PIA 027c

Privacy Impact Assessment
for the

USCIS Asylum Division
DHS/USCIS/PIA-027(c)
July 21, 2017
Contact Point
Donald K. Hawkins
Privacy Officers
U.S. 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
The Asylum Division of the U.S. Citizenship and Immigration Services (USCIS)
adjudicates applications for asylum, benefits pursuant to Section 203 of the Nicaraguan
Adjustment and Central American Relief Act (NACARA § 203), withholding of removal under
the terms of a settlement agreement reached in a class action 1, and screening determinations for
safe third country, credible fear, and reasonable fear. The Asylum Division maintains the
Refugees, Asylum, and Parole System (RAPS) and the Asylum Pre-Screening System (APSS).
Both systems, originally developed by the former Immigration and Naturalization Service (INS),
are used by the USCIS Asylum Division 2 to capture information pertaining to asylum applications,
credible fear and reasonable fear screening processes, and applications for benefits provided by
Section 203 of the Nicaraguan Adjustment and Central American Relief Act (NACARA § 203). 3
USCIS is updating and reissuing this Privacy Impact Assessment (PIA) because the Asylum
Division manages records and systems containing personally identifiable information (PII) in order
to conduct its adjudications.

Overview
U.S. Citizenship and Immigration Services (USCIS) is the component of the Department
of Homeland Security (DHS) that oversees lawful immigration to the United States. As set forth
in Section 451(b) of the Homeland Security Act of 2002, Public Law 107-296, Congress charged
USCIS with administering the asylum program. USCIS, through its Asylum Division, administers
the affirmative asylum program to provide protection to qualified individuals in the United States
who have suffered past persecution or have a well-founded fear of future persecution in their
country of origin, as outlined under Section 208 of the Immigration and Nationality Act (INA), 8
U.S.C. § 1158 and 8 CFR § 208. The USCIS Asylum Division also adjudicates the benefit program
established by the Nicaraguan Adjustment and Central American Relief Act (NACARA) § 203
and administers safe third country, credible fear, and reasonable fear screening processes. 4 This
Privacy Impact Assessment examines the USCIS Asylum Division program, the information that
it collects, as well as its case management systems and support information technology systems.
The Asylum Division supports the following four programs:

1

American Baptist Churches v. Thornburgh, 760 F. Supp. 796 (N.D. Cal. 1991) (ABC Settlement).
Despite its name, no refugee or parole applicant records are stored in RAPS. Although those immigration
classifications were contemplated as part of RAPS’s original design, they were never included operationally.
3
Pub. L. No. 105-100, 111 Stat. 2193 (1997), amended by Pub. L. No. 105-139, 111 Stat. 2644 (December 2, 1997).
4
Section 203 of Pub. L. No. 105-100.
2

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1) Affirmative Asylum 5
Foreign nationals may seek protection through asylum if they suffered persecution or fear
that they will suffer persecution on account of race, religion, nationality, membership in a
particular social group, or political opinion. To obtain asylum, the individual must be physically
present in the United States. There are two ways to apply for asylum in the United States: through
the affirmative asylum process and the defensive asylum process.
The Asylum Division is responsible for the administration of the affirmative asylum
process and adjudication of the affirmative asylum application. An individual not in removal
proceedings may apply for asylum through the affirmative asylum process regardless of how he or
she arrived in the United States or his or her current immigration status by filing Form I-589,
Application for Asylum and for Withholding of Removal, 6 with USCIS. An individual may also
file Form I-589 as a defensive application in removal proceedings before an Immigration Judge of
the Department of Justice’s (DOJ) Executive Office for Immigration Review (EOIR). 7
An asylum applicant may include in the application his or her spouse and any children as
dependent asylum applicants if they are in the United States, comply with the requirements of
providing biometrics, and appear at the asylum interview.,8 A grant of asylum to the principal
asylum applicant is the basis for a grant of asylum to the spouse and any children included as
dependent applicants as long as the spouse or child is in the United States and not otherwise barred
from a grant of asylum. Additionally, Form I-589 requests information on each applicant’s parents,
siblings, former spouses, and children, regardless of whether they are included as dependent
applicants.
2) Nicaraguan Adjustment and Central American Relief Act (NACARA Section 203) 9
NACARA § 203 allows individuals who meet certain criteria, along with qualifying family
members, to apply for suspension of deportation or for special rule cancellation of removal under
5

See INA § 208; see also 8 CFR § 208, describing the asylum process.
Witholding of Removal must be granted when the evidence establishes that it is more likely than not that the
applicant’s life or freedom is threatened of account of race, religion, nationality, membership in a particular social
group, or political opinion in the proposed country of removal.
7
Immigration Judges are adjudicators within the Department of Justice’s Executive Office for Immigration Review
(EOIR). Persons whose removal is being sought by DHS generally appear before an Immigration Judge who will
adjudicate any benefit or protection for which the foreign national may be eligible, including asylum and withholding
of removal.
8
Children under the age of 14 are not required to provide a signature on an application, petition, or request filed
with USCIS, but they may choose to sign their name during their ASC appointment if they are capable of signing. A
parent or legal guardian may also sign the application, petition, or request on the child’s behalf.
9
NACARA § 203 applies to certain individuals from Guatemala, El Salvador, and the former Soviet bloc countries
(the Soviet Union or any republic of the former Soviet Union, such as Russia, Latvia, Lithuania, Estonia, Albania,
Bulgaria, the former Czechoslovakia, the former East Germany, Hungary, Poland, Romania, or Yugoslavia or any
state of the former Yugoslavia) who entered the United States and applied for asylum by specified dates or registered
for benefits as well as certain of their relatives. See 8 CFR §§ 240.60 - 204.70.
6

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the standards for suspension of deportation similar to those in effect before the Illegal Immigration
Reform and Immigrant Responsibility Act of 1996 (IIRIRA). 10 Form I-881, Application for
Suspension of Deportation or Special Rule Cancellation of Removal is used to apply for benefits
under NACARA § 203.
Form I-881 solicits biographic information about the applicant; their presence in the United
States; entries and departures; the applicant’s financial status and employment; information about
the applicant’s current spouse, former spouses, children, and parents; information relating to the
eligibility criteria for benefits under NACARA § 203; 11 and information about the Form I-881
preparer, if prepared by someone other than the applicant. Applicants must also comply with the
requirements of providing biometrics.
3) Credible Fear Screenings 12
Individuals subject to expedited removal who indicate an intention to apply for asylum,
express a fear of persecution or torture, or a fear of return to their home country are referred to
USCIS Asylum Officers to determine whether they have a credible fear of persecution or torture.
Individuals found to have a credible fear of persecution or torture are placed in removal
proceedings under INA § 240 and may apply for asylum or withholding of removal as a defense
to removal before an Immigration Judge by filing Form I-589, or pursue other forms of relief or
protection from removal. The Asylum Division electronically receives information about credible
fear applicants through referral documentation provided by U.S. Immigration and Customs
Enforcement (ICE) or U.S. Customs and Border Protection (CBP). The referral documentation
includes forms containing information about the applicant: Form I-860, Notice and Order of
Expedited Removal, and Form I-867, A&B, Record of Statement in Proceedings under Section
235(b)(1) of the Act & Jurat for Record of Sworn Statement in Proceedings under Section
235(b)(1) of the Act.
As part of the credible fear screening adjudication, Asylum Officers prepare Form I-870,
Record of Determination/Credible Fear Worksheet. This worksheet includes biographic
information about the applicant, including the applicant’s name, date of birth, gender, country of
10

See Pub. L. 104-208.
Form I-881 solicits information used to determine whether the applicant can demonstrate good moral character for
the seven years prior to filing the application, and whether the applicant or his or her United States Citizen or lawful
permanent resident spouse, parent, or child will suffer extreme hardship if the applicant is removed from the United
States. See 8 CFR §§ 240.60 - 240.70.
12
Section 235 of the INA, as amended, and its implementing regulations provide that certain categories of individuals
are subject to expedited removal without a hearing before an Immigration Judge. These include: arriving stowaways;
certain arriving aliens at ports of entry who are inadmissible under section 212(a)(6)(C) of the INA (because they have
presented fraudulent documents or made a false claim to U.S. citizenship or other material misrepresentations to gain
admission or other immigration benefits) or 212(a)(7) of the INA (because they lack proper documents to gain
admission); and certain designated aliens who have not been admitted or paroled into the United States and who are
inadmissible under INA 212(a)(6)(C) or (7). See also 8 C.F.R. § 235.3 and 8 C.F.R. § 208.30.
11

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birth, nationality, ethnicity, religion, language, and information about the applicant’s entry into the
United States and place of detention. Additionally, Form I-870 collects sufficient information
about the applicant’s marital status, spouse, and children to determine whether they may be
included in the determination. Form I-870 also documents the interpreter ID number of the
interpreter used during the credible fear interview and collects information about a relative or
sponsor in the United States, including their relationship to the applicant and contact information.
4) Reasonable Fear Screenings 13
Sections 238(b) and 241(a)(5) of the INA provide for streamlined removal procedures that
prohibit certain individuals subject to a final administrative removal order under section 238(b) or
whose prior order of exclusion, deportation, or removal is reinstated under section 241(a)(5) of the
INA, from contesting removability before an Immigration Judge and from seeking any relief from
removal. If an individual ordered removed under either section 238(b) or section 241(a)(5) of the
INA expresses a fear of return to the country to which he or she has been ordered removed, the
case must be referred to a USCIS Asylum Officer to determine whether the individual has a
reasonable fear of persecution or torture. Individuals found to have a reasonable fear of persecution
or torture are referred to an Immigration Judge for withholding-only proceedings in which they
may seek withholding of removal under INA § 241(b)(3), or withholding or deferral of removal
under regulations implementing U.S. obligations under the Convention Against Torture by filing
Form I-589. The referral documentation that USCIS receives from ICE with information about the
applicant includes either a fully executed Form I-851A, Final Administrative Removal Order; or
a fully executed Form I-871, Notice of Intent/Decision to Reinstate Prior Order and a copy of the
prior order of removal.
As part of the reasonable fear screening process, USCIS Asylum Officers prepare Form I899, Record of Determination/Reasonable Fear Worksheet. This worksheet includes biographic
information about the applicant, including the applicant’s name, date of birth, gender, country of
birth, nationality, ethnicity, religion, language, and information about the applicant’s entry into the
United States and place of detention. Form I-899 also documents the interpreter ID number of the
interpreter used during the reasonable fear interview.
Information Technology (IT) and Support Systems
The USCIS Asylum Division is primarily served by two information technology data
systems:
1) Refugees, Asylum, and Parole System (RAPS) is a comprehensive case management tool
that enables USCIS to handle and process applications for asylum pursuant to Section 208

13

See 8 C.F.R. §§ 238.1, 241.8, 208.31.

