Privacy Impact Assessment for the Administrative Appeals Office (AAO) Case Management System DHS/USCIS/PIA-062 April 26, 2016 Contact Point Donald K. Hawkins Office of Privacy United States Citizenship and Immigration Services (202) 272-8000 Reviewing Official Karen L. Neuman Chief Privacy Officer Department of Homeland Security (202) 343-1717 Privacy Impact Assessment DHS/USCIS/PIA-062 AAO CMS Page 1 Abstract The United States Citizenship and Immigration Services (USCIS) Administrative Appeals Office (AAO) developed a case management system (CMS) to capture information related to appeals, motions, and certifications the AAO adjudicates and to improve its ability to track appeals and case processing. The AAO CMS is a person-centric case management system used to track appeals, motions, and certifications filed with or processed by USCIS AAO that are under the AAO’s jurisdiction. USCIS is conducting this Privacy Impact Assessment to document, analyze, and assess its current practices with respect to the personally identifiable information (PII) collected, used, and maintained by the AAO CMS. Overview The USCIS Administrative Appeals Office (AAO) conducts administrative review of immigration benefit decisions to ensure consistency and accuracy in USCIS’ interpretation of immigration law and policy. The AAO generally issues non-precedential decisions that apply existing law and policy to the facts of a given case. Non-precedential decisions are binding on the parties involved in the case, but do not create or modify USCIS policy or practice. The AAO does not announce new interpretations of law or establish agency policy through non-precedential decisions. The AAO adjudicates three primary categories of cases: 1. Appeals are requests to a higher authority to review a decision. When an applicant or petitioner appeals a decision to the AAO, the officer who made the original decision will first review the record. A review of the record will determine whether the evidence or argument submitted in the appeal warrants reopening or reconsidering the decision. If the adjudicating officer determines that reopening or reconsidering the decision is not warranted, the officer will forward the case for further review to the AAO or the Department of Justice (DOJ) Board of Immigration Appeals (BIA). The AAO exercises appellate jurisdiction over approximately fifty different immigration case types. Not every type of denied immigration benefit request may be appealed, and some appeals fall under the jurisdiction of the BIA.1 1 It is important to note that the BIA and the AAO are separate administrative appellate entities that have jurisdiction over different types of immigration cases. The BIA is located within the DOJ’s Executive Office for Immigration Review (EOIR). The majority of appeals to the BIA involve decisions that EOIR immigration judges made in removal proceedings. The BIA also reviews USCIS decisions on immigrant petitions for alien relatives. The BIA has the authority to designate its decisions as precedent. BIA precedential decisions are binding on immigration judges and DHS officers and employees in cases involving the same issue(s). Privacy Impact Assessment DHS/USCIS/PIA-062 AAO CMS Page 2 2. Motions are requests to the original decision maker to review a decision. The AAO has jurisdiction over motions to reopen and motions to reconsider its own decisions. If AAO issues an unfavorable decision, the appellant may file a motion to reopen or a motion to reconsider that decision. The AAO may also reopen or reconsider one of its prior decisions on its own motion. A “motion to reopen” is based on documentary evidence of new facts. Alternatively, a “motion to reconsider” is based on a claim of incorrect application of law or policy to the prior decision. 3. Certifications are when a USCIS officer wants someone else to weigh in before issuing a new interpretation of law. USCIS officers may ask the AAO to review an initial decision for a case that has an unusually complex or novel issue of law or fact. This administrative procedure is known as “certification.” Except for case types that fall under the BIA’s appellate jurisdiction, USCIS officers may certify any decision type to the AAO, including decisions that do not convey appeal rights. Management of Appeals, Motions, and Certifications USCIS AAO developed the AAO Case Management System (CMS) to track adjudicative work performed by the AAO using the Salesforce Government Cloud. The purpose of the Salesforce Government Cloud is to provide a secure means for data from different government systems to be aggregated and served to