81 FR 60713 - Privacy Act of 1974; Department of Homeland Security, U.S. Customs and Border Protection-009 Electronic System for Travel Authorization System of Records

DEPARTMENT OF HOMELAND SECURITY
Office of the Secretary

Federal Register Volume 81, Issue 171 (September 2, 2016)

Page Range		60713-60718
FR Document		2016-21210
In accordance with the Privacy Act of 1974, the Department of Homeland Security (DHS) proposes to update and reissue the DHS system of records titled, ``DHS/U.S. Customs and Border Protection (CBP)-009 Electronic System for Travel Authorization (ESTA) System of Records.'' This system of records allows DHS/CBP to collect and maintain records on nonimmigrant aliens seeking to travel to the United States under the Visa Waiver Program and other persons, including U.S. citizens and lawful permanent residents, whose names are provided to DHS as part of a nonimmigrant alien's ESTA application or Form I-94W. The system is used to determine whether an applicant is eligible to travel to and enter the United States under the Visa Waiver Program (VWP) by vetting his or her ESTA application information or Form I-94W information against selected security and law enforcement databases at DHS, including TECS (not an acronym) and the Automated Targeting System (ATS). In addition, ATS retains a copy of ESTA application and Form I- 94W data to identify individuals from Visa Waiver Program countries who may pose a security risk to the United States. The ATS maintains copies of key elements of certain databases in order to minimize the impact of processing searches on the operational systems and to act as a backup for certain operational systems. DHS may also vet ESTA application information against security and law enforcement databases at other federal agencies to enhance DHS's ability to determine whether the applicant poses a security risk to the United States and is eligible to travel to and enter the United States under the VWP. The results of this vetting may inform DHS's assessment of whether the applicant's travel poses a law enforcement or security risk and whether the application should be approved. DHS/CBP is updating this system of records notice, last published on June 17, 2016, to clarify the category of individuals, expand a routine use, and expand the record source categories to include information collected from publicly available sources, such as social media.
Federal Register, Volume 81 Issue 171 (Friday, September 2, 2016)
[Federal Register Volume 81, Number 171 (Friday, September 2, 2016)]
[Notices]
[Pages 60713-60718]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-21210]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2016-0054]


Privacy Act of 1974; Department of Homeland Security, U.S. 
Customs and Border Protection--009 Electronic System for Travel 
Authorization System of Records

AGENCY: Privacy Office, Department of Homeland Security.

ACTION: Notice of Privacy Act System of Records.

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SUMMARY: In accordance with the Privacy Act of 1974, the Department of 
Homeland Security (DHS) proposes to update and reissue the DHS system 
of records titled, ``DHS/U.S. Customs and Border Protection (CBP)-009 
Electronic System for Travel Authorization (ESTA) System of Records.'' 
This system of records allows DHS/CBP to collect and maintain records 
on nonimmigrant aliens seeking to travel to the United States under the 
Visa Waiver Program and other persons, including U.S. citizens and 
lawful permanent residents, whose names are provided to DHS as part of 
a nonimmigrant alien's ESTA application or Form I-94W. The system is 
used to determine whether an applicant is eligible to travel to and 
enter the United States under the Visa Waiver Program (VWP) by vetting 
his or her ESTA application information or Form I-94W information 
against selected security and law enforcement databases at DHS, 
including TECS (not an acronym) and the Automated Targeting System 
(ATS). In addition, ATS retains a copy of ESTA application and Form I-
94W data to identify individuals from Visa Waiver Program countries who 
may pose a security risk to the United States. The ATS maintains copies 
of key elements of certain databases in order to minimize the impact of 
processing searches on the operational systems and to act as a backup 
for certain operational systems. DHS may also vet ESTA application 
information against security and law enforcement databases at other 
federal agencies to enhance DHS's ability to determine whether the 
applicant poses a security risk to the United States and is eligible to 
travel to and enter the United States under the VWP. The results of 
this vetting may inform DHS's assessment of whether the applicant's 
travel poses a law enforcement or security risk and whether the 
application should be approved.
    DHS/CBP is updating this system of records notice, last published 
on June 17, 2016, to clarify the category of individuals, expand a 
routine use, and expand the record source categories to include 
information collected from publicly available sources, such as social 
media.

DATES: Submit comments on or before October 3, 2016. This updated 
system will be effective October 3, 2016.

