Pta

Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

PRIVACY THRESHOLD ANALYSIS (PTA)
This form serves as the official determination by the DHS Privacy Office to
identify the privacy compliance requirements for all Departmental uses of
personally identifiable information (PII).
A Privacy Threshold Analysis (PTA) serves as the document used to identify
information technology (IT) systems, information collections/forms, technologies,
rulemakings, programs, information sharing arrangements, or pilot projects that involve
PII and other activities that otherwise impact the privacy of individuals as determined by
the Chief Privacy Officer, pursuant to Section 222 of the Homeland Security Act, and to
assess whether there is a need for additional Privacy Compliance Documentation. A PTA
includes a general description of the IT system, information collection, form, technology,
rulemaking, program, pilot project, information sharing arrangement, or other Department
activity and describes what PII is collected (and from whom) and how that information is
used and managed.
Please complete the attached Privacy Threshold Analysis and submit it to your
component Privacy Office. After review by your component Privacy Officer the PTA is sent
to the Department’s Senior Director for Privacy Compliance for action. If you do not have a
component Privacy Office, please send the PTA to the DHS Privacy Office:
Senior Director, Privacy Compliance
The Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
Tel: 202-343-1717
PIA@hq.dhs.gov

Upon receipt from your component Privacy Office, the DHS Privacy Office will review this
form and assess whether any privacy compliance documentation is required. If compliance
documentation is required – such as Privacy Impact Assessment (PIA), System of Records
Notice (SORN), Privacy Act Statement, or Computer Matching Agreement (CMA) – the DHS
Privacy Office or component Privacy Office will send you a copy of the relevant compliance
template to complete and return.
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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

Privacy Threshold Analysis (PTA)

Specialized Template for
Information Collections (IC) and Forms
The Forms-PTA is a specialized template for Information Collections and Forms. This
specialized PTA must accompany all Information Collections submitted as part of the
Paperwork Reduction Act process (any instrument for collection (form, survey,
questionnaire, etc.) from ten or more members of the public). Components may use this PTA
to assess internal, component-specific forms as well.
Form Number:
Form Title:
Component:

OMB-64

H-1B Registration Tool
U.S. Citizenship and
Immigration Services
(USCIS)

Office:

Service Center
Operations

IF COVERED BY THE PAPERWORK REDUCTION ACT:
Collection Title:
H-1B Registration Tool
OMB Control
Number:
Collection status:
Name:
Office:

Phone:
Name:

1615-0144

New Collection

OMB Expiration
Date:
Date of last PTA (if
applicable):

N/A
N/A

PROJECT OR PROGRAM MANAGER
Kristal Lightning
OIT
Title:
H-1B Registration Product
Manager
202-365-7711
Email:
Kristal.k.lightning@uscis.dh
s.go

COMPONENT INFORMATION COLLECTION/FORMS CONTACT
Melanie Frank

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

Office:
Phone:

Regulatory Coordination
Division, Office of Policy
and Strategy
(202) 527-4488

Title:

Mgmt Prog Analyst,

Email:

Melanie.R.Frank2@uscis.dhs
.gov
SPECIFIC IC/Forms PTA QUESTIONS

1. Purpose of the Information Collection or Form
a. Describe the purpose of the information collection or form. Please provide a
general description of the project and its purpose, including how it supports the DHS
mission, in a way a non-technical person could understand (you may use
information from the Supporting Statement).
If this is an updated PTA, please specifically describe what changes or upgrades are
triggering the update to this PTA.
New PTA
USCIS is submitting this PTA to document a new information collection instrument – H1B Cap Registration Tool.
Overview
USCIS receives and adjudicates petitions and applications for all immigration benefits,
including petitions by U.S. employers seeking nonimmigrant worker status for aliens.
More specifically, USCIS administers and adjudicates H-1B nonimmigrant petitions,
which are filed by employers (hereinafter referred to as petitioners) to employ foreign
workers in specialty occupations that require theoretical or practical application of
highly specialized knowledge and attainment of a bachelor’s or higher degree in the
specialty. Typical H-1B occupations include architects, engineers, computer
programmers, accountants, doctors, and college professors, among others.