government employees on a platform that can overlay effective tracking mechanisms that legacy systems may lack. The AAO CMS is a person-centric case management system used to track appeals, motions, and certifications filed with or processed by USCIS AAO that are under the AAO’s jurisdiction. All incoming appeals, motions, and certifications are initially receipted, accepted, and entered into Computer Linked Application Information Management System 3 (CLAIMS 3) for processing. CLAIMS 3 is the official system for dates and actions on appeals, motions, and certifications and displays basic information about each application or petition. Though the official events are recorded in CLAIMS 3, the system does not support workflow and case management functionalities that AAO needs to effectively manage the workload, which is why AAO is leveraging Salesforce to build the AAO CMS. USCIS developed the AAO CMS to efficiently and effectively track receipts, assignments of work to officers, adjudications, and administrative actions. Because of the challenges involved in importing final decisions into CLAIMS 3, as well as other administrative challenges, the AAO continues to manually update CLAIMS 3 with the final decision. CLAIMS 3 serves as the authoritative system for official USCIS actions and is viewable across USCIS. Privacy Impact Assessment DHS/USCIS/PIA-062 AAO CMS Page 3 Appeal or Motion Initiation USCIS oversees lawful immigration to the United States by adjudicating immigration benefit requests. When USCIS denies an individual an immigration benefit, USCIS sends a letter to the petitioner or applicant that explains the reason(s) for the denial and, if applicable, how to file a motion or appeal. When the individual is notified of an unfavorable decision that may be appealed, the individual also receives information as to how to properly file a motion to reopen, a motion to reconsider, or an appeal. The individual may appeal the decision to the AAO when a USCIS field office issues an unfavorable decision for an application or petition that falls under the AAO’s jurisdiction. Applicants and petitioners for certain categories of immigration benefits may appeal an adverse decision on an immigrant petition or application to the AAO. Only the individual who submitted the petition or application may file an appeal or motion. This means the beneficiary of a visa petition lacks legal standing to file such an appeal. For example, a woman who would be the beneficiary of her husband’s visa petition on her behalf may not file an appeal if the petition is denied, only the husband who filed the original documentation may file the appeal. Most appeals must be filed on Form I-290B, Notice of Appeal or Motion,2 with a fee and within 30 days of the initial denial. The purpose of Form I-290B is to allow an individual to file an appeal or motion to reopen or reconsider certain decisions under the Immigration and Nationality Act (INA). An appeal must specifically identify any erroneous conclusion of law or statement of fact in the unfavorable decision on Form I-290B, in a written statement attached to Form I-290B, in a brief, or both. Individuals may, but are not required to, submit supplemental briefs or additional evidence. If the individual elects not to file a brief, the appeal must otherwise specifically identify any erroneous conclusion of law or fact. If the individual chooses to have legal representation, he or she must also file a Form G-28, Notice of Entry or Appearance as Attorney or Representative3 along with the appeal notice. Form I-290B collects information about the applicant or petitioner and information about the appeal/motion. Information collected about the petitioner/applicant includes: full name, A- Number, USCIS Online Account Number, receipt number, mailing address, daytime telephone number, mobile telephone number, email address, attorney or accredited representative name, and signature. Form I-290B also requests information regarding the basis of the appeal or motion request, USCIS form under appeal or motion, date of adverse decision, and the office that issued the adverse decision. Individuals or representatives mail forms, supporting documents, and the applicable fee payment or waiver to either a USCIS Service Center or USCIS Lockbox facility based on his or 2 See https://www.uscis.gov/sites/default/files/files/form/i-290b.pdf. 3 See https://www.uscis.gov/sites/default/files/files/form/g-28.pdf. Privacy Impact Assessment DHS/USCIS/PIA-062 AAO CMS Page 4 her region and the type of benefit request appealed.4 Individuals or representatives file the appeal form