ADDRESSES: You may submit comments, identified by docket number DHS-
2016-0054 by one of the following methods:
     Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Fax: 202-343-4010.
     Mail: Jonathan Cantor, Acting Chief Privacy Officer, 
Privacy Office, Department of Homeland Security, Washington, DC 20528-
0655.
    Instructions: All submissions received must include the agency name 
and docket number for this rulemaking. All comments received will be 
posted without change to http://www.regulations.gov, including any 
personal information provided.
    Docket: For access to the docket to read background documents or 
comments received, please visit http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: For general questions, please contact: 
Debra L. Danisek, (202) 344-1610, Acting CBP Privacy Officer, Privacy 
and Diversity Office, 1300 Pennsylvania Ave. NW., Washington, DC 20229. 
For privacy questions, please contact: Jonathan R. Cantor, (202) 343-
1717, Acting Chief Privacy Officer, Privacy Office, Department of 
Homeland Security, Washington, DC 20528-0655.

SUPPLEMENTARY INFORMATION: 

[[Page 60714]]

I. Background

    In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, the 
Department of Homeland Security (DHS), U.S. Customs and Border 
Protection (CBP) is updating and reissuing a current DHS system of 
records titled, ``DHS/CBP-009 Electronic System for Travel 
Authorization (ESTA) System of Records.''
    In the wake of September 11, 2001, Congress enacted the 
Implementing Recommendations of the 9/11 Commission Act of 2007, Public 
Law 110-53. Section 711 of that Act sought to address the security 
vulnerabilities associated with Visa Waiver Program (VWP) travelers not 
being subject to the same degree of screening as other international 
visitors. As a result, section 711 required DHS to develop and 
implement a fully automated electronic travel authorization system to 
collect biographical and other information necessary to evaluate the 
security risks and eligibility of an applicant to travel to the United 
States under the VWP. The VWP is a travel facilitation program that has 
evolved to include more robust security standards that are designed to 
prevent terrorists and other criminal actors from exploiting the 
program to enter the country.
    Electronic System for Travel Authorization is a web-based system 
that DHS/CBP developed in 2008 to determine the eligibility of foreign 
nationals to travel by air or sea to the United States under the VWP. 
Using the ESTA Web site, applicants submit biographic information and 
answer questions that permit DHS to determine eligibility for travel 
under the VWP. DHS/CBP uses the information submitted to ESTA to make a 
determination regarding whether the applicant is eligible to travel 
under the VWP, including whether his or her intended travel poses a law 
enforcement or security risk. If eligible individuals from VWP 
countries attempt to enter the United States without an ESTA, they must 
file a Form I-94W at the time of entry. DHS/CBP vets the ESTA applicant 
information and Form I-94W information against selected security and 
law enforcement databases, including TECS (DHS/CBP-011 U.S. Customs and 
Border Protection TECS, 73 FR 77778 (December 19, 2008)) and ATS (DHS/
CBP-006 Automated Targeting System, 77 FR 30297 (May 22, 2012)).
    The ATS also retains a copy of the ESTA application and Form I-94W 
data to identify individuals who may pose a security risk to the United 
States. The ATS maintains copies of key elements of certain databases 
in order to minimize the impact of processing searches on the 
operational systems and to act as a backup for certain operational 
systems. DHS may also vet ESTA and Form I-94W application information 
against security and law enforcement databases at other federal 
agencies to enhance DHS's ability to determine whether the applicant 
poses a security risk to the United States or is otherwise eligible to 
travel to and enter the United States under the VWP. The results of 
this vetting may inform DHS's assessment of whether the applicant's 
travel poses a law enforcement or security risk. The ESTA eligibility 
determination is made prior to a visitor boarding a carrier en route to 
the United States.
    Due to the ongoing national security concerns surrounding foreign 
fighters exploiting the VWP, DHS/CBP is updating this system of records 
notice, last published on June 17, 2016 (81 FR 39680), to give notice 
of a clarification to the category of individuals to include 
individuals who are eligible for an ESTA but instead submit a Form I-
94W (likely during a land border crossing) and an expanded category of 
records to include responses to a voluntary question requesting ESTA 
applicants provide their social media identifiers (such as username), 
to assist DHS/CBP in determining eligibility to travel under the VWP. 
DHS/CBP is also modifying the overall description of when information 
may be shared as a routine use pursuant to 5 U.S.C. 552a(b)(3), and 
expanding Routine Use G to include additional DHS/CBP requirements for 
information sharing. Lastly, DHS/CBP is also expanding the record 
source categories to include information collected from publicly 
available sources, such as social media.
    On June 23, 2016 DHS/CBP published in the Federal Register a notice 
of a proposed revision to ESTA and the I-94W under the Paperwork 
Reduction Act to add an optional data field to request social media 
identifiers (see 81 FR 40892). The 60-day public comment period on the 
proposed revision to ESTA and the I-94W closed on August 22, 2016. 
Individuals who submitted comments during the 60-day public comment 
period can find DHS/CBP response on www.reginfo.gov (Reference OMB 
Control Number 1651-0111). On August 31, 2016, DHS will publish a 
notice in the Federal Register that will give the public an additional 
30 days to submit comments on the proposed revision to the ESTA and I-
94W.
    DHS is publishing this revised system of records notice to include, 
among other things, the social media identifiers included in the 
proposed revision to ESTA and the I-94W. While this SORN will allow DHS 
to maintain the information described herein, DHS will not be able to 
collect social media identifiers using ESTA and I-94W until OMB 
approves the DHS/CBP's Information Collection Request under the 
Paperwork Reduction Act (OMB Control Number 1651-0111).
    Adding social media data will enhance the existing process, and 
provide DHS/CBP greater clarity and visibility to possible nefarious 
activity and connections by providing an additional tool set which DHS/
CBP may use to make better informed eligibility determinations. DHS/
CBP's collection of a subject's social media identifiers adds another 
layer of information to the analysis for eligibility determination by 
providing potential further leads to terrorism or criminal activity.
    DHS/CBP is modifying the overall description of when information 
may be shared as a routine use pursuant to 5 U.S.C. 552a(b)(3), to 
clarify that information covered by this system of records notice may 
be shared either in bulk, or on a case-by-case basis. DHS/CBP is 
expanding Routine Use G to clarify that DHS may share information when 
it determines that the information would assist in the enforcement of 
civil or criminal matters, and not only when the record itself facially 
indicates a violation or potential violation of law. DHS/CBP is 
frequently called upon to share information in connection with specific 
cases, DHS/CBP also shares data (including in bulk) that may be used by 
another agency to vet against the other agency's databases to identify 
violations proactively. The updated Routine Use G also clarifies that 
DHS/CBP is able to share information, consistent with its many 
international arrangements, relating to the enforcement of licenses or 
treaties.
    Consistent with DHS's information sharing mission, information 
stored in the ``DHS/CBP-009 Electronic System for Travel Authorization 
System of Records'' may be shared with other DHS Components that have a 
need to know the information to carry out their national security, law 
enforcement, immigration, intelligence, or other homeland security 
functions. In addition, DHS/CBP may share information stored in ESTA in 
bulk as well as on a case-by-case basis with appropriate federal, 
state, local, tribal, territorial, foreign, or international government 
agencies consistent with the routine uses set forth in this system of 
records notice. DHS/CBP documents ongoing, systematic sharing with