Petitioners seeking benefits for an alien (hereinafter referred to as beneficiary) under
the H-1B nonimmigrant classification are subject to congressionally-mandated annual
numerical limits, known as the H-1B cap. Caps control the number of workers that can be
issued a visa and/or receive H-1B classification in a given fiscal year. By law, USCIS
cannot grant more than 65,000 new H-1B visa petitions per fiscal year subject to certain
limited exceptions (“65,000 cap”). An exemption applies to the first 20,000 H-1B
petitions filed on behalf of a beneficiary who has attained a U.S. master’s degree or
higher (“20,000 cap”). This means, in effect, 85,000 visas are available.

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

Historically, USCIS received more petitions than available slots and reached the H-1B cap
within days of opening the H-1B filing period for the new fiscal year. In the event USCIS
anticipates that the H1B filings will exceed the cap, USCIS announces to the public a final
date on which it will accept H-1B petitions from petitioners. This date has been as early
as the first day after USCIS began accepting H-1B petitions for the upcoming fiscal year.
Properly submitted petitions undergo a random selection process to determine which
petitions can be processed to completion and, if otherwise eligible, which beneficiaries
are able to receive a new H-1B visa number. USCIS randomly selects from submitted H1B petitions to ensure the fair and orderly distribution of available H-1B cap numbers.

H-1B Registration Tool (OMB-64)
USCIS plans to implement a mandatory registration process using a tool known as the H1B Registration Tool. Petitioners will be able to register prospective beneficiaries for
random selection, instead of initially filing a full petition via a paper form, through the
myUSCIS Account Experience. USCIS amended its regulations via the rulemaking process
to provide an alternate H-1B petition filing procedure to streamline and simplify the
process for petitioners subject to H-1B numerical limits. This amendment establishes the
mandatory electronic registration requirement requiring petitioners to register in order
to participate in the random selections.

The H-1B Registration tool will allow petitioners to register for the lottery, while being
less cumbersome and requiring less information from each beneficiary than filing a
complete H-1B petition. USCIS plans to collect information about the H-1B petitioner,
designated user (such as an attorney acting on behalf of the petitioner), and prospective
beneficiary. The H-1B Registration Tool [OMB Control No.1615-0144] is to collect the
following information:
The H-1B petitioner is an employer seeking to hire a beneficiary under the H-1B
classification. The petitioner or the petitioner’s agent may complete the H-1B Cap
Registration. Information about the H-1B petitioner and/or its designated agent includes
the:
• Organization name
• Full name of contact person
• Title of contact person
• Email address
• Telephone number

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

•
•

Mailing address (includes street address, city, state, province, and zip code)
Employee Identification Number (EIN)

The H-1B beneficiary is the alien seeking H-1B classification. Information about the
beneficiary includes his or her:
• Full name
• Date of birth
• Country of birth
• Country of citizenship
• Passport number
• Gender
• Category – cap or exemption

Petitioners of selected registration forms will then be eligible to file complete H-1B
petitions for the upcoming fiscal year on behalf of the beneficiary named in the
registration.

The H-1B Registration Tool does not alter the process for processing and adjudicating H1B petitions (i.e., Form I-129), which USCIS will continue to process and adjudicate as
described in the Computer Linked Application Information Management System and
Associated Systems (CLAIMS 3) PIA and Benefits Information System (BIS) system of
records notice (SORN).
Relevant IT System:
The H-1B Registration Tool will be available for electronic submission of information and
is the only method by which information can be transmitted to USCIS. H-1B registrations
may only be filed electronically via USCIS’s online filing portal at
www.myaccount.uscis.gov.
b. List the DHS (or component) authorities to collect, store, and use this information.
If this information will be stored and used by a specific DHS component, list the
component-specific authorities.
USCIS needs the information collected through this form and accompanying supplements
to determine whether the petitioner and foreign national beneficiary(ies) is (are) eligible
for the nonimmigrant classification. The statutory authority is section 101(a)(15) and
214(c)(1); 8 U.S.C. 1101(a)(15) and 1184(c)(1) of the Immigration and Nationality Act
(Act) and the regulatory authority is 8 CFR 214.2 (h)(2)(i)(A). A U.S. employer, or agent
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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

in some instances, may file a petition for nonimmigrant worker to employ foreign
nationals under the H-1B nonimmigrant classification.
2. Describe the IC/Form
a. Does this form collect any
Personally Identifiable
Information” (PII 1)?

b. From which type(s) of
individuals does this form
collect information?
(Check all that apply.)

c. Who will complete and
submit this form? (Check
all that apply.)