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of the INA and applications for suspension of deportation or special rule cancellation of
removal pursuant to NACARA § 203.
Private Attorney Maintenance System (PAMS) is a subsystem RAPS. It maintains data on
applicants’ attorneys such as name, firm, and address. Each attorney is identified by an
identification code, consisting of the office code and a sequential number. PAMS links to
RAPS and stores attorney's address information.
2) Asylum Pre-Screening System (APSS) is a case management system that supports
USCIS in the screening of individuals in the credible fear and reasonable fear processes.
These systems are used to capture information pertaining to asylum applications, credible fear and
reasonable fear screening processes, and applications for benefits provided by NACARA § 203.
The USCIS Asylum Division uses RAPS and APSS to track case status and facilitate the
scheduling of appointments and interviews, and the issuance of notices (including receipt notices,
interview appointment notices, and decision letters) at several stages of the adjudication process.
The systems also initiate, receive, and record responses for national security and background check
screening and prevent the approval of any benefit prior to the review and completion of all security
checks. Finally, the systems provide a means for analyzing and managing program workflows and
provide the Asylum Program with statistical reports to assist with oversight of production and
processing goals.
In addition to RAPS and APSS, the USCIS Asylum Division also uses SharePoint,14
referred to as Enterprise Collaboration Network (ECN), 15 and locally-developed applications
(LDA) 16 to support its mission and day-to-day functions. Asylum Division information may be
hosted on internal ECN networks and LDAs. The Asylum Division ECN site and LDAs provide a
secure environment to facilitate collaboration among Asylum Division personnel across its field
offices and headquarters. The appendices to this PIA delineate USCIS Asylum Division’s use of
ECN and LDAs for the processing of asylum applications, NACARA § 203 applications, and
credible fear and reasonable fear screenings. RAPS or APSS information, including Sensitive PII,
that may otherwise have been stored on a shared drive or transmitted via email may be hosted on
internal SharePoint/ECN networks in order to reduce dependency on those tools and minimize
associated costs and technical limitations.
14

SharePoint is a commercial off-the-shelf (COTS) web-based application that provides a platform on which to
build custom applications and features a suite of collaboration, document management, and communication tools, as
well as a high degree of integration with other Microsoft Office products.
15
The Asylum Division SharePoint environment provides offices the ability to quickly and electronically meet their
business needs through the use of document, workflow, form, and records management as well as reporting,
auditing, and organizational capabilities.
16
A LDA is an application that stores, processes, or transmits USCIS data, but is not currently recognized as an
official USCIS system within the USCIS IT inventory, and has not been brought into FISMA compliance to meet
DHS IT Security policies.

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The Asylum Division’s use of SharePoint/ECN is consistent with the Privacy Impact
Assessment for DHS Employee Collaboration Tools. 17 The Asylum Division SharePoint/ECN site
collection provides a secure environment to facilitate collaboration among Asylum Division
personnel across its field offices and headquarters. Information in the SharePoint/ECN site
collection is protected using security safeguards established by DHS. Asylum Division SharePoint
sites have designated facilitators responsible for determining user access and ensuring that the sites
are only used for approved purposes, such as internal collaboration, document hosting, and
workflow management. These facilitators receive special training and actively manage
permissions to ensure that only users with a need-to-know have access to information on the
Asylum SharePoint/ECN sites. The Asylum Division SharePoint site collection designates pages
approved to host sensitive PII with a “Sensitive Personally Identifiable Information Allowed”
banner at the top of each page.
Refugee, Asylum, and Parole System (RAPS)
RAPS is a comprehensive case management tool that enables USCIS to handle and process
applications for asylum and applications for suspension of deportation or special rule cancellation
of removal pursuant to NACARA § 203. USCIS, ICE, and CBP offices worldwide can access
RAPS data through the Person Centric Query System (PCQS) as a resource of current and historic
immigration status information on more than one million applicants. 18 DHS officials can use
RAPS to verify the status of asylum applicants, asylees (individuals granted asylum), and their
derivatives to assist with the verification of an individual’s immigration history in the course of a
review of visa petitions and other benefit applications as well.
Preliminary Processing of Application:
As described in the Benefit Request Intake Process PIA, 19 an asylum or NACARA § 203
accredited representative 20 or legal representative 21 (hereafter collectively referred to as legal
representative) submits an application and supporting documentation to USCIS. Asylum
applicants file Form I-589, Application for Asylum and for Withholding of Removal, with a USCIS
Service Center, or in certain circumstances directly with an Asylum Office. NACARA § 203
applicants file Form I-881, The Application for Suspension of Deportation or Special Rule
Cancellation of Removal. Service Center or Asylum personnel receive the application by mail and
manually enter most of the information from a new application into RAPS.
17

See DHS/ALL/PIA-059 Employee Collaboration Tools, available at www.dhs.gov/privacy.
See DHS/USCIS/PIA-010 Person Centric Query Service, available at www.dhs.gov/privacy.
19
See DHS/USCIS/PIA-061 Benefit Request Intake Process, available at www.dhs.gov/privacy.
20
A person who is approved by the Board of Immigration Appeals (the Board or BIA) to represent aliens before the
Immigration Courts and USCIS. The organization must be authorized by the Board to represent aliens.
21
An attorney or a BIA-accredited representative can represent a benefit requestor before USCIS, as a legal
representative with an approved G-28, Notice of Entry of Appearance as Attorney or Accredited Representative on
file.
18

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The Form I-589 and Form I-881 collect biographic and demographic information about the
applicant, including the applicant’s full name, Alien Number (A-Number), Social Security number
(SSN), gender, marital status, religious affiliations, nationality, ethnicity, race, hair and eye color,
and weight, as well as travel, educational, residential, and employment history. Similar biographic
information is collected for any dependent spouse or children who are included on the application.
These applications allow the applicant to present details of his or her substantive claim for the
requested benefit and to supplement his or her application with additional documentary evidence
relevant to his or her claim.
Rather than redundantly storing data on attorneys representing asylum applicants, RAPS
links to the Private Attorney Maintenance System (PAMS) and stores only the attorney ID, a value
that uniquely identifies the attorney. PAMS contains data on benefit requestor’s attorneys such as
name, firm, and address. Each attorney is identified by an identification code, consisting of the
office code and a sequential number. USCIS uses the attorney ID in RAPS to retrieve attorney data
from PAMS, such as name and contact information, for purposes of display in RAPS and for
creating attorney copies of all correspondence with the applicant.
When a new case is created in RAPS, the system electronically sends A-Numbers to the
Central Index System (CIS) to either create a record or update an existing record. 22 The purpose
of CIS is to provide a searchable central index of A-Files as needed in support of immigration
benefit and enforcement actions. CIS returns records associated with an A-Number used to
ascertain an individual’s current and prior immigration status.
RAPS also interfaces with the National File Tracking System (NFTS), which is an
automated file-tracking system used to maintain an accurate file inventory and track the physical
location of A-Files, 23 to share file location information, and to electronically input the A-Number
and File Control Office (FCO) into NFTS. 24 When a user requires the A-File, the user goes to CIS
and requests the file. CIS has a direct interface with NFTS to request the file. NFTS maintains and
controls the inventory of all A-Files, queries the file location, and manages the request and transfer
of A-Files between Asylum Offices and FCOs.
Background, Identity, and Security Checks
Asylum and NACARA § 203 applicants are subject to background, identity, and security
checks to ensure eligibility for the requested benefit and to ensure that they do not pose a threat to
public safety or the national security of the United States. USCIS conducts background, identity,
and security checks as part of regular case processing.

22

See DHS/USCIS/PIA-009 Central Index System (CIS), available at www.dhs.gov/privacy.
NFTS does not store a digitized copy or the entire content of the immigration files.
24
See DHS/USCIS/PIA-032 National File Tracking System (NFTS), available at www.dhs.gov/privacy.
23

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Once the information in the I-589 is entered into RAPS, USCIS generates an appointment
notice for the collection of biometrics. The Asylum Division uses the National Appointment
Scheduling System (NASS) to schedule appointments for fingerprinting at a USCIS Application
Support Center (ASC). USCIS personnel may schedule NASS appointments automatically or
manually. 25 NASS may automatically generate appointments through an interface with RAPS.
USCIS personnel may manually expedite such a process by requesting an appointment for certain
benefit requestors directly in NASS.
Applicants are required to appear at an ASC to be fingerprinted and have their photograph
taken. USCIS electronically captures the applicant’s fingerprints, photograph, and related
biographic data required to verify the individual’s identity and to ensure that the correct biographic
information is associated with the captured biometrics. Biometric data is captured in Customer
Profile Management System (CPMS), which is the centralized source of biometric images used
for USCIS benefit card and document production. 26 Biometric and biographic data are also sent to
the print production systems for employment authorization documents. Once biometrics are
collected, they are submitted for enrollment in DHS’s Automated Biometric Identification System
(IDENT) 27 for vetting against the Department of Defense (DoD) Automated Biometric
Information System (ABIS), 28 and to the Federal Bureau of Investigation (FBI) for vetting against
the Next Generation Information (NGI) system. 29 The results from CPMS are uploaded into RAPS.
RAPS also automatically initiates several background, identity, and security checks,
querying records held by DHS (e.g., ICE ENFORCE Alien Removal Module (EARM)), the FBI
(including FBI name check 30) and the National Counterterrorism Center (NCTC). RAPS receives
and stores the results of these automatically initiated checks. In addition to automatically initiated
checks, asylum data may be used for additional background, identity, and security checks during
the process of vetting a case for adjudication. These may include the use of classified systems,
social media checks, analysis by the CBP National Targeting Center, or other forms of analysis
and verification, the results of which may be stored in RAPS or APSS.
Results of Background and Security Checks
Results of background and security check systems are stored in RAPS. Depending on the
system, checks are based on biographic search parameters (e.g. name and date of birth) or
25

