Pta

Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, [email protected]
www.dhs.gov/privacy

Privacy Threshold Analysis
Version number: 01-2014
Page 1 of 8

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:
Senior Director, Privacy Compliance
The Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
Tel: 202-343-1717
[email protected]

Upon receipt from your 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: 202-343-1717.

Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, [email protected]
www.dhs.gov/privacy

Privacy Threshold Analysis
Version number: 01-2014
Page 2 of 8

PRIVACY THRESHOLD ANALYSIS (PTA)
SUMMARY INFORMATION
Project or
Program Name:

N-4, Monthly Report Naturalization Papers

Component:

U.S. Citizenship and
Immigration Services (USCIS)

Office or
Program:

Field Operations

Xacta FISMA
Name (if
applicable):

N/A

Xacta FISMA
Number (if
applicable):

N/A

Type of Project or
Program:

Form or other Information
Collection

Project or
program
status:

Operational

Date first
developed:
Date of last PTA
update

UNKWN

Pilot launch
date:

N/A

UKNWN

Pilot end date:

N/A

ATO Status (if
applicable)

Choose an item.

ATO
expiration date
(if applicable):

Click here to enter a date.

PROJECT OR PROGRAM MANAGER
Name:

Stacie Banks

Office:

Citizenship Branch, FOD

Title:

Adjudications Officer

Phone:

202-272-9032

Email:

[email protected]

INFORMATION SYSTEM SECURITY OFFICER (ISSO) (IF APPLICABLE)
Name:

N/A

Phone:

N/A

Email:

N/A

Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, [email protected]
www.dhs.gov/privacy

Privacy Threshold Analysis
Version number: 01-2014
Page 3 of 8

SPECIFIC PTA QUESTIONS
1. Reason for submitting the PTA: Choose an item.
Purpose and Authorizing Legislation
Form N-4, Monthly Report on Naturalization Papers, is the form for the clerk of the court conducting
judicial naturalization activities under Section 339 of the Immigration and Nationality Act (8 U.S.C.
1450) and 8 CFR 339.
Form Collection and Use
The following naturalization candidate information is provided by USCIS to the presiding court
conducting the naturalization ceremonies: applicant’s name, address, alien number, date of birth,
phone number, e-mail address, and signature.
After the judicial ceremony, the clerk of court completes and signs Form N-4 providing confirmation
of the ceremony attendees and the related name changes and court motions that were made during the
ceremony. The clerk files this form with the USCIS Local Office with jurisdiction over the location
of the court. There is no filing fee.
USCIS uses this form to finalize the record process regarding individuals naturalized in a judicial
ceremony and to determine payments to the courts as provided in Section 344(f) of the Immigration
and Nationality Act (8 USC 1455).
This is an updated PTA that has been triggered by the form’s expiration on 1/31/2016.
Information Technology System
Computer Linked Application Information Management Systems (CLAIMS4) is the information
technology system used to identify, select, then schedule the naturalization candidates for judicial
naturalization ceremonies.

Responsible Program Office
The Citizenship Branch of the Field Operations Directorate is responsible for managing the agency’s
naturalization and citizenship programs nationwide. One very important part of our mission is to conduct
meaningful naturalization ceremonies. There are 2 types of naturalization ceremonies:
Judicial- presided over by the appropriate jurisdictional court and are generally for applicants subject to
the exclusive jurisdiction of the court and those that request name changes as part of the naturalization
process.
Administrative- presided over by the agency and open to all other applicants.

Relation to USCIS mission
The USCIS mission is to secure America’s promise as a nation of Immigrants by providing accurate and

Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, [email protected]
www.dhs.gov/privacy

Privacy Threshold Analysis
Version number: 01-2014
Page 4 of 8

useful information to our customers, granting immigration and citizenship benefits, promoting an
awareness and understanding of citizenship, and ensuring the integrity of our immigration system.
Use of this form allows for checks and balances system between USCIS and the judicial court presiding
and conducting the naturalization ceremony. The information from USCIS for this form provides
efficient and customer-oriented immigration benefit and information services during the oath ceremony,
as well as after the ceremony when our records are updated from the court’s completed, signed, and filed
Form N-4.

2. Does this system employ any of the
following technologies:
If you are using any of these technologies and
want coverage under the respective PIA for that
technology please stop here and contact the DHS
Privacy Office for further guidance.

Closed Circuit Television (CCTV)
Social Media
Web portal1 (e.g., SharePoint)
Contact Lists
None of these

3. From whom does the Project or
Program collect, maintain, use, or
disseminate information?
Please check all that apply.

This program does not collect any personally
identifiable information2
Members of the public
DHS employees/contractors (list components):
Contractors working on behalf of DHS
Employees of other federal agencies

4. What specific information about individuals is collected, generated or retained?
Date, Court Information (Name, District, Address), Name(s) of Clerk(s), Date of Ceremony, Court List Number,
Place of Ceremony, Number of Persons Administered Oath, Number of Voided Certificates

1

Informational and collaboration-based portals in operation at DHS and its components that collect, use, maintain, and share
limited personally identifiable information (PII) about individuals who are “members” of the portal or “potential members” who
seek to gain access to the portal.
2
DHS defines personal information as “Personally Identifiable Information” or PII, which is any information that permits the
identity of an individual to be directly or indirectly inferred, including any information that 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. “Sensitive PII” is PII, which if lost, compromised, or disclosed without authorization, could result in substantial
harm, embarrassment, inconvenience, or unfairness to an individual. For the purposes of this PTA, SPII and PII are treated the
same.

Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, [email protected]
www.dhs.gov/privacy

Privacy Threshold Analysis
Version number: 01-2014
Page 5 of 8

4(a) Does the project, program, or system
retrieve information by personal identifier?
4(b) Does the project, program, or system
use Social Security Numbers (SSN)?
4(c) If yes, please provide the specific legal
basis and purpose for the collection of
SSNs:
4(d) If yes, please describe the uses of the
SSNs within the project, program, or
system:
4(e) If this project, program, or system is
an information technology/system, does it
relate solely to infrastructure?

No. Please continue to next question.
Yes. If yes, please list all personal identifiers
used: Name, Date of Birth, Country of Birth, Alien
Registration#, and Application Receipt #.
No.
Yes.
Click here to enter text.

Click here to enter text.

No. Please continue to next question.
Yes. If a log kept of communication traffic,
please answer the following question.

For example, is the system a Local Area Network
(LAN) or Wide Area Network (WAN)?
4(f) If header or payload data3 is stored in the communication traffic log, please detail the data
elements stored.
Click here to enter text.

5. Does this project, program, or system
connect, receive, or share PII with any
other DHS programs or systems4?
6. Does this project, program, or system
connect, receive, or share PII with any
external (non-DHS) partners or
systems?

3

No.
Yes. If yes, please list:

No.
Yes. If yes, please list:
All Judicial Courts participating in the naturalization

When data is sent over the Internet, each unit transmitted includes both header information and the actual data being sent. The
header identifies the source and destination of the packet, while the actual data is referred to as the payload. Because header
information, or overhead data, is only used in the transmission process, it is stripped from the packet when it reaches its
destination. Therefore, the payload is the only data received by the destination system.
4
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 Xacta.

Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, [email protected]
www.dhs.gov/privacy

Privacy Threshold Analysis
Version number: 01-2014
Page 6 of 8

process.
6(a) Is this external sharing pursuant to
new or existing information sharing
access agreement (MOU, MOA, LOI,
etc.)?
7. Does the project, program, or system
provide role-based training for
personnel who have access in addition
to annual privacy training required of
all DHS personnel?
8. Per NIST SP 800-53 Rev. 4, Appendix
J, does the project, program, or system
maintain an accounting of disclosures
of PII to individuals who have
requested access to their PII?
9. Is there a FIPS 199 determination?4

Choose an item.
Please describe applicable information sharing
governance in place:

No.
Yes. If yes, please list: USCIS Privacy
Training required in LearningEDGE.
Not applicable.
No. What steps will be taken to develop and
maintain the accounting:
Yes. In what format is the accounting
maintained:
Not applicable.
Unknown.
No.
Yes. Please indicate the determinations for each
of the following:

4

Confidentiality:
Low
Moderate

High

Undefined

Integrity:
Low

Moderate

High

Undefined

Availability:
Low
Moderate

High

Undefined

FIPS 199 is the Federal Information Processing Standard Publication 199, Standards for Security Categorization of Federal
Information and Information Systems and is used to establish security categories of information systems.

Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, [email protected]
www.dhs.gov/privacy

Privacy Threshold Analysis
Version number: 01-2014
Page 7 of 8

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

Catherine Catanzaro Shorten

Date submitted to Component Privacy
Office:

June 11, 2015

Date submitted to DHS Privacy Office:

June 16, 2015

Component Privacy Office Recommendation:
Please include recommendation below, including what new privacy compliance documentation is needed.
The Form N-4 primarily as the source from which our agency determines how much remittance is due the
presiding court. It is completely by the courts clerk and information from the form is uploaded into
CLAIMS 4. Therefore, we recommend designating this form as privacy sensitive, with coverage under
the CLAIMS 4 PIA and BIS SORN.
Furthermore, a Privacy Act Statement is not required because the information is not collected directly
from the individual.
(TO BE COMPLETED BY THE DHS PRIVACY OFFICE)
DHS Privacy Office Reviewer:

Lindsay Lennon

PCTS Workflow Number:

1092246

Date approved by DHS Privacy Office:

September 11, 2015

PTA Expiration Date

September 11, 2018
DESIGNATION

Privacy Sensitive System:
Category of System:
Determination:

Yes

If “no” PTA adjudication is complete.

Form/Information Collection
If “other” is selected, please describe: Click here to enter text.
PTA sufficient at this time.
Privacy compliance documentation determination in progress.
New information sharing arrangement is required.
DHS Policy for Computer-Readable Extracts Containing Sensitive PII
applies.
Privacy Act Statement required.
Privacy Impact Assessment (PIA) required.

Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, [email protected]
www.dhs.gov/privacy

Privacy Threshold Analysis
Version number: 01-2014
Page 8 of 8

System of Records Notice (SORN) required.
Paperwork Reduction Act (PRA) Clearance may be required. Contact
your component PRA Officer.
A Records Schedule may be required. Contact your component Records
Officer.
System covered by existing PIA
PIA:

If covered by existing PIA, please list: DHS/USCIS/PIA-015(b) - Computer Linked
Application Information Management System (CLAIMS 4) Update
System covered by existing SORN

SORN:

If covered by existing SORN, please list: DHS-USCIS-007 - Benefits Information System
September 29, 2008 73 FR 56596
DHS Privacy Office Comments:
Please describe rationale for privacy compliance determination above.
Form N4 collects A Numbers and other PII but is used internally by DHS and does not collect
information directly from an individual, so a Privacy Act Notice is not necessary.
The DHS Privacy Office agrees with USCIS Privacy that this form is covered by the CLIAMS 4 PIA and
the BIS SORN. No further action is necessary.