheet
Information on the worksheet includes:
•

Name

•

Annual Income

•

Annual Expenses

•

Current Assets

G-28, Notice of Entry of Appearance as an Attorney or Accredited Represented
Representative information includes:

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•

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

•

Board of Immigration Appeals (BIA) Representative Accreditation Expiration Date

•

Law Practice Restriction Explanation

•

Signature

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APPENDIX B: Examples of Verifiable Evidence
Acceptable evidence may consist of, but is not limited to:
Identity
•

A passport,

•

A birth certificate accompanied by photo identification,

•

Any national identity document from the individual’s country of origin bearing the
individual’s photo and/or fingerprint,

•

Any U.S.-government immigration or other document bearing the individual’s name and
photograph (e.g., Employment Authorization Documents (EADs), expired visas, driver’s
licenses, non-driver cards),

•

Any school-issued form of identification with photo, or

•

Military identification document with photo.

Age at the time of filing
•

Birth Certificate,

•

Other acceptable secondary evidence establishing the individual’s date of birth.

Arrived in United States Prior to 16th Birthday
•

I-94

Present in the United States on June 15, 2012 and Continuous Residence
Employment Records
•

Pay stubs,

•

W-2 Forms,

•

Certification of the filing of Federal, State, or local income tax returns,

•

Letters from employer(s) or, if the deferred action for childhood arrivals individual has been
self-employed, letters from banks, and other firms with whom he/she has done business.

Receipts, Bills, Letters
•

Rent receipts,

•

Utility bills (gas, electric, telephone, etc.) bearing the individual’s name (or family name if
residing at same address) and address,

•

Receipts or letters from companies showing the dates during which the individual received
service.

School Records
•

Transcripts,

•

Letters,

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•

Report cards from the school(s) that the individual attended in the United States showing the
name of school(s) and the period(s) of school attendance.

Medical Records
•

Hospital or medical records showing medical treatment or hospitalization of the individual. Such
records should show the name of the medical facility or physician, as well as the date(s) of the
treatment or hospitalization.

Memberships
•

Official records from a religious entity in the United States confirming the individual’s
participation in a religious ceremony, rite, or passage (e.g., baptism, first communion,
wedding, etc.),

•

Documentation showing membership in community organizations (e.g., Scouts).

Military Records
•

Form DD-214,

•

Certificate of Release or Discharge from Active Duty,

•

NGB Form 22,

•

National Guard Report of Separation and Record of Service,

•

Military personnel records or military health records.

Additional Accepted Documents
•

Money order receipts for money sent in or out of the country,

•

Passport entries,

•

Birth certificates of children born in the United States,

•

Bank books with dated transactions,

•

Social Security card,

•

Selective Service card,

•

Automobile license receipts, title, vehicle registration,

•

Deeds, mortgages, contracts to which the deferred action for childhood arrivals individual has
been a party,

•

Tax receipts,

•

Insurance policies, receipts, or postmarked letters.

Lacked Lawful Immigration Status on June 15, 2012
•

I-94/I-95/I-94W Arrival/Departure Record showing the date the individual’s authorized stay
expired,

•

If the individual has a final order of exclusion, deportation, or removal issued on or before
June 15, 2012, a copy of that order and related charging documents, if available,

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•

An INS or DHS charging document placing the individual into deportation, exclusion, or
removal proceedings,

•

Any other document that is relevant to show that the individual lacked lawful immigration
status on June 15, 2012.