See DHS/USCIS/PIA-057 National Appointment Scheduling Systems (NASS) available at www.dhs.gov/privacy.
See DHS/USCIS/PIA-060 Customer Profile Management Service (CPMS), available at www.dhs.gov/privacy.
27
See DHS/NPPD/PIA-002 Automated Biometric Identification System (IDENT), available at
www.dhs.gov/privacy.
28
Department of Defense Detainee Biometric Information System, 72 FR 14534 (Mar. 28, 2007).
29
See Privacy Impact Assessment Integrated Automated Fingerprint Identification System (IAFIS)/Next Generation
Identification (NGI) Biometric Interoperability for more information, available at https://www.fbi.gov/foia/privacyimpact-assessments/iafis-ngiinteroperability-1.
30
See DOJ/FBI-002 Central Records System (CRS), 66 FR 29994 (June 4, 2001).
26

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biometric search parameters. Results are added to RAPS for newly filed applications and can be
updated whenever a check is reinitiated to renew an expiring check or prior to a decision. Each
check and law enforcement system is briefly summarized below.
•
•
•

•

•

•

CBP TECS 31 performs a check on the individual’s name and date of birth and returns a
positive or negative response to RAPS or APSS.
ICE ENFORCE Alien Removal Module (EARM) 32 performs a check on the individual’s
A-Number and returns a positive or negative response to RAPS.
Federal Bureau of Investigation (FBI) Fingerprint Check, 33 through Next Generation
Identification (NGI), performs recurring biometric record checks pertaining to criminal
history and immigration data. A check on the individual’s biometrics returns the date of
the applicant’s biometrics appointment at a USCIS Application Support Center (ASC), the
date the biometrics were sent to the FBI, and the date and result of the check. All FBI
fingerprint check requests and responses are routed to NGI via the USCIS Enterprise
Service Bus (ESB) and IDENT. There is no direct connection between the FBI’s NGI and
CPMS. 34
FBI Name Check 35 inspects all names and dates of birth used by the individual that are
entered into RAPS or APSS and submits them via RAPS or APSS to the FBI. The FBI
Name Check response is stored in RAPS or APSS.
DHS Office of Biometric Identity Management (OBIM) Automated Biometric
Identification System (IDENT) 36 provides a biometric record check related to travel and
immigration history for individuals, including immigration violations, and law
enforcement and national security concerns. A check on the individual’s biometrics returns
the individual’s encounter identification number assigned by Office of Biometric Identity
Management (OBIM)/IDENT, the dates that the information is collected and uploaded to
the system, and the nature of the record into RAPS.
Department of Defense (DoD) Automated Biometric Identification System (ABIS)37
is a biometric record check of DoD holdings. 38 A check on the individual’s biometrics

31
See DHS/CBP/PIA-009 TECS System: CBP Primary and Secondary Processing (TECS), available at
www.dhs.gov/privacy.
32
See DHS/ICE-PIA-015 ENFORCE Alien Removal Module (EARM), available at www.dhs.gov/privacy.
33
The FBI replaced its Integrated Automated Fingerprint Identification System (IAFIS) with the Next Generation
Identification (NGI). Please see the Privacy Impact Assessment Integrated Automated Fingerprint Identification
System (IAFIS)/Next Generation Identification (NGI) Biometric Interoperability for more information, available at
https://www.fbi.gov/foia/privacy-impact-assessments/iafis-ngi-interoperability-1.
34
See DHS/NPPD/PIA-060 CPMS, available at www.dhs.gov/privacy.
35
See DOJ/FBI-002 Central Records System (CRS), 66 FR 29994 (June 4, 2001).
36
See DHS/NPPD/PIA-002 Automated Biometric Identification System (IDENT), available at
www.dhs.gov/privacy.
37
Department of Defense Detainee Biometric Information System, 72 FR 14534 (Mar. 28, 2007).
38
Biometric data is collected at an authorized biometric capture site, including USCIS offices, Application Support

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returns the individual’s DoD ABIS vetting result and result date into RAPS. All DoD
fingerprint check requests and responses currently flow through CPMS via ESB. There is
no direct connection between ABIS and CPMS. CPMS generates a daily report of DoD
ABIS vetting results for applicants vetted that day, and this data is entered into RAPS.
•

National Counter Terrorism Center (NCTC) performs a check on the individual’s
biographic information contained in RAPS that is submitted to the NCTC. Results are
transmitted through secure means. Results are not currently stored in RAPS, but the checks
are done using information extracted from RAPS.

Background, identity, and security check results are uploaded to RAPS during a nightly update.
The results of checks are also included on reports automatically generated at each Asylum Office
listing individuals flagged as potential “hits.” Most security checks expire or are limited in
verification for a specific application; therefore, RAPS allows checks to be reinitiated as necessary.
Interview
In order to adjudicate applications for immigration benefits and protection screenings,
Asylum Officers interview applicants. Asylum Officers advise applicants of their legal and
procedural protections and receive specialized training on eliciting testimony through nonadversarial interviews. Asylum Officers take notes during the interview, which are included in the
applicant’s A-File and serves as a reference for drafting the Asylum Officer’s assessment or
decision worksheet. The Asylum Officer may also elicit information about the applicant’s attorney
or interpreter during the interview. A contracted interpreter monitor may be present telephonically
to ensure the accuracy of the interpretation.
The applicant is required to appear for an interview at a domestic Asylum Office or asylum
interview location. RAPS is used to schedule interview appointments, to track the date and status
of interview appointments, and to generate interview notices. The USCIS Enterprise Print
Management System (EPMS) may be used to generate notices in the future. USCIS Asylum
Offices mail the Interview Notice to the applicant and, if applicable, his or her legal representative.
Interview information is also added to the A-File, as required by case adjudication Standard
Operating Procedures (SOP).
All individuals who arrive at a USCIS Asylum Office for an interview are biometrically
verified using the CPMS Identity Verification Tool (IVT). 39 IVT allows USCIS Asylum Offices
to compare an individual’s biometric (fingerprint and photograph) and biographic information to
information previously captured at an ASC, ensuring that the person who appeared at the ASC is

Centers, or U.S. consular offices and military installations abroad using USCIS LiveScan. See the DHS/USCIS/PIA060 CPMS for more information available at www.dhs.gov/privacy.
39
See DHS/USCIS/PIA-060 Customer Profile Management System, available at www.dhs.gov/privacy.

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the same person appearing at the USCIS Asylum Office.
Decision
After conducting background, identity, and security checks, a substantive interview on the
applicant’s credibility, merits of the claim, and any potential mandatory bars, and reviewing the
record, USCIS Asylum Officers make a determination on the benefit request. USCIS personnel
may grant, deny, or revoke an immigration benefit. USCIS personnel may also allow the applicant
or beneficiary to withdraw his or her application for the benefit. In certain circumstances, a benefit
application may also be administratively closed. USCIS personnel also refer an asylum applicant
who is out of status to the Immigration Court for removal proceedings under INA § 240 if the
applicant is not found eligible for asylum or NACARA § 203. USCIS records and tracks case
decision actions in RAPS. Following adjudication, RAPS sends a daily file to Computer Linked
Application Information Management System (CLAIMS 3) 40 with records on individuals for all
granted asylum applications who are eligible to receive a secure employment authorization
document (EAD). CLAIMS 3 processes the RAPS-generated request. This process is further
detailed in the forthcoming USCIS Benefit Decision and Output PIA. 41
Employment Authorization
Applicants with a pending asylum application can apply for work authorization by filing
Form I-765, Application for Employment Authorization. 42 Access to Asylum Division data through
RAPS or PCQS may be granted to other offices within USCIS for the purpose of adjudicating the
I-765. USCIS uses CLAIMS 3 to process applications for employment authorization. 43
Fraud Detection
Information may also be referred to the FDNS Directorate, through manual or automated
referral processes for screening and for investigation of fraud, public safety, or national security
concerns. The DHS/USCIS/PIA-013-01 FDNS and DHS/USCIS/PIA-013 FDNS-DS PIAs
provide an in-depth discussion of the FDNS Directorate and automated screening evaluating the
privacy risks and mitigation strategies built into each process. 44
Information Sharing
DHS created the DHS Data Framework, which is a scalable information technology
program with built-in capabilities to support advanced data architecture and governance processes.
This program will alleviate limitations associated with IT systems that are currently deployed
40

See DHS/USCIS/PIA-016(a) CLAIMS 3 and Associated Systems, available at www.dhs.gov/privacy.
See DHS/USCIS/PIA-063 Benefit Decision and Output Processes, available at www.dhs.gov/privacy.
42
8 C.F.R. §§ 274a.12(c)(8), 208.7.
43
See DHS/USCIS/PIA-016(a) CLAIMS 3 and Associated Systems, available at www.dhs.gov/privacy.
44
See DHS/USCIS/PIA-013-01 Fraud Detection and National Security Directorate (FDNS) and DHS/USCIS/PIA013 Fraud Detection and National Security Data System (FDNS-DS), available at www.dhs.gov/privacy.
41