☒ Yes
☐ No

☒ Members of the public
☒ U.S. citizens or lawful permanent
residents
☒ Non-U.S. Persons.
☐ DHS Employees
☐ DHS Contractors
☐ Other federal employees or contractors.

☐ The record subject of the form (e.g., the
individual applicant).
☒ Legal Representative (preparer, attorney,
etc.).
☒ Business entity.
If a business entity, is the only
information collected business contact
information?
☒ Yes
☐ No
☐ Law enforcement.
☐ DHS employee or contractor.
☐ Other individual/entity/organization that is
NOT the record subject. Please describe.
Click here to enter text.

1
Personally identifiable information means any information that permits the identity of an individual to be directly or indirectly inferred, including
any other information which is linked or linkable to that individual regardless of whether the individual is a U.S. citizen, lawful permanent resident,
visitor to the U.S., or employee or contractor to the Department.

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

d. How do individuals
complete the form? Check
all that apply.

☐ Paper.
☐ Electronic. (ex: fillable PDF)
☒ Online web form. (available and submitted via
the internet)
Provide link: www.myaccount.uscis.gov.

e. What information will DHS collect on the form? List all PII data elements on the
form. If the form will collect information from more than one type of individual,
please break down list of data elements collected by type of individual.
USCIS will collect PII related to the H-1B petitioner, designated user, and prospective
beneficiary.
The H-1B petitioner is an employer seeking to hire a beneficiary under the H-1B
classification. The petitioner or the petitioner’s agent may complete H-1B Registration.
Information about the H-1B petitioner and/or its designated agent includes the:
• Organization name
• Full name of contact person
• Title of contact person
• Email address
• Telephone number
• Mailing address (includes street address, city, state, province, and zip code)
• Employee Identification Number (EIN)
• Signature
The H-1B beneficiary is the alien seeking H-1B classification. Information about the
beneficiary includes his or her:
• Full name
• Date of birth
• Country of birth
• Country of citizenship
• Passport number
• Gender
• Category – cap or exemption

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

f. Does this form collect Social Security number (SSN) or other element that is
stand-alone Sensitive Personally Identifiable Information (SPII)? Check all that
apply.
☒ Social Security number
☐ DHS Electronic Data Interchange
Personal Identifier (EDIPI)
☐ Alien Number (A-Number)
☐ Social Media Handle/ID
☒ Tax Identification Number
☐ Known Traveler Number
☐ Visa Number
☐ Trusted Traveler Number (Global
☒ Passport Number
Entry, Pre-Check, etc.)
☐ Bank Account, Credit Card, or other
☐ Driver’s License Number
financial account number
☐ Biometrics
☐ Other. Please list:

g. List the specific authority to collect SSN or these other SPII elements.
USCIS needs the information collected through this form and accompanying supplements
to determine whether the petitioner and foreign national beneficiary(ies) is (are) eligible
for the nonimmigrant classification. The statutory authority is section 101(a)(15) and
214(c)(1); 8 U.S.C. 1101(a)(15) and 1184(c)(1) of the Immigration and Nationality Act
(Act) and the regulatory authority is 8 CFR 214.2 (h)(2)(i)(A). A U.S. employer, or agent
in some instances, may file a petition for nonimmigrant worker to employ foreign
nationals under the H-1B nonimmigrant classification. Users can input a SSN in place of
an EIN.
h. How will this information be used? What is the purpose of the collection?
Describe why this collection of SPII is the minimum amount of information
necessary to accomplish the purpose of the program.
USCIS uses the data collected on this form to determine which petitioners (employers)
will be informed that they may submit a USCIS Form I-129 in a request for a
nonimmigrant petition on behalf of a beneficiary (employee).
i. Are individuals
☒ Yes. Please describe how notice is provided.
provided notice at the
USCIS will display a Privacy Notice to the
time of collection by
petitioner when they enter the H-1B Registration
DHS (Does the records
tool.
subject have notice of
☐ No.
the collection or is
form filled out by
third party)?