according to the specific instructions provided on Form I-290B or the denial notice. Incoming paper-based forms are received and reviewed by USCIS personnel at a Service Center or Lockbox facility. USCIS personnel review the benefit request form and supporting evidence for completeness. Every form must include complete information in all required blocks, be signed, and – unless the fee is waived – include the correct fee. The information from the Form I-290B is entered into CLAIMS 3 to establish the authoritative electronic record at USCIS regarding the case.5 Appeals: Initial Field Review Accepted appeals are sent from the USCIS Service Center or Lockbox facility to the appropriate USCIS field office for review. Initially, the USCIS field office that denied the immigration benefit request reviews the appeal and determines whether or not to take favorable action and grant the benefit request. A review of the record determines whether the evidence or argument submitted in the appeal warrants reopening or reconsidering the decision. During this initial field review, the field office may: • Treat the appeal as a motion to reopen or reconsider and approve the application or petition; or • Forward the appeal and the related record of proceeding to the AAO. Motions: Accepted motions on decisions made in the field are sent from the USCIS Service Center or Lockbox facility to the appropriate USCIS field office for review. A review of the record determines whether the evidence or argument submitted in the appeal warrants reopening or reconsidering the decision. The field office may: • Reopen and/or reconsider and approve the application or petition; or • Deny the motion to reopen and/or reconsider. If the field office or Service Center denies the Motion, applicants may then appeal the decision to the AAO. Accepted motions on decisions made by the AAO are sent from the USCIS Service Center or Lockbox facility to the AAO for review. A review of the record by the AAO determines whether the evidence or argument submitted in the appeal warrants reopening or reconsidering the decision. The AAO may: 4 See DHS/USCIS/PIA-061 Benefit Request Intake Process PIA, available at www.dhs.gov/privacy. 5 See DHS/USCIS/PIA-016(a) - Computer Linked Application Information Management System (CLAIMS 3) and Associated Systems, available at www.dhs.gov/privacy. Privacy Impact Assessment DHS/USCIS/PIA-062 AAO CMS Page 5 • Reopen or reconsider and sustain the previously dismissed appeal; • Reopen or reconsider and remand the underlying benefit to the field office that issued the adverse decision for it to issue a new decision; • Reject the motion to reopen or reconsider; or • Deny the motion to reopen or reconsider. The AAO manually creates an initial record using an A-Number or Receipt Number in the AAO CMS for all appeals, motions, and certifications that are referred by the originating USCIS office. Once a record is created, Person Centric Query Service (PCQS)6 retrieves and updates the customer biographic information from CLAIMS 3 when prompted by an AAO CMS user. The AAO CMS then assigns an appeal file number for each case. Each record includes limited biographic data on the appellant and derivatives; the originating USCIS office; the A-Number or receipt number; the date the application was received at USCIS; the date the application was received at the AAO; attorney or preparer information; the assigned officer, editor, and supervisor; and the AAO’s adjudication. Originating offices are also required to forward either the complete A-File or the complete receipt file to AAO. To request the A-File or Receipt File, AAO must log into the National File Tracking System (NFTS)7 to track the location of files. When the AAO requires the A-File or receipt file, the AAO officer logs into the Central Index System (CIS)8 and electronically requests the file. CIS has a direct interface with NFTS. To ensure that the AAO has all necessary evidence for the adjudication of the appeal, certification, or motion, officers may not remove documents from an A-File to create a separate Record of Proceedings (ROP).9 As a USCIS File Control Office (FCO), the AAO may receive and review the complete A-File, as necessary.10 AAO users may also request and receive file location updates through the AAO CMS. NFTS sends file status location to the AAO CMS. AAO personnel assigned to an appeal, motion, or certification reviews all case-related information provided by the individual, including supplementary evidence and reviews the A-File or receipt file to determine the benefit eligibility of the individual. If the evidence in the record does not establish eligibility for the requested immigration benefit, the AAO may: 6 See the DHS/USCIS/PIA-010 Person Centric Query Service (PCQS) PIA, available at www.dhs.gov/privacy. 