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across multiple operational components in DHS. It will also enable more effective use and sharing
of available homeland security-related information across the DHS enterprise and, as appropriate,
the U.S. Government, while protecting privacy. 45 RAPS data is refreshed on a daily basis with the
DHS Data Framework. As noted in the Data Framework PIA, to help mitigate the risk due to
periodic refreshes, DHS requires users of the Framework to go back to the original DHS IT system
and verify that an individual’s information has not been updated pursuant to redress or correction
before issuing any raw intelligence (e.g., intelligence information report), final analysis, or using
the information operationally. Requiring users to verify information in the original DHS IT system
will ensure that updates pursuant to redress or correction will be incorporated into any product, or
before the information is used operationally. 46
Asylum Pre-Screening System (APSS)
APSS is designed to serve as the primary system to manage, control, and track credible
fear and reasonable fear screening cases for USCIS. Much like RAPS, APSS is used by officers to
check the status of individual cases and by program managers to monitor the asylum pre-screening
process as a whole. Each Asylum Officer or other designated asylum office representative is
responsible for entering his or her cases into APSS as the case progresses. APSS is designed to
provide the user with several different data entry screens that correspond to particular stages in the
pre-screening process.
Referral
CBP or ICE refers individuals to a USCIS Asylum Office for a credible fear screening
interview when such individuals are placed in expedited removal and express a fear of persecution
or torture, an intention to apply for asylum, or a fear of return. 47 The Asylum Office enters
information regarding the individual, the claim, and the determination into APSS. Individuals
found to have a credible fear of persecution or torture are placed in INA § 240 removal proceedings
before an Immigration Judge, where they may apply for asylum or other relief or protection from
removal. 48 Individuals found not to have a credible fear of persecution or torture may request
review of the negative determination by an Immigration Judge. If the individual does not request
45

See DHS/ALL/PIA-046 DHS Data Framework, available at www.dhs.gov/privacy.
See DHS/ALL/PIA-046(b) DHS Data Framework Appendix A – Approved Data Sets, available at
www.dhs.gov/privacy.
47
Certain aliens who are seeking admission and who are found inadmissible for engaging in fraud or willful
misrepresentation, for making a false claim to U.S. citizenship, or for lacking valid documentation may be placed in
expedited removal. See INA § 235 (b)(1); and 8 CFR §§ 208.30, 235.3.
48
An alien is found to have a credible fear of persecution if there is a significant possibility, taking into account the
credibility of the statements made by the alien in support of his or her claim and such other facts as are known to the
officer, that the alien could establish eligibility for asylum under section 208 or for withholding of removal under
section 241(b)(3). INA § 235(b)(1)(B)(v); 8 C.F.R. § 208.30(e)(2). An alien is found to have a credible fear of
torture if he or she shows that there is a significant possibility that he or she is eligible for withholding of removal or
deferral of removal under the Convention Against Torture and Other Cruel, Inhuman or Degrading Treatment or
Punishment (“Convention Against Torture”). 8 C.F.R. § 208.30(e)(3).
46

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Immigration Judge review, or the Immigration Judge concurs with the negative determination, the
individual may be removed.
CBP or ICE refers individuals to a USCIS Asylum Office for a reasonable fear screening
interview when their prior order of deportation, exclusion, or removal is reinstated under INA §
241(a)(5) or they are subject to a final administrative removal order under INA § 238(b) and they
express a fear of return to the country of removal or request withholding of removal. 49 The Asylum
Office enters information regarding the individual, the claim, and the determination into APSS.
Individuals found to have a reasonable fear of persecution or torture are placed in withholdingonly proceedings before an Immigration Judge in which they may apply for withholding of
removal under 241(b)(3) or withholding or deferral under the Convention Against Torture.
Individuals found not to have a reasonable fear of persecution or torture may request review of the
negative determination by an Immigration Judge. If the individual does not request Immigration
Judge review, or the Immigration Judge concurs with the negative determination, the individual
may be removed.
The Asylum Division receives information about individuals in the credible fear and
reasonable fear processes through referral documentation provided by ICE or CBP, detailed on
pages 3-4 above. In addition to the referral documentation, ICE or CBP may provide Form I-213,
Record of Deportable/Inadmissible Alien, which contains personal information about the
applicant, including information about the individual’s entry into the United States and
apprehension by DHS, as well as biographic and biometric information, including the applicant’s
name, address, date of birth, height, weight, sex, hair and eye color, occupation, photograph, and
fingerprint. Form I-213 may also contain information about the individual’s place of birth,
nationality, and family members or associates.
Background, Identity, and Security Checks
In both the credible fear and reasonable fear processes, APSS is used to record and track
steps in the screening process, including Asylum Office determinations. When cases are entered
into APSS by a USCIS Asylum Office, background, identity, and security checks are automatically
initiated for the applicant. APSS has automated background check capability for FBI name check
and CBP TECS.
Pre-Screening Interview
Asylum Officers interview individuals during the reasonable fear and credible fear
screening processes. Asylum pre-screening interviews may occur in person or remotely by
telephone. Asylum Officers advise individuals in the credible fear and reasonable fear processes
49

An alien is found to have a reasonable fear of persecution or torture if he or she establishes a reasonable
possibility that he or she would be persecuted on account of his or her race, religion, nationality, membership in a
particular social group or political opinion, or a reasonable possibility that he or she would be tortured in the country
of removal. 8 C.F.R. § 208.31(c).

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of their legal and procedural protections and receive specialized training on eliciting testimony
through non-adversarial interviews. The individual’s attorney or consultant 50 may be present at the
interview, along with a government-contracted interpreter. At times, other Asylum Office staff
may be present for performance review or training purposes. Asylum Officers take notes during
the interview that are included in the applicant’s A-File and serve as a reference for drafting the
Asylum Officer’s determination. The Asylum Officer may also elicit information about the
applicant’s attorney or consultant during the interview, which is recorded in APSS.
Determination
Credible fear and reasonable fear determinations are recorded using APSS following the
pre-screening interview. Individuals in both processes are generally detained by ICE in detention
facilities; however, some are not detained and their addresses are recorded in APSS. APSS also
facilitates the printing of determination documents. Documentation of the final determination is
placed in the A-File.
Additionally, Asylum Offices create and store ‘working files’ for credible and reasonable
fear cases, which contain copies of referral documents and all documentation generated by the
asylum office. The Asylum Division requires that Asylum Offices keep records of completed
credible fear and reasonable fear cases. Credible Fear and Reasonable Fear working files may be
disposed of by shredding if the Asylum Office Director concludes that the office lacks space to
continue storing credible fear files; more than two months have passed since the credible fear
determination was served or the case was closed; or six months have passed since the reasonable
fear determination was served or the case was closed, the case has not been subjected to an unusual
amount of scrutiny, and all necessary APSS updates to complete the case have been performed.
Statistical Reporting
All information maintained by RAPS and APSS is also replicated in the Enterprise
Citizenship and Immigration Services Centralized Operational Repository (eCISCOR). 51 Using a
data repository such as eCISCOR allows RAPS and APSS data to be accessed in a read-only
manner by other USCIS systems, accessible only to authorized users, for reporting, statistical
analysis, and document production. eCISCOR transfers data from nearly all USCIS live
transactional systems. Due to the age of many legacy USCIS live transactional systems and the
high volume of cases they process, USCIS requires eCISCOR (and other backend storage systems)

50
In the credible fear process, the individual may consult with any person of his or her choosing prior to the
interview, and this have a consultant may be present during the interview. 8 C.F.R. § 208.30(d)(4). In the
reasonable fear process, the individual may be represented by an attorney or accredited representative at the
interview. 8 C.F.R. § 308.31(c).
51
See DHS/USCIS/PIA-023(a) Enterprise Citizenship and Immigrations Services Centralized Operational
Repository (eCISCOR), available at www.dhs.gov/privacy.

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to reduce the labor and system strain involved in accessing, reporting, and sharing information
between USCIS systems.

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 authority to collect information in RAPS and APSS is set forth in the Immigration and
Nationality Act, 8 U.S.C. §§ 1103, 1158, 1225, 1228, and Title II of Public Law 105-100 and in
the implementing regulations found in title 8 of the Code of Federal Regulations (CFR).
As set forth in Section 451(b) of the Homeland Security Act of 2002, Public Law 107-296,
Congress charged USCIS with the administration of the asylum program, which provides
protection to qualified individuals in the United States who have suffered past persecution or have
a well-founded fear of future persecution in their country of origin as outlined under INA § 208
and 8 CFR § 208. USCIS is also responsible for the adjudication of the benefit program established
by Section 203 of the Nicaraguan Adjustment and Central American Relief Act (NACARA § 203)
(discussed in more detail in Section B below), in accordance with 8 CFR §§ 240.60 – 240.70, and
the maintenance and administration of the credible fear and reasonable fear screening processes,
in accordance with 8 CFR §§ 208.30 and 208.31. USCIS developed RAPS and APSS in order to
carry out its obligations in administering these benefit programs.

1.2

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

The following SORNs cover the collection, maintenance, and use of information by the Asylum
Division:

52

•

The Alien File, Index, and National File Tracking System SORN covers the information
maintained in the A-File, including hardcopy records of asylum applications, NACARA §
203 applications, credible fear screenings, reasonable fear screenings, and supporting
documentation. USCIS creates an A-File for each indvidual. 52

•

Background Check Service 53 covers background checks and their results; and

DHS/USCIS/ICE/CBP-001 Alien File, Index, and National File Tracking System, 78 FR 69864 (November 21,
2013).
53
DHS/USCIS-002 Background Check Service, 72 FR 31082 (June 5, 2007).

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•

The Asylum Information and Pre-Screening SORN covers the collection, use, and
maintenance of asylum applications, NACARA § 203 applications, credible fear
screenings, and reasonable fear screenings. 54

1.3

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

RAPS and APSS are minor applications under the USCIS Mainframe Applications
accreditation boundary. USCIS completed the security assessment and authorization
documentation for the USCIS Mainframe Applications in October 2015, and was issued an
authority to operate until September 2017. The USCIS Mainframe Applications are planned to
enter the Ongoing Authorization program during the recertification process.

1.4

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

USCIS stores the physical documents (i.e., applications and referral documents) and
supplemental documentation in the Alien File and processes benefit requests in the respective case
management systems. The A-File [N1-566-08-11] records are permanent whether hard copy or
electronic. USCIS transfers the A-Files to the custody of NARA 100 years after the individual’s
date of birth.
NARA approved the RAPS [N1-563-04-06] and APSS [N1-563-04-07] Retention
Schedule. Master File automated records are maintained for 25 years after the case is closed, then
archived for 75 years, and then destroyed. Reports used to facilitate case processing that contain
personally identifiable information will be maintained at Headquarters and Asylum Field Offices
and destroyed when no longer needed.

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.

