Pta

The Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
703-235-0780, [email protected]
www.dhs.gov/privacy

Privacy Threshold Analysis
Version date: June 10, 2010
Page 1 of 7
PRIVACY THRESHOLD ANALYSIS (PTA)
This form is used to determine whether
a Privacy Impact Assessment is required.

Please use the attached form to determine whether a Privacy Impact Assessment (PIA) is required under
the E-Government Act of 2002 and the Homeland Security Act of 2002.
Please complete this form and send it to your component Privacy Office. If you do not have a component
Privacy Office, please send the PTA to the DHS Privacy Office:
Rebecca J. Richards
Director of Privacy Compliance
The Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
Tel: 703-235-0780

[email protected]

Upon receipt from the component Privacy Office, the DHS Privacy Office will review this form. If a PIA
is required, the DHS Privacy Office will send you a copy of the Official Privacy Impact Assessment Guide
and accompanying Template to complete and return.
A copy of the Guide and Template is available on the DHS Privacy Office website, www.dhs.gov/privacy,
on DHSConnect and directly from the DHS Privacy Office via email: [email protected], phone: 703-235-0780.

The Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
703-235-0780, [email protected]
www.dhs.gov/privacy

Privacy Threshold Analysis
Version date: June 10, 2010
Page 2 of 7
PRIVACY THRESHOLD ANALYSIS (PTA)
SUMMARY INFORMATION
Date Submitted for Review: 03/23/2011
Name of Project: Alien Change of Address Card (AR-11)
System Name in TAFISMA: AR-11
Name of Component: USCIS
Name of Project Manager: Dominick Gentile
Email for Project Manager: [email protected]
Phone Number for Project Manager: 202-272-8886
Type of Project:
Information Technology and/or System. ∗
A Notice of Proposed Rule Making or a Final Rule.
Form or other Information Collection.
Other:

∗

The E-Government Act of 2002 defines these terms by reference to the definition sections of Titles 40 and
44 of the United States Code. The following is a summary of those definitions:
•“Information Technology” means any equipment or interconnected system or subsystem of
equipment, used in the automatic acquisition, storage, manipulation, management, movement,
control, display, switching, interchange, transmission, or reception of data or information. See 40
U.S.C. § 11101(6).
•“Information System” means a discrete set of information resources organized for the collection,
processing, maintenance, use, sharing, dissemination, or disposition of information. See: 44. U.S.C. §
3502(8).
Note: for purposes of this form, there is no distinction made between national security systems or
technologies/systems managed by contractors. All technologies/systems should be initially reviewed for
potential privacy impact.

The Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
703-235-0780, [email protected]
www.dhs.gov/privacy

Privacy Threshold Analysis
Version date: June 10, 2010
Page 3 of 7
SPECIFIC QUESTIONS
1.

Describe the project and its purpose:
The AR-11 is a computerized system that supports the information management needs of the
DHS in carrying out its’ mission. Specifically, it tracks address changes submitted to USCIS on
the paper Form AR-11 and online through the Customer Relationship Interface System’s (CRIS)
Change of Address (CoA) component. AR-11 contains current addresses on all non-U.S. citizens
who are currently in the United States who have submitted an electronic or paper Form AR-11 as
required by Section 265 of the Immigration and Nationality Act (INA), (8 U.S.C. 1305). AR-11
interfaces with CoA to accept address changes submitted via the Internet.
There are more than 34,000 AR-11 users. AR-11 consists of two components: the on-line and the
batch system. The AR-11 uses the on-line system at DHS offices throughout the U.S. and in
numerous foreign countries to retrieve current address information on non-U.S. citizens staying
in the U.S. On an average day, there are 3 to 5 hundred accesses to the on-line application. The
AR-11 batch system is used to update the AR-11 database from a daily feed provided by the data
entry contractor and the CRIS COA component. The system allows a maximum of 580
concurrent user logons. The AR-11 on-line system contains information starting in 2002. The
batch system is also used to ad hoc reports.
AR-11 was implemented on July 15, 2002. AR-11 is located on a Multiple Virtual Storage
mainframe platform at the Department of Justice (DoJ) Data Center in Dallas, TX. Information is
maintained in Computer Associates’ Integrated Data Management System (IDMS) database
management system.