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

3. How will DHS store the IC/form responses?
a. How will DHS store
☐ Paper. Please describe.
the original,
Click here to enter text.
completed IC/forms?
☒ Electronic. Please describe the IT system that will

b. If electronic, how
does DHS input the
responses into the IT
system?

c. How would a user
search the
information
submitted on the
forms, i.e., how is the
information
retrieved?

store the data from the form.
myUSCIS will be used to intake all forms and
CLAIMS3 will store the submitted information
☐ Scanned forms (completed forms are scanned into
an electronic repository). Please describe the
electronic repository.
Click here to enter text.

☐ Manually (data elements manually entered). Please
describe.
Click here to enter text.
☒ Automatically. Please describe.
Data will be automatically transferred via a
system to system connection between myUSCIS
and CLAIMS 3 when the petitioner submits a
registration.
☒ By a unique identifier. 2 Please describe. If
information is retrieved by personal identifier, please
submit a Privacy Act Statement with this PTA.
Individual beneficiaries will be identified by a
unique Beneficiary Confirmation Number (BCN).
When a petitioner files a registration submission a
receipt number is assigned to the overarching
submission, but that submission could include
hundreds of beneficiaries. A BCN is assigned to
each beneficiary listed within a registration
submission and is how each individual is
differentiated without tracking the beneficiaries

2
Generally, a unique identifier is considered any type of “personally identifiable information,” meaning any information that permits the identity
of an individual to be directly or indirectly inferred, including any other information which is linked or linkable to that individual regardless of
whether the individual is a U.S. citizen, lawful permanent resident, visitor to the U.S., or employee or contractor to the Department.

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

by a combination of other PII data elements (such
as name/date of birth)
☐ By a non-personal identifier. Please describe.
Click here to enter text.
USCIS is working with the USCIS Records Officer on
establishing a retention schedule for the H-1B Cap
Registration lottery.

d. What is the records
retention
schedule(s)? Include
the records schedule
number.
e. How do you ensure
USCIS is working with the USCIS Records Officer on
that records are
establishing a retention schedule for the H-1B Cap
disposed of or deleted
Registration lottery.
in accordance with
the retention
schedule?
f. Is any of this information shared outside of the original program/office? If yes,
describe where (other offices or DHS components or external entities) and why.
What are the authorities of the receiving party?
☐ Yes, information is shared with other DHS components or offices. Please describe.
Click here to enter text.
☐ Yes, information is shared external to DHS with other federal agencies, state/local
partners, international partners, or non-governmental entities. Please describe.
Click here to enter text.

☒ No. Information on this form is not shared outside of the collecting office.

Please include a copy of the referenced form and Privacy Act Statement (if
applicable) with this PTA upon submission.

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

PRIVACY THRESHOLD REVIEW
(TO BE COMPLETED BY COMPONENT PRIVACY OFFICE)
Component Privacy Office Reviewer:

Date submitted to component Privacy
Office:
Date submitted to DHS Privacy Office:
Have you approved a Privacy Act
Statement for this form? (Only
applicable if you have received a
waiver from the DHS Chief Privacy
Officer to approve component Privacy
Act Statements.)

Nina Robinson/Shannon DiMartino
January 24, 2019
October 22, 2019

☒ Yes. Please include it with this PTA
submission.
☐ No. Please describe why not.

Component Privacy Office Recommendation:
Please include recommendation below, including what existing privacy compliance
documentation is available or new privacy compliance documentation is needed.
The USCIS Office of Privacy is memorializing the H-1B Cap Registration Tool initiative in
three separate PTAs to independently evaluate the Final Rule, the information collection
Request, and the IT system being developed to support the H-1B Cap Registration initiative.
This privacy compliance approach is to fulfill the privacy requirements for the respective
rulemaking, Paper Reduction Act (PRA), and Federal Information System Management
System Act (FISMA) processes.
The purpose of this PTA is to assess the privacy impact of the information collection
request and describe the PII that is collected and how that information is used by USCIS.
This PTA is being completed to fulfill the privacy requirements for PRA.