Forms associated with affirmative asylum and NACARA § 203 are subject to the
Paperwork Reduction Act. These forms include:

54

•

Form I-589, Application for Asylum and Withholding of Removal (OMB No. 1615-0076);

•

Form I-870, Record of Determination/Credible Fear Worksheet (pending OMB
approval);

DHS/USCIS-010 Asylum Information and Pre-Screening System of Records, 80 FR 74781 (Nov. 30, 2015).

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•

Form I-881, Application for Suspension of Deportation or Special Rule Cancellation of
Removal (Pursuant to Section 203 of Public Law 105-100 (NACARA)) (OMB No. 16150072); and

•

Form I-899, Record of Determination/Reasonable Fear Worksheet (pending OMB
approval).

Section 2.0 Characterization of the Information
The following questions are intended to define the scope of the information requested or collected, as well
as reasons for its collection.

2.1

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

Information about asylum applicants, NACARA § 203 applicants, credible and reasonable
fear screening interviewees, beneficiaries, and family members includes:
•

Name;

•

Alias(es);

•

Birth Date(s);

•

A-Number;

•

Receipt Number;

•

SSN (if available);

•

Address/residence in the United States;

•

Foreign residence history;

•

Detention location (if detained by ICE);

•

Phone Number;

•

Gender;

•

Marital Status;

•

Place of Marriage;

•

Date of Birth;

•

Country of Birth;

•

Country of Nationality (or nationalities);

•

Ethnic Origin;

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•

Religion;

•

Port(s), date(s) of entry, and status at entry(ies);

•

Filing date of asylum, NACARA § 203, or follow-to-join application;

•

Education history;

•

Work history;

•

Results of security checks;

•

Language(s) spoken;

•

Claimed basis of eligibility for benefit(s) sought;

•

Case status;

•

Case history;

•

Employment authorization eligibility and application history;

•

Government-issued identification (e.g., passport):
o Document type;
o Issuing organization;
o Document number;
o Expiration date; or
o Benefit requested.

•

Notices and communications, including:
o Appointment notice(s);
o Receipt notice(s);
o Requests for evidence;
o Notices of Intent to Deny (NOID);
o Decision notices and assessments; or
o Proofs of benefit.

•

Records regarding military service, organization membership, or affiliation;

•

Criminal history or involvement in criminal activites (e.g., arrests/detentions,
involvement with national security threats, criminal offenses, persecution, torture,
genocide, killing, injuring, forced sexual contact, limiting or denying others religious

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beliefs, service in military or other armed groups, work in penal or detention systems,
weapons distribution, combat training);
•

Education and employment history;

•

Tax records;

•

Explanation/description of foreign travel;

•

Signature;

•

Supporting documentation as necessary (e.g., birth, marriage, or divorce certificates,
licenses, explanatory statements, and unsolicited information submitted voluntarily by
the applicant or family members in support of a benefit request);

•

Photographs and other biometrics (e.g., fingerprints);

•

Results from criminal and national security background check information (CBP TECS
Check, EARM Check, FBI Fingerprint/Name Check, OBIM/IDENT Check, DoD
ABIS Check, NCTC Check); and

•

Final Decision.

Information about Attorneys, Accredited Representatives, and Form Prepares includes:
•

Name;

•

Law firm/recognized organization;

•

Physical and mailing address(es);

•

Phone and fax number(s);

•

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; and

•

Signature.

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Information about Preparers and Interpreters may include:
•

Name;

•

Organization;

•

Business state ID number;

•

Physical and mailing address(es);

•

Email address;

•

Phone and fax number(s);

•

Relationship to benefit requestor; and

•

Signature.

2.2

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

A majority of data maintained by the Asylum Division is obtained directly from the
individual applicant in the application or during the interview. Information regarding an asylum
applicant’s dependent spouse and children included in the application will be housed in RAPS,
and for individuals in the credible fear process, information about their spouse and children may
be housed in APSS. Applicant’s dependent spouse and children have a right to an individual
determination, but if the applicant has a positive determination, the applicant’s dependent spouse
and children may be included on the positive determination without resolving their individual
claim. RAPS and APSS receive background check information from systems described under
“Background, Identity, and Security Checks” above.

2.3

Does the project use information from commercial sources or
publicly available data? If so, explain why and how this
information is used.

During the course of any adjudication, Asylum Office staff may use commercial record
systems (i.e., LexisNexis Law Enforcement Systems, Accurint, and ChoicePoint’s AutotrackXP)
to investigate the veracity of a benefit application. Asylum Office staff may also use publicly
available systems such as online search engines, news media, or social media to assist with the
adjudication of a claim. Commercial sources and publicly available data is compared with
applicant-reported information regarding when the applicant entered the country, how long the
applicant has been in the United States, and when the applicant encountered harm outside the
United States. If the Asylum Division has information from a commercial data provider that is
inconsistent with relevant information provided by the applicant, the Asylum Officer must

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confront the applicant with that information and provide him or her with the opportunity to explain
the inconsitency. No commercial or publicly available information is transmitted to or stored in
RAPS or APSS. In accordance with Asylum Division policy, for any case in which provided
commercial data is used in an adjudication and in any way impacts the decision, the record must
be printed and placed in the A-File.

2.4

Discuss how accuracy of the data is ensured.

The USCIS Service Centers follow standard operating procedures (SOP) in order to enter
asylum and NACARA applications into RAPS. All applicants within the jurisdiction of an Asylum
Office receive a personal interview prior to the full adjudication of their benefit applications.
Applicant information contained in RAPS and APSS is checked for accuracy by an Asylum Officer
through this interview process. The RAPS and APSS record for each case is subject to supervisory
review or quality assurance review prior to a final determination. The applicant’s information
(including biographical data, claim, and immigration history) is verified and, if necessary,
corrected on the form as well as in RAPS and APSS based on any new or corrected information.
RAPS and APSS are designed to require specific entries in the sequence outlined by the
operating procedures to prevent inconsistencies in applicant data and decision processing entries.
RAPS and APSS accomplish this quality control through program coding that allows or prevents
record updates based on defined parameters. For example, if a security check must be completed
prior to an interview or a final decision, the systems will prevent an entry prior to the completion
of the security check. Similar program coding exists for case closures, case transfers, file
maintenance, and many other case processing tasks. Furthermore, standard recurring reports are
generated to identify cases that are pending due to incomplete record updates. The reports are used
to identify and correct or complete the record updates to allow for proper and timely case
completion.

2.5

Privacy Impact Analysis: Related to Characterization of the
Information

Privacy Risk: There is a risk of inaccurate data due to manual data entry throughout the
adjudication process.
Mitigation: USCIS partially mitigates this risk through training, supervisory reviews, and
ongoing quality assurance reviews. The USCIS Affirmative Asylum Procedures Manual 55l instructs
Asylum Offices to review and update RAPS information for accuracy and completeness. USCIS
has a number of procedures in place to check the accuracy of information coming into RAPS and
APSS, including standard field and relational edits (e.g., ZIP codes and internal DHS mainframe
55

https://www.uscis.gov/sites/default/files/USCIS/Humanitarian/Refugees%20%26%20Asylum/Asylum/AAPM2016.pdf.

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tables verify that the appropriate state or code has been selected). Authorized USCIS Asylum
Division personnel have the ability to correct inaccuracies in RAPS and APSS. To maintain quality
and consistency in processing benefit request forms, Asylum Division employees receive training
on these procedures.
Privacy Risk: There is a risk of over collection of information during the course of the
application and interview processes.
Mitigation: The USCIS Office of Privacy reviews each immigration form during the form
development or promulgation process to ensure that only the minimum amount of information is
collected to determine benefit eligibility. Furthermore, all data elements collected are negotiated
with and approved by OMB during PRA collection review.
The information collected from the Form I-589 and Form I-881 applications is required to
adjudicate the asylum and NACARA § 203 benefits. Asylum Officers are trained to elicit
testimony during asylum and protection screening interviews using lines of questioning relevant
to adjudicating the benefit or conducting the protection screening. RAPS and APSS allow the entry
of only the minimum data required to track the processing of the benefit adjudication. All personal
data is entered using the data entry commands, which are configured to match the questions asked
in the applications, such as the Form I-589, Application for Asylum and for Withholding for
Removal. All information requested in the applications and testimony elicited during interviews is
relevant to ensure that bona fide applicants are identified, to prevent benefit fraud, and to enable
offices to adjudicate and serve decisions at the individual’s appropriate address.
Privacy Risk: There is a risk that information in RAPS and APSS that is replicated and
shared via eCISCOR is not updated in real time, and therefore may be inaccurate.
Mitigation: This risk cannot be mitigated. USCIS uses eCISCOR to share RAPS and
APSS information more efficiently with other USCIS systems for interoperability purposes. If
constant queries were performed against RAPS and APSS, which are live transaction systems
designed to perform real-time daily tasks for USCIS customers, the primary source system
functionality would significantly decrease. The RAPS and APSS systems lag would cause
considerable mission disruption. Therefore, USCIS relies on eCISCOR to perform queries. To
mitigate the risk of inaccurate data within eCISCOR, eCISCOR refreshes from RAPS, APSS, and
other source systems on a daily basis (generally overnight).

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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 uses the information to manage, control, and track the process of affirmative asylum
applications, applications for suspension of deportation or special rule cancellation of removal
pursuant to NACARA § 203, as well as credible fear and reasonable fear screenings.
Specific uses of RAPS and APSS data include:
•

Correctly recording and identifying the applicant and to verify the accuracy of information
provided in an application (including the information on derivative spouses and children);

•

Generating and sending correspondence (e.g., interview notice, denial, grant, or requests
for additional information) to the applicant, derivatives, and legal representative, if any;

•

Facilitating and maintaining security screening check results to determine suitability for
asylum benefits using criminal, immigration, or terrorism-related history;

•

Managing adjudicative workflow; and

•

Generating reports.

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.

No.

