Pta

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

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, [email protected]
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:

N/A

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
Nicole Nicklaw
Service Center Operations
Title:
Click here to enter text.
Click here to enter text.
Email:
Click here to enter text.

COMPONENT INFORMATION COLLECTION/FORMS CONTACT
Kerstin Jager

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

Office:
Phone:

Regulatory Coordination
Division, Office of Policy
and Strategy
+2022134211

Title:

Mgmt Prog Analyst,

Email:

[email protected]
ov
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.
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 an alien 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, [email protected]
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.
USCIS then administers a random lottery to ensure the fair and orderly distribution of
available H-1B cap numbers. 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.

H-1B Registration Tool
USCIS plans to implement a mandatory registration process known as the H-1B
Registration Tool. Petitioners will be able to register prospective beneficiaries for random
selection instead of filing a full petition 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 require fewer beneficiaries PII than filing a complete H-1B petition.
USCIS plans to collect information about the H-1B petitioner, designated user, 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
• Mailing address (includes street address, city, state, province, and zip code)
• Employee Identification Number (EIN)

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

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 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.
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
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

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

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.)

☒ Yes
☐No

☒ Members of the public
☒ U.S. citizens or lawful permanent
residents
☒ Non-U.S. Persons.
☐DHS Employees

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

☐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

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

NOT the record subject. Please describe.
Click here to enter text.
☐Paper.

☐ Electronic. (ex: fillable PDF)

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, [email protected]
www.dhs.gov/privacy

☒ Online web form. (available and submitted via
the internet)
Provide link:
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

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.

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

☐ Social Security number
☐ Alien Number (A-Number)
☒ Tax Identification Number
☐ Visa Number
☐ Passport Number
☐ Bank Account, Credit Card, or other
financial account number
☐ Other. Please list:

☐ DHS Electronic Data Interchange
Personal Identifier (EDIPI)
☐ Social Media Handle/ID
☐ Known Traveler Number
☐ Trusted Traveler Number (Global
Entry, Pre-Check, etc.)
☐ Driver’s License Number
☐ Biometrics

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.
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 employers will be
informed that they may submit a USCIS Form I-129 in a request for a nonimmigrant
petition.
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)?

3. How will DHS store the IC/form responses?

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

a. How will DHS store
the original,
completed IC/forms?

☐Paper. Please describe.

Click here to enter text.
☒ Electronic. Please describe the IT system that will
store the data from the form.
myUSCIS
☐Scanned forms (completed forms are scanned into

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?
d. What is the records
retention
schedule(s)? Include
the records schedule
number.
e. How do you ensure
that records are
disposed of or deleted
in accordance with

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.
Click here to enter text.

☒ By a unique identifier. 2 Please describe. If
information is retrieved by personal identifier, please
submit a Privacy Act Statement with this PTA.
Click here to enter text.
☐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.
USCIS is working with the USCIS Records Officer on
establishing a retention schedule for the H-1B Cap
Registration lottery.

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, [email protected]
www.dhs.gov/privacy

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, [email protected]
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.)

Jenny Hoots
January 24, 2019
January 24, 2019

☐ Yes. Please include it with this PTA
submission.
☒ No. Please describe why not.
USCIS Office of Privacy is working to
finalize the Privacy Notice with the
appropriate authorizing stakeholders.

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 plans to memorialize the H-1B Cap Registration 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.
The USCIS Office of Privacy recommendation is to designate the H-1B Cap Registration Tool
as a privacy sensitive information collection instrument requiring PIA and SORN coverage.
The USCIS Office of Privacy recommendation is to require a PIA Update to the myUSCIS
Account Experience PIA. Further, the DHS/USCIS-007 BIS SORN covers the collection and
use of information. USCIS plans to update the PIA prior to the implementations of the H1-B
cap registration and implementation guidelines.
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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, [email protected]
www.dhs.gov/privacy

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

Lindsay Vogel

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

1173822
January 25, 2019
January 25, 2020

DESIGNATION

Privacy Sensitive IC or
Form:
Determination:

Yes If “no” PTA adjudication is complete.
☐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.
DHS IC/Forms Review:

☐Other. Click here to enter text.
Choose an item.

Date IC/Form Approved Click here to enter a date.
by PRIV:
IC/Form PCTS Number: Click here to enter text.
Privacy Act
e(3) statement update is required.
Statement:
Click here to enter text.
PTA:
Choose an item.
Click here to enter text.

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

PIA update is required.
If covered by existing PIA, please list: Click here to enter text.
If a PIA update is required, please list: DHS/USCIS/PIA-071 myUSCIS
Account Experience
SORN:
System covered by existing SORN
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.
USCIS submits this PTA as part of the larger H-1B cap project. This is one of three PTAs for
this initiative. USCIS plans to update the ICR prior to the tool’s launch and will submit an
updated PTA.
PIA:

PRIV finds that DHS/USCIS/PIA-071 must be updated to describe the new tool as this tool
resides in myUSCIS. USCIS is also updating DHS/USCIS/PIA-034 H-1B Visa Cap Registration
NPRM as part of this initiative. SORN coverage is required for this information collection.
DHS/USCIS-007 BIS provides coverage for the information collection.
The Privacy Notice is inaccurate as currently written. It must be updated to accurately
reflect the lottery process.

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