The USCIS Office of Privacy recommendation is to designate the H-1B Registration Tool as a
privacy sensitive information collection instrument requiring PIA and SORN coverage.
Coverage can be found under the following:
PIA
•

DHS/USCIS/PIA-016 Computer Linked Application Information Management
System (CLAIMS 3), which covers the processing and adjudication of H-1B petitions

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

•

•

Forthcoming update to the DHS/USCIS/PIA-034 H-1B Visa Cap Registration account
for the new use of the H-1B Registration Tool to support the H-1B registration
lottery and changes to the H-1B cap selection process.
Forthcoming myUSCIS appendix update to account for the H-1B Reg Tool

SORN
• DHS/USCIS-007 Benefits Information System, which covers the use, collection, and
storage of beneficiary information.

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

PRIVACY THRESHOLD ADJUDICATION
(TO BE COMPLETED BY THE DHS PRIVACY OFFICE)
DHS Privacy Office Reviewer:

Jamie Huang

PRIVCATS Workflow Number:
Date approved by DHS Privacy Office:
PTA Expiration Date

0010157
November 8, 2019
November 8, 2020

DESIGNATION

Privacy Sensitive IC or
Form:

Yes If “no” PTA adjudication is complete.

DHS IC/Forms Review:

Choose an item.

Determination:

☐ PTA sufficient at this time.
☐ Privacy compliance documentation determination in
progress.
☐ New information sharing arrangement is required.
☐ DHS Policy for Computer-Readable Extracts Containing SPII
applies.
☒ Privacy Act Statement required.
☒ Privacy Impact Assessment (PIA) required.
☒ System of Records Notice (SORN) required.
☐ Specialized training required.
☐ Other. Click here to enter text.

Date IC/Form Approved Click here to enter a date.
by PRIV:
IC/Form PCTS Number: Click here to enter text.
Privacy Act
Choose an item.
Statement:
PN is sufficient and on file with PRIV
A screen shot views of the electronic form is with
PTA:
Choose an item.
Click here to enter text.
PIA:
PIA update is required.

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

SORN:

• DHS/USCIS/PIA-034 H-1B Visa Cap Registration PIA update
• DHS/USCIS/PIA-071 myUSCIS PIA appendix update
If covered by existing PIA, please list: Click here to enter text.
If a PIA update is required, please list: Click here to enter text.
Choose an item.
If covered by existing SORN, please list:
• DHS/USCIS-007 Benefits Information System October 19, 2016
81 FR 72069

If a SORN update is required, please list: Click here to enter text.
DHS Privacy Office Comments:
Please describe rationale for privacy compliance determination above.
The USCIS Office of Privacy is memorializing the H-1B Cap Registration Tool initiative in
three separate PTAs to independently evaluate the Final Rule, the information collection
Request, and the IT system being developed to support the H-1B Cap Registration
initiative. This privacy compliance approach is to fulfill the privacy requirements for the
respective rulemaking, Paper Reduction Act (PRA), and Federal Information System
Management System Act (FISMA) processes.
The purpose of this PTA is to assess the privacy impact of the information collection
request and describe the PII that is collected and how that information is used by USCIS.
This PTA is being completed to fulfill the privacy requirements for PRA.

The DHS Privacy Office agrees with USCIS Office of Privacy’s recommendation to designate
the H-1B Registration Tool as a privacy sensitive form requiring PIA and SORN coverage.
Coverage can be found under the following:
PIA
•

•

DHS/USCIS/PIA-016 Computer Linked Application Information Management
System (CLAIMS 3), covers the processing and adjudication of H-1B petitions.
Specifically, USCIS is citing both Versions (a) and (b) for coverage. CLAIMS 3 PIA
Version (a) provides coverage of the general information collection and internal
processing of benefit requests using CLAIMS 3 along with the appendix that lists out
the forms entering the system. CLAIMS 3 PIA Version (b) provides coverage for the
electronic processing of immigration benefits including the myUSCIS interface for
the electronic filing of the benefits.
Forthcoming update to the DHS/USCIS/PIA-034 H-1B Visa Cap Registration account
for the new use of the H-1B Registration Tool to support the H-1B registration
lottery and changes to the H-1B cap selection process

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

•

Forthcoming DHS/USCIS/PIA-071 myUSCIS appendix update to account for the H1B Reg Tool itself

SORN
• DHS/USCIS-007 Benefits Information System, which covers the use, collection, and
storage of beneficiary information

Since PRIV is working with USCIS to update PIA-034 and PIA-071 to account for the
changes/updates to H-1B Reg Tool, this PTA is valid for only one year.

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