3.3

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

USCIS provides the following non-USCIS DHS components read-only access to Asylum
Division information and records: (1) CBP, for border and inspection processing (to confirm
immigration status); (2) ICE, for investigatory, removal, and immigration court functions; and (3)
the Office of the Citizenship and Immigration Services Ombudsman, for providing individual case
assistance to the public. Asylum Division information is also used to respond to queries from DHS
law enforcement intelligence analysts upon request.
Other DHS agencies that may receive Asylum Division information and records include
the following components:

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•

The Office of Inspector General (OIG) may be given Asylum Division information and
records during the course of an audit, investigation, or inspection.

•

The Office of Legislative Affairs (OLA) may be given information in the course of in
inquiry.

•

The Office of Citizen and Citizenship and Immigration Services Ombudsman may be given
information in the course of an inquiry lodged by an applicant.

•

The Office of the General Counsel (OGC) may be given information in the course of an
investigation, during litigation, or for an assessment of a legal issue.

•

The Office of Policy may receive information in the course of an applicant’s inquiry or an
inquiry made by the DHS Secretary.

•

Law enforcement actions, national security concerns or applicant inquiries, as well as
audits and inquiries by the DHS Secretary may require the release of Asylum Division
information and records to other DHS components on an ad hoc basis.

•

The Office of Immigration Statistics (OIS) may receive Asylum Division data in the course
of developing, analyzing, and disseminating statistical information needed to inform
immigration policy.

Biographic information available in Asylum Division data and statistical reports may be shared
with the above-listed DHS components for the purposes of evaluating eligibility for a benefit,
litigation, and policymaking.

3.4

Privacy Impact Analysis: Related to the Uses of Information

Privacy Risk: There is a risk that authorized users could use the data for purposes
inconsistent with the original collection.
Mitigation: To ensure the information is used consistently with the purposes of the original
collection, only personnel with the proper security clearance and a need for the information are
granted access to RAPS, APSS, and PCQS. The system administrator is responsible for granting
the appropriate level of access. All users will be properly trained on the use and release of
information in accordance with agency policies, procedures, regulations, and guidance. In
addition, DHS personnel are required to take annual computer security and privacy awareness
training. All authorized users access RAPS and APSS with unique log-on credentials so that
changes to information in the system can be tracked using the user ID.
Privacy Risk: There is a risk that unauthorized users may gain access to information in
RAPS, APSS, and PCQS.

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Mitigation: Records are protected by administrative, physical, and technical safeguards.
Access to data is granted to only a limited number of users for mission-related purposes. USCIS
grants access based on the user’s job function and duty station. The user interfaces for RAPS,
APSS, and PCQS are available only via specific government-furnished equipment or workplace
as a service (WPaaS) accessed using the employee’s Personal Identity Verification (PIV) card.
USCIS offices where this equipment is available are located in buildings staffed with 24-hour
security service and other security mechanisms. USCIS restricts access to the premises to those
provided with official identification and authorization. All records are stored in spaces that are
locked after normal office hours. Paper records are stored in secured areas that are locked outside
of normal office hours.
Employees with an active, approved telework agreement may work remotely using
government-furnished equipment or WPaaS technology accessed using the employee’s PIV card.
Teleworking employees must complete telework training and are responsible for ensuring that
records subject to the Privacy Act and other sensitive or classified data are not disclosed to anyone
except those who are authorized to access such information in order to perform their duties. All
teleworking employees complete an attestation that they will apply approved safeguards to protect
government records from unauthorized disclosure or damage and will comply with the Privacy
Act requirements set forth in the Privacy Act of 1974, codified in 5 U.S.C. 552a, and other similar
security and privacy requirements.
Employees are to report all PII security violations to their supervisor immediately upon
discovery of the incident. No classified documents (hardcopy or electronic) may be taken to an
employee’s alternative worksite and electronic Sensitive But Unclassified (SBU) information,
including PII and For Official Use Only (FOUO) data, may only be accessed with governmentfurnished equipment or through workplace as a service (WPaaS) technology. When not in use,
electronic and hardcopy SBU and sensitive personal property must be kept in a locked container,
drawer, or file cabinet accessible only by individuals determined to have a need-to-know in
accordance with the applicable management directives.
The specific user must have been provided the proper secondary access user roles, as
described in Section 8.0 Auditing and Accountability, to view RAPS or APSS before the systems
are visible through the user interface.

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.

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4.1

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

The instruction associated with affirmative asylum and NACARA § 203 forms contains a
Privacy Notice. Each Privacy Notice provides notice to individuals about the Agency’s authority
to collect information, the purposes of data collection, how USCIS will share information outside
of the Department, and the consequences of declining to provide the requested information to
USCIS. The forms also contain a provision by which an applicant authorizes USCIS to release any
information received from the benefit requestor or beneficiary as needed to determine eligibility
for benefits.
Individuals referred for credible fear and reasonable fear screenings do not provide
documents or file an application with USCIS. ICE and CBP refer these individuals to USCIS for
screening via documents that are a part of the removal process, as described in the Overview to
this PIA. Individuals in the credible fear and reasonable fear processes receive an orientation
explaining the process, which is documented on the M-444 (credible fear) and M-488 (reasonable
fear). As these individuals are already subject to an order of removal (expedited removal for
credible fear, reinstatement of a prior order or a final administrative removal order for reasonable
fear), the individuals do not complete a benefit application with USCIS.
Individuals receive general notice through this PIA, DHS/USCIS/ICE/CBP-001 Alien File,
Index, and National File Tracking SORN, and DHS/USCIS-010 Asylum Information and PreScreening SORN.

4.2

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

Through the application process, individuals have consented to the use of the information
submitted for adjudication purposes. Applicants who apply for affirmative asylum and NACARA
§ 203 have an opportunity and right to decline to provide information. USCIS benefit applications
require the applicant to provide biographic or biometric information. This information is critical
in making an informed adjudication decision to grant or deny an immigration benefit. Failure to
submit such information prohibits USCIS or EOIR from processing and properly adjudicating the
application and thus precludes the applicant from receiving the requested benefit.
Applicants in the credible fear or reasonable fear process may dissolve or withdraw their
claim and accept removal. Applicants may also refuse to provide information, which may lead to
a negative determination if such information is material to the adjudication.

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4.3

Privacy Impact Analysis: Related to Notice

The extent of notice and opportunity to provide informed consent varies based on the
particular purpose associated with the original collection of the information. In most cases, notice
is provided when the applicant fills out the application for benefits. USCIS provides notice to
individuals through a Privacy Notice, this PIA, and the associated SORN.

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 stores the physical documents and supplemental documentation in the A-File and
processes asylum requests in the respective case management system. The A-File [N1-566-08-11]
records are permanent whether hard copy or electronic, until destroyed. USCIS transfers the AFiles to the custody of NARA 100 years after the individual’s date of birth.
NARA approved the RAPS [N1-563-04-06] and APSS [N1-563-04-07] Retention
Schedule. Master File automated records are maintained for 25 years after the case is closed, then
archived for 75 years, and then destroyed. USCIS is proposing to update the RAPS and APSS
Retention Schedule to maintain data for 100 years and then destroy the information to align with
the approved A-File schedule. This retention schedule allows the individual to adjust status and
naturalize. It also allows USCIS to timely address any follow-up inquiries (e.g., requests related
to security inquiries and Freedom of Information Act/Privacy Act matters).

5.2

Privacy Impact Analysis: Related to Retention

There is no risk associated with retention in relation to Asylum Division data. USCIS is
adhering to the NARA-approved RAPS and APSS Retention Schedule. Although there is always
an inherent risk in retaining information for any length of time, the RAPS and APSS information
retention periods are consistent with the concept of retaining information only for as long as
necessary to support the agency’s mission. USCIS has designated asylum data as a permanent
status since the benefit is subject to termination in the future and individuals can apply to adjust
status at any time.

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.

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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.

Asylum Division information and records may be shared with outside entities, either
pursuant to regulation or through specific agreements.
Department of Justice (DOJ) – Executive Office for Immigration Review
The Asylum Division inputs case information into the Department of Justice Executive
Office of Immigration Review (EOIR) Case Access System for EOIR (CASE) when referring an
applicant to immigration court for proceedings. 56 The Asylum Division may also share Asylum
Division information and records, including individual or statistical data, with EOIR on a case-bycase, ad hoc basis for the purposes of evaluating eligibility for a benefit 57 or removability,
evaluating procedures, litigation, and policymaking. 58
Respondents in removal proceedings who file an I-589, Application for Asylum and for
Withholding of Removal, are instructed to file the first three pages of the I-589 and a Form EOIR28, Notice of Entry of Appearance as Attorney or Representative Before the Immigration Court, if
applicable, with USCIS. USCIS inputs information from I-589 applications filed as a defense to
removal into a separate section of RAPS, referred to as the “defensive” side of RAPS. RAPS
initiates FBI name checks and FBI fingerprint checks for defensive filings, and receives IDENT
results from OBIM. The results of these security checks may be shared with DOJ EOIR.
Department of Justice – Other Components
Records may be shared with the FBI and any other U.S. Government official or contractor
having a need to examine information in connection with any U.S. Government investigation
concerning any criminal or civil matter (e.g., fingerprint and name checks). Records may also be
shared for litigation purposes with the DOJ Office of Immigration Litigation (OIL).

56

See Privacy Impact Assessment for Case Access System for EOIR (CASE), available at
https://www.justice.gov/sites/default/files/opcl/docs/eoir_pia.pdf.
57
This includes, but is not limited to, tracking days accrued and stoppages of the 180-day Asylum Employment
Authorization Document (EAD) Clock.
58
See Memorandum of Agreement Between the Department of Homeland Security and The Department of Justice
Executive Office for Immigration Review Regarding the Sharing of Information on Immigration Cases, October 22,
2012, available at: https://www.justice.gov/sites/default/files/eoir/legacy/2014/11/20/DHS-MOA-DataAgreement.pdf.