7 See DHS/USCIS/PIA-032 National File Tracking System (NFTS), available at www.dhs.gov/privacy. 8 See the DHS/USCIS/PIA-009 Central Index System PIA, available at www.dhs.gov/privacy. 9 A ROP is the official history of any hearing, examination, legal proceeding, order to show cause, or adjudicative action in conjunction with any immigration action taken by DHS. The ROP serves as a comprehensive record of all the information considered when making a decision. The ROP may include: the initiating application, petition, or other initiating document, supporting documents, a transcript of the hearing or interview, USCIS decisions, notice of appeal, and documents in support of appeals or motions. 10 A FCO is an office that is authorized to manage A-Files and Receipt Files. These offices can create, store, transfer, receive, maintain, and retire A-Files. FCOs are the only offices permitted to transfer in and out files involving external offices. Privacy Impact Assessment DHS/USCIS/PIA-062 AAO CMS Page 6 • Dismiss the appeal; • Request more information or evidence from the individual; or • Notify the individual of its intent to dismiss the appeal. Requests for evidence (RFE)11 and notices of intent to dismiss or deny (NOID)12 specify the type of evidence required or the bases for the proposed dismissal. The RFE or NOID states the deadline for responding: up to a maximum of twelve weeks from the issuance of an RFE or thirty days for a NOID. All correspondence sent to the appellant is tracked in the AAO CMS. After all the above steps have been taken, AAO personnel make a determination on the appeal. Case decision actions are tracked and recorded in CLAIMS 3. During the decision-making process, the following may occur: • If an appellant establishes eligibility for the requested immigration benefit, the AAO may sustain the appeal and order the approval of the application or petition; • If an appellant fails to establish eligibility for the requested immigration benefit, the AAO may dismiss the appeal; • If the appellant has overcome the grounds of the unfavorable decision on appeal, the AAO may remand a decision to the office that made the unfavorable decision to take further action and to enter a new decision; • If the appellant improperly filed the appeal, the AAO may reject it.13 AAO staff may also allow the appellant to withdraw his or her appeal. The AAO creates the appeal decision and sends the notice to the appellant and any representative of record by mail. The appeal decision is effective and final on the date that the AAO issues it, unless and until the AAO reopens or reconsiders the decision on motion or a federal court modifies or overrules it. The filing of a subsequent motion to reopen or reconsider the AAO’s decision does not affect the finality of the decision. USCIS consolidates notices sent to the applicant and his or her representative into the A-File or receipt file. Final decisions are also recorded in the AAO CMS and CLAIMS 3, the primary USCIS data system. 11 USCIS uses an RFE when an application lacks required documentation or the AAO officer needs additional evidence to determine an appellant’s eligibility for the benefit sought. The request will indicate what evidence or information is needed for USCIS to fully evaluate the appeal under review. 12 A NOID is a formal statement from USCIS that it has determined that the appellant is ineligible for the immigrant benefit requested. The issuance of a NOID is required when derogatory information is uncovered during the course of the adjudication that is not known to the individual. However, USCIS will grant the appellant an opportunity to overcome this determination and demonstrate that he or she is eligible. 13 Examples of improperly filed appeals may include, but are not limited to: untimely filed, missing or incorrect filing fee, case types that do not fall under the AAO’s jurisdiction, and a Form I-290B is not signed. Privacy Impact Assessment DHS/USCIS/PIA-062 AAO CMS Page 7 Post-Decision Reporting AAO uses the information contained in the AAO CMS to generate a number of statistical reports to measure and evaluate workload for proper resource allocation. USCIS generates reports to identify pending cases, to measure productivity trends, and to calculate average processing times. USCIS also generates granular level reports to identify types, number, and status of cases located in a particular office or assigned to a particular USCIS staff member, which allows supervisors to identify the oldest cases in queue for processing. 