2.

Status of Project:
This is a new development effort.
This is an existing project.
Date first developed: July 15, 2002
Date last updated: October 11, 2007
The AR-11 functionality has not ever been updated since its inception. AR-11 Release
1.1 included one modification to support electronic AR-11 forms being submitted
through the internet by individuals using the Customer Relationship Interface
System (CRIS), Alien Change of Address (CoA) Component. AR-11 Release 1.1
encompasses the following SCR:
SCR 551 – Job Control Language (JCL) modifications to support the new AR—11
CRIS web entry project.

The Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
703-235-0780, [email protected]
www.dhs.gov/privacy

Privacy Threshold Analysis
Version date: June 10, 2010
Page 4 of 7
3.

From whom do you collect, process, or retain information on: (Please check all that apply)
DHS Employees.
Contractors working on behalf of DHS.
The Public.
The System does not contain any such information.

4.

Do you use or collect Social Security Numbers (SSNs)? (This includes truncated SSNs)
No.
Yes. Why does the program collect SSNs? Provide the function of the SSN and the
legal authority to do so:

5.

What information about individuals could be collected, generated or retained?
Last, first, and middle names
Birth date
Country of citizenship code
A-number
Fingerprint identification number system number
Admission number
Current address: street address, city, state, and zip code
Last address: street address, city, state, and zip code
Current employer
Employer address: street address, city, state, and zip code
Point of entry code
Entry date
Visa expiration date

6.

If this project is a technology/system, does it relate solely to infrastructure? [For example, is
the system a Local Area Network (LAN) or Wide Area Network (WAN)]?
No. Please continue to the next question.

The Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
703-235-0780, [email protected]
www.dhs.gov/privacy

Privacy Threshold Analysis
Version date: June 10, 2010
Page 5 of 7
Yes. Is there a log kept of communication traffic?
No. Please continue to the next question.
Yes. What type of data is recorded in the log? (Please choose all that apply.)
Header.
Payload Please describe the data that is logged.

7.

Does the system connect, receive, or share Personally Identifiable Information with any other
DHS systems 1?
No.
Yes.
Please list: Customer Relationship Interface System (CRIS), Alien Change of Address (CoA)
Component.

8.

Is there a Certification & Accreditation record within OCIO’s FISMA tracking system?
Unknown.
No.
Yes. Please indicate the determinations for each of the following:

1

Confidentiality:

Low

Moderate

High

Undefined

Integrity:

Low

Moderate

High

Undefined

Availability:

Low

Moderate

High

Undefined

PII may be shared, received, or connected to other DHS systems directly, automatically, or by manual processes.
Often, these systems are listed as “interconnected systems” in TAFISMA.

The Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
703-235-0780, [email protected]
www.dhs.gov/privacy

Privacy Threshold Analysis
Version date: June 10, 2010
Page 6 of 7

PRIVACY THRESHOLD REVIEW
(TO BE COMPLETED BY THE DHS PRIVACY OFFICE)
Date reviewed by the DHS Privacy Office: May 5, 2011
Name of the DHS Privacy Office Reviewer: Rebecca J. Richards
DESIGNATION
This is NOT a Privacy Sensitive System – the system contains no Personally Identifiable
Information.
This IS a Privacy Sensitive System
Category of System
IT System.
National Security System.
Legacy System.
HR System.
Rule.
Other:
Determination
PTA sufficient at this time.
Privacy compliance documentation determination in progress.
PIA is not required at this time.
PIA is required.
System covered by existing PIA: AR-11 PIA
New PIA is required.
PIA update is required.
SORN not required at this time.
SORN is required.
System covered by existing SORN: DHS/USCIS-007
New SORN is required.

The Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
703-235-0780, [email protected]
www.dhs.gov/privacy

Privacy Threshold Analysis
Version date: June 10, 2010
Page 7 of 7
DHS PRIVACY OFFICE COMMENTS