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National Counter Terrorism Center (NCTC) 59
DHS has entered into an updated Memorandum of Agreement (MOA) 60 with NCTC in
order to facilitate NCTC’s counterterrorism efforts and to identify terrorism information within
RAPS. 61 Pursuant to 8 CFR § 208.6(a), the Secretary has authorized regular sharing of asylumrelated information for this purpose. This information sharing also aligns with DHS’s mission to
prevent and deter terrorist attacks and helps to ensure that immigration benefits are not granted to
individuals who pose a threat to national security.
NCTC replicates RAPS information into its Counterterrorism Data Layer (CTDL) to
support its counterterrorism efforts. The CTDL provides NCTC analysts with “the ability to search,
exploit, and correlate terrorism information in a single environment.” For example, NCTC analysts
may run queries against RAPS information in the CTDL to identify terrorism information within
RAPS. When RAPS information is determined to constitute terrorism information, NCTC will
provide feedback to DHS, which DHS may use to support its mission to prevent and deter terrorist
attacks. Additionally, when NCTC replicates RAPS information, the records will be marked with
a “time-to live” date, which will specify when the RAPS information will be deleted if it is not
identified as terrorism information.
Additionally, NCTC conducts automated screening of all RAPS information to generate
potential leads that may constitute terrorism information. NCTC analysts review all of the potential
leads to determine whether the RAPS information constitutes terrorism information. NCTC
processes all RAPS records through this screening support process within the “temporary
retention” period of three years to determine whether RAPS records constitute terrorism
information. This screening activity supports DHS’s mission to prevent and deter terrorist attacks
and assists DHS in its assessment of the national security risk that may be posed by granting
asylum status to applicants. Because this screening support assists DHS, the MOA includes
provisions to allow DHS, in coordination with NCTC, to perform the review of the automated
matches if NCTC resources or workload prioritization preclude NCTC from providing this review.

59
See DHS/USCIS/PIA-027(b) Refugees, Asylum, and Parole System and the Asylum Pre-Screening System,
available at www.dhs.gov/privacy.
60
The MOA does not include the APSS database.
61
DHS Delegation Number 08505, Delegation of Authority to Disclose Asylum and Refugee Information, vests the
authority to disclose Asylum and Refugee Information to the Under Secretary for Intelligence and Analysis, the
Assistant Secretary of United States Citizenship and Immigration Services, the Commissioner of U.S. Customs and
Border Protection, the Director of United States Immigration and Customs Enforcement, and the Director of
Operations Coordination for counterterrorism and intelligence purposes. This delegation does not affect the
disclosure of Asylum and Refugee Information in accordance with the provisions of Title 8, Code of Federal
Regulations (C.F.R.), Section 208.6(c). Section 208.6, “Disclosure to third parties,” provides that such authority will
be exercised only for authorized intelligence or counterterrorism functions and in accordance with policies and
procedures established by the Under Secretary for Intelligence and Analysis in consultation with the other officials
named in the delegation.

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NCTC reviews, retains, and disseminates RAPS records it has determined to constitute
terrorism information in accordance with procedures approved for NCTC by the Attorney General
in accordance with Section 2.3 of Executive Order 12333, and additional terms specified in the
MOA.
Department of Defense (DoD)
Pursuant to a Memorandum of Agreement between the Department of Defense (DoD) and
the Department of Homeland Security (DHS), biometrics information is shared between USCIS
and DoD in order to support the missions of both agencies. All affirmative asylum applicants
appear at an Application Support Center (ASC) for biometrics collection and those biometrics are
transmitted to DoD Automated Biometric Identification System (ABIS). 62 DoD/ABIS then
conducts a search of all ABIS record categories on the received biometrics. DoD/ABIS will record
the RAPS data, and a listed source of “DHS record” in ABIS indicating that the check took place.
To preserve the confidentiality of the asylum application, no indication is made of the asylum
application or asylum program office. The results of the check are returned, indicating whether the
check resulted in a fingerprint match, no matching record, an error report, or a duplicate check.
All results will include the information submitted by USCIS, the results of the check, all ABIS
matching records, and the date of the ABIS check. The check requests will be returned to USCIS
systems. Whether the DoD/ABIS check resulted in a match is displayed in RAPS. Asylum Officers
review the ABIS results in CPMS prior to interview and consider the information in performing
the benefit adjudication.
Five Country Conference (FCC)
The DHS Secretary authorized the Asylum Division to permit regular sharing of asylumrelated information with the Five Country Conference (FCC), a forum for cooperation on
migration and border security between the countries of Australia, Canada, New Zealand, the
United Kingdom, and the United States. Under the auspices of the FCC, IDENT, via the Office of
Biometrics Management (OBIM), supports the exchange of biometric information in specific
immigration cases. The biometrics exchanges are searched against the holdings of each FCC
partner to determine the existence of information that may be pertinent to asylum adjudication
officers and their supervisors. Such information may include previous or current immigration
status, asylum application materials, and responses to additional inquiries from FCC partners. The
Secretary has authorized disclosure of asylum-related information with the FCC partner countries.
Government of Canada
The United States and the Government of Canada also share asylum-related information
bilaterally through an arrangement formalized in a Statement of Mutual Understanding on
62

Department of Defense Detainee Biometric Information System, 72 FR 14534 (Mar. 28, 2007). Also Defense
Biometric Services, 74 FR 48237 (Sept. 22, 2009).

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Information Sharing (SMU) and an asylum-specific Annex to the SMU, which together permit
Canada’s Department of Citizenship and Immigration Canada (CIC) 63 and USCIS to exchange
asylum-related biographic and biometric records on both a case-by-case and systematic basis.
Asylum Division information and records may be shared with the Government of Canada
for the purpose of enhancing the ability of both the United States and the Canadian government to
prevent abuse of the asylum process in their respective countries and to make accurate asylum
eligibility determinations, thereby strengthening the integrity of both countries’ asylum systems.
As noted above, the DHS Secretary has authorized similar disclosure under agreements with the
United Kingdom and Australia for specific projects.
Department of Health and Human Services (HHS)
In 2002, the Attorney General authorized the Asylum Division to release to the Office of
Refugee Resettlement (ORR) of the Department of Health and Human Services (HHS) RAPS
records for individuals granted asylum to enable ORR to meet congressional reporting
requirements, provide more effective post-decision services, and generate statistical reports used
to allocate funding for asylee social benefits. The electronic asylee data provided to the ORR
consists of the name, date of birth, A-Number, gender, marital status, country of birth, country of
citizenship, date of entry or admission into the United States, date of asylum grant, current city of
residence, state of residence, street address, and zipcode, as available.
In 2001, the Attorney General had also authorized the Asylum Division to disclose to HHS
certain biographical information on asylees to enable ORR and the Centers for Disease Control
(CDC) to provide emergency relief to qualified asylees. History records are created in RAPS on
key updates received from EOIR on referred cases, i.e., acknowledgment of the Notice to Appear
(NTA) receipt, date of scheduled hearing on the merits, and final decision.
Department of State (DOS)
The U.S. Department of State has access to review limited RAPS records through USCIS’s
PCQS. PCQS allows DOS users to search for applicant records in RAPS as well as other USCIS
systems of records. The access is provided as an addendum to pre-existing Memorandum of
Understanding (MOU) between the Department of State Bureau of Consular Affairs and DHS
USCIS, for the exchange of visa and immigration data.
Other Disclosure to U.S. Government Offices and Foreign Governments
Finally, the Attorney General and the DHS Secretary have, in rare circumstances,
authorized disclosure on specific asylum seekers on a case-by-case basis to other U.S. Government
offices, foreign governments, and members of Congress. If the chair of a congressional committee
with competent jurisdiction submits a written request for protected asylum-related information,
63

CIC has since been renamed Immigration, Refugees, and Citizenship Canada (IRCC).

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then the requested information is generally provided without regard to the regulation at 8 C.F.R. §
208.6. Written requests for asylum-related information by individual members of Congress or their
respective staff members are considered on a case-by-case basis. Requests made by any foreign
government are handled in accordance with 8 C.F.R. § 208.6 and appropriate delegations of the
Secretary’s waiver authority.

6.2

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

DOS
Sharing USCIS data with DOS is compatible with the purpose of the system because the
DOS mission, like USCIS, includes ensuring lawful visits and immigration to the United States as
dictated by the INA. Routine Use K of the Asylum Information and Pre-Screening SORN and
Routine Use O of the A-File SORN permit USCIS to share information with the DOS for the
purpose of assisting in the processing of benefit requests under the INA, and all other immigration
and nationality laws including treaties and reciprocal agreements.

HHS
Sharing USCIS data with HHS is compatible with the purpose of the system because
Sections 400.203(b) and 400.211 of 45 Code of Federal Regulations provide access to medical
benefits for individuals granted asylum. All asylees are eligible to apply for ORR assistance and
services under the policy. Routine Use L of the Asylum Information and Pre-Screening SORN and
Routine Use BB of the A-File SORN permit USCIS to share information with the HHS to provide
emergency relief to qualified asylees, meet congressional reporting requirements, provide postdecisions services, and generate statistical reports for allocating funding for asylee social benefits.
NCTC
Sharing USCIS data with NCTC is compatible with the purpose of the system because
USCIS is required to conduct background and security checks to identify threats to national
security and public safety posed by those seeking immigration benefits. Routine Use H and I of
the Asylum Information and Pre-Screening SORN and EE of the A-File SORN permit USCIS to
share information with NCTC or to any element of the U.S. Intelligence Community, or any other
federal or state agency having a counterterrorism function, provided that the need to examine the
information, or the request is made in connection with its authorized intelligence or
counterterrorism functions and the information received will be used for the authorized purpose
for which it is requested.