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? 8 CFR §§ 103.3 and 103.5 authorize USCIS to collect the information and the associated evidence on each benefit application.14 The AAO uses the information the applicant provides on the Form I-290B to adjudicate appeals or motions on decisions under immigration laws. 1.2 What Privacy Act System of Records Notice(s) (SORN(s)) apply to the information? The following Privacy Act System of Records Notices apply to the collection, use, maintenance, and dissemination of information: • Benefits Information System,15 which covers the collection and use of appeal and motion applications, decisional data, and associated fees; and • Alien File, Index, and National File Tracking System of Records,16 which covers the collection, use, maintenance of appeals, motions, certifications, and supplemental evidence. 14 The AAO’s appellate authority was afforded by the Secretary of DHS in 2003. The Delegation Memo (0150.1, 3/1/2003) references 8 CFR 103.1(f)(3)(E)(iii), which is no longer in effect (but does lend itself to understanding the AAO’s authority). The Delegation Memo gives AAO appellate authority, not the INA or anything specific in Title 8 of the Code of Federal Regulations. Authority to collect is as stated both here in this PIA and the Privacy Act Statement on the I-290B form instructions. 15 DHS/USCIS-007 Benefits Information System, 73 FR 56596 (Sept. 29, 2008). 16 DHS/USCIS/ICE/CBP-001 Alien File, Index, and National File Tracking System of Records, 78 FR 69864 (Nov. 21, 2013). Privacy Impact Assessment DHS/USCIS/PIA-062 AAO CMS Page 8 1.3 Has a system security plan been completed for the information system(s) supporting the project? Yes. The AAO CMS is covered as a minor application under the Salesforce Hosting Environment.17 USCIS completed the Salesforce Hosting Environment security assessment and authorization documentation on April 29, 2016, and was subsequently enrolled in the USCIS Ongoing Authorization Program. 1.4 Does a records retention schedule approved by the National Archives and Records Administration (NARA) exist? No. USCIS is working with NARA to develop a records retention schedule to cover the appeals and decision records. AAO proposes to delete and destroy the information 25 years from the last completed action. 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. Yes. Form I-290B is subject to OMB Control Number 1615-0095. Section 2.0 Characterization of the Information The following questions are intended to define the scope of the information requested and/or collected, as well as reasons for its collection. 2.1 Identify the information the project collects, uses, disseminates, or maintains. The AAO CMS contains data from the Form I-290B, Notice of Appeal or Motion, as maintained in CLAIMS 3. The following data elements will be manually entered into the system as an extract from CLAIMS 3: • Appeal, Motion, or Certification; • Date received by USCIS; 17 The AAO will build its CMS using the SalesForce Government Cloud. The purpose of the SalesForce Government Cloud is to provide a trusted and secure service to the U.S. Government to quickly and securely deliver applications to meet customers’ business needs. Customers are able to build their own custom applications on the SalesForce platform. SalesForce has a FedRAMP Agency ATO with the Department of Health and Human Services. USCIS applications built on the Salesforce platform will need a separate ATO. Privacy Impact Assessment DHS/USCIS/PIA-062 AAO CMS Page 9 • Date received by the AAO; • Originating Office; • Assigned Officer; • Reopen date (in case of AAO reopen or service motion); • Appeal file number; • Underlying petition receipt number; • A-Number (when applicable); • Appellant name; • Appellant country of birth; • Appellant citizenship; • Appellant country of origin; • Form type; • Form appealed; • Business name (when applicable); • Attorney name; • Preparer name; and • Appellant address. The following data elements will be entered into the CMS by users at the AAO: • A-File or Receipt File Location; • Case status (i.e., pending, on hold adjudication complete, decision issued); • Decision; • Date adjudicated; • Case history (i.e., in triage, on file shelf, assigned to officer); • Comments, may include an explanation of the decision; • Correspondence tracking; and • Appellant “Clocks” (i.e., time from receipt of appeal at USCIS until adjudication; time from receipt at the AAO until adjudication; time from when appeal is first able