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Government of Canada
Sharing USCIS data with Canada is compatible with the purpose of the system because
this information sharing intiative is intended to enhance the cooperation between the United States
and Canada to prevent terrorism, including terrorist travel, serious crime and other threats to
national security, and to assist in the administration and enforcement of immigration laws. Routine
Use J of the Asylum Information and Pre-Screening SORN and Routine Use CC of the A-File
SORN permits USCIS to share information with the Government of Canada for the purpose of
verifying or ascertaining the citizenship or immigration status of any individual within the
jurisdiction of the agency, for any purpose authorized by law as limited by the terms and conditions
of 8 CFR § 208.6 and any waivers issued by the Secretary pursuant to 8 CFR § 208.6.
DOJ
Sharing USCIS data with DOJ is compatible with the purpose of the system because DOJ
administers the nation’s immigration court system. Routine Use A of both the Asylum Information
and Pre-Screening and A-File SORNs permit USCIS to share information with the Department of
Justice (DOJ), including Offices of the U.S. Attorneys, or other federal agency conducting
litigation or in proceedings before any court, adjudicative, or administrative body, when it is
relevant or necessary to the litigation and when DHS, DOJ, or any current or former employee of
DHS or DOJ are a party to the litigation or has an interest in such litigation.
FCC
Sharing USCIS data with FCC is compatible with the purpose of the system because these
information sharing initiatives are to enhance the cooperation between the United States and its
foreign partners to prevent terrorism, including terrorist travel, serious crime and other threats to
national security, and to assist in the administration and enforcement of immigration laws. Routine
Use J of the Asylum Information and Pre-Screening SORN and Routine Use CC of the A-File
SORN permit USCIS to share information with the FCC for the purpose of verifying or
ascertaining the citizenship or immigration status of any individual within the jurisdiction of the
agency for any purpose authorized by law as limited by the terms and conditions of 8 CFR § 208.6
and any waivers issued by the Secretary pursuant to 8 CFR § 208.6.
DoD
Sharing USCIS data with DoD is compatible with the purpose of the system because
USCIS is required to conduct background and security checks to identify threats to national
security and public safety posed by those seeking immigration benefits. Pursuant to Routine Use
G of Biometric Storage System of Records Notice, all or a portion of the records or information
contained in USCIS’s biometrics storage system may be disclosed outside DHS as a routine use to
federal and foreign government intelligence or counterterrorism agencies when DHS reasonably
believes there to be a threat or potential threat to national or international security for which the

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information may be useful in countering the threat or potential threat, when DHS reasonably
believes such use is to assist in anti-terrorism efforts, and disclosure is appropriate to the proper
performance of the official duties of the person making the disclosure.
USCIS may also share information with federal, state, local, and foreign government
agencies and authorized organizations in accordance with approved routine uses, as described in
the associated published system of records notices.

6.3

Does the project place limitations on re-dissemination?

Yes. DHS or USCIS enters into Memoranda of Understanding/Agreement (MOU/A) with
external organizations prior to the systematic sharing of information. When sharing information
with parties outside of DHS, the same specifications related to security and safeguarding of
privacy-sensitive information that are in place for USCIS and DHS are applied to the outside entity.
The agreements between DHS and external entities (e.g., DOJ, DoD, DOS, FCC, Canada) fully
outline responsibilities of the parties, security standards, and limits of use of the information,
including re-dissemination, prior to information sharing. Access to records is governed by needto-know criteria that require the receiving entity to demonstrate the mission-related need for the
data before access is granted. In the terms of a negotiated agreement or the language of an
authorization providing information to an external agency, USCIS includes justification for
collecting the data, and an acknowledgement that the receiving agency will not share the
information without USCIS or DHS’s permission, as applicable.

6.4

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

USCIS keeps an electronic record in system audit logs, emails, and A-File records of all
RAPS and APSS records sent to non-DHS partners.

6.5

Privacy Impact Analysis: Related to Information Sharing

Privacy Risk: There is a risk of unauthorized access to RAPS or APSS.
Mitigation: To ensure the information is used consistently with the purposes of the original
collection, Asylum Division personnel strictly control the process of data sharing. All prospective
users must be authorized to gain access to information contained within RAPS, APSS, or PCQS.
All users must sign a non-disclosure agreement, which outlines the limits and restrictions regarding
use of the data, prior to accessing the systems or viewing records contained by the system. Risks
are further mitigated by provisions set forth in MOUs with federal and foreign government
agencies. U.S. Government employees must undergo annual security and privacy awareness
training.

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Privacy Risk: There is a risk that data shared by USCIS with external partners will be used
beyond the original purpose of collection (immigration benefits).
Mitigation: USCIS is careful to share data with external agencies that have a need-to-know
and put the information to a use that is compatible with the Asylum Information and Pre-Screening
SORN. USCIS documents these safeguards in MOU/MOA with the external partners. All
prospective information handlers must be authorized to access the information. This mitigates the
risk of unauthorized disclosure by requiring a trained employee with access to the information to
review the information before sharing with an external agency.
Privacy Risk: There is a risk that USCIS may disclose protected information inconsistent
with the confidentiality requirements of 8 CFR § 208.6.
Mitigation: DHS employees are aware of the importance of safeguarding information
protected by 8 CFR § 208.6. All employees with access to protected asylum information in RAPS,
APSS, or PCQS must read and sign an acknowledgement of confidentiality obligations concerning
asylum-related information. The confidentiality obligations acknowledgment form contains the
text of 8 CFR § 208.6 and a detailed explanation of the confidentiality obligations. Employees
must agree to comply with these obligations before receiving access to asylum information in
RAPS, APSS, or PCQS. This mitigates the risk by ensuring that all employees are familiar with
the confidentiality obligations under 8 CFR § 208.6 and agree to abide by them.

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, or filing complaints.

7.1

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

Any individual, regardless of citizenship status, may gain access to his or her USCIS
records by filing a Freedom of Information Act (FOIA) request. U.S. Citizens and Lawful
Permanent Residents may also file a Privacy Act request to access their information. If an
individual would like to file a FOIA or Privacy Act request to view his or her USCIS record, he or
she may mail the request to the following address:
National Records Center
Freedom of Information Act (FOIA)/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 or
FOIA applicable exemptions. Requests for access to asylum, NACARA § 203, reasonable fear,

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and credible fear records will be reviewed on a case-by-case basis. Further information about
Privacy Act and FOIA requests for USCIS records is available at http://www.uscis.gov.

7.2

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

Individuals should submit requests to contest or amend information as discussed in Section
7.1. The requestor should clearly and concisely state the information being contested, the reason
for contesting or amending it, and the proposed amendment. The requestor should also clearly
mark the envelope “Privacy Act Amendment Request.” The record must be identified in the same
manner as described for making a request for access. Persons not covered by the Privacy Act are
not able to amend their records through FOIA. Should a non-U.S. person find inaccurate
information in his or her record received through FOIA, he or she may visit a local USCIS Field
Office to identify and amend inaccurate records with evidence.

7.3

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

USCIS notifies individuals of the procedures for correcting their information in this PIA,
Privacy Notice, and through the USCIS website. Specifically, the SORNs set forth in Section 1.2
provide individuals with guidance regarding the procedures for correcting information. The
Privacy Notice including notice of an individual’s right to correct information, are also contained
on the instructions to immigration forms published by USCIS.

7.4

Privacy Impact Analysis: Related to Redress

There is no risk associated with redress in relation to RAPS and APSS. USCIS provides
individuals with access to their records in RAPS and APSS when requested through a FOIA or
Privacy Act request. The information requested may be exempt from disclosure under the Privacy
Act because information contained within RAPS and APSS may contain law enforcement sensitive
information, the release of which could compromise ongoing criminal investigations.

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?

USCIS Asylum Division ensures that practices stated in this PIA comply with internal
USCIS policies, including the USCIS privacy policies, SOPs, orientation and training, rules of
behavior, and auditing and accountability. RAPS and APSS include an audit trail capability to

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monitor user activities and generate alerts for unauthorized access attempts. The general audit log
and the security log allow the Global Administrator to select event type, such as access or logon,
and the data displayed includes timestamp, name, Internet Protocol address, transaction, and site.
The other log is the auto lock log and the display for it shows the employee’s name, last login,
auto lock date with time, reinstate date with time, username, and site. This auditing is a strong
influence for users to use RAPS and APSS appropriately.

8.2

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

USCIS employees and contractors are required to complete annual Privacy and Computer
Security Awareness Training to ensure their understanding of proper handling and securing of PII.
Privacy training addresses appropriate privacy concerns, including Privacy Act obligations (e.g.,
SORNs, Privacy Act Statements). The Computer Security Awareness Training examines
appropriate technical, physical, and administrative control measures. Leadership at each USCIS
office is responsible for ensuring that all federal employees and contractors receive the required
annual Computer Security Awareness Training and Privacy training.

8.3

What procedures are in place to determine which users may
access the information and how does the project determine who
has access?

In compliance with federal law and regulations, users have access to Asylum Division
information and records on a need-to-know basis. This need to know is determined by the
individual’s current job functions. Users may have read-only access to the information if they have
a legitimate need-to-know as validated by their supervisor and the system owner and have
successfully completed all personnel security training requirements. A user desiring access must
complete a Form G-872A, Request for PICS Mainframe Applications, for access to RAPS or
APSS. This application states the justification for the level of access being requested. The
requestor’s supervisor and the Password Issuance and Control System (PICS) officer review this
request; if approved, the requestor’s clearance level is independently confirmed and the user
account established. Secondary access is then provided by the USCIS Asylum Division, or for
Service Center or National Benefits Center personnel, by local administrators at those locations.
Those local administrators determine the specific user roles based on the user’s job duties and
need-to-know. System Administrators and contracted developers may have access if they are
cleared and have legitimate job functions. Access privileges (for both internal and external users)
are limited by establishing role based user accounts to minimize access to information that is not
needed to perform essential job functions.
There are several Department and government-wide regulations and directives that provide

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DHS/USCIS/PIA-027(c) USCIS Asylum Division
Page 38

additional guidance. Asylum-related data is governed by strict regulatory confidentiality
provisions outlined in 8 CFR § 208.6, Disclosure to Third Parties. This regulation generally
prohibits the disclosure to third parties of information contained in or pertaining to asylum
applications, credible fear determinations, and reasonable fear determinations -- including
information contained in RAPS, APSS, or PCQS, except under certain limited circumstances. All
users must sign a confidentiality acknowledgement in order to obtain any access to RAPS, APSS
or PCQS.

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 use of information or new access requests for the system must go through the USCIS change
control process and must be approved by the proper authorities of this process, such as the USCIS
Privacy Officer, Chief Information Security Officer, Office of the Chief Counsel, and the
respective program office.

Responsible Officials
Donald K. Hawkins
Privacy Officer
U.S. Citizenship and Immigration Services
Department of Homeland Security

Approval Signature

Original, signed copy on file with the DHS Privacy Office.

________________________________
Jonathan R. Cantor
Acting Chief Privacy Officer
Department of Homeland Security