[[Page 60715]]

partners, including documenting the need to know, authorized users and 
uses, and the privacy protections that will be applied to the data.
    DHS/CBP previously issued a Final Rule to exempt this system of 
records from certain provisions of the Privacy Act on August 31, 2009 
(74 FR 45069). These regulations remain in effect. This updated system 
will be included in DHS's inventory of record systems.

II. Privacy Act

    The Privacy Act embodies fair information practice principles in a 
statutory framework governing the means by which Federal Government 
agencies collect, maintain, use, and disseminate individuals' records. 
The Privacy Act applies to information that is maintained in a ``system 
of records.'' A ``system of records'' is a group of any records under 
the control of an agency from which information is retrieved by the 
name of an individual or by some identifying number, symbol, or other 
identifying particular assigned to the individual. In the Privacy Act, 
an individual is defined to encompass U.S. citizens and lawful 
permanent residents. As a matter of policy, DHS extends administrative 
Privacy Act protections to all individuals when systems of records 
maintain information on U.S. citizens, lawful permanent residents, and 
visitors.
    Given the importance of providing privacy protections to 
international travelers, and because the ESTA application has generally 
solicited contact information about U.S. persons, DHS always 
administratively applied the privacy protections and safeguards of the 
Privacy Act to all international travelers subject to ESTA. The ESTA 
falls within the mixed system policy and DHS will continue to extend 
the administrative protections of the Privacy Act to information about 
travelers and non-travelers whose information is provided to DHS as 
part of the ESTA application.
    Below is the description of the DHS/U.S. Customs and Border 
Protection-009 Electronic System for Travel Authorization System of 
Records System of Records.
    In accordance with 5 U.S.C. 552a(r), DHS has provided a report of 
this system of records to the Office of Management and Budget and to 
Congress.
SYSTEM OF RECORDS:
    Department of Homeland Security (DHS)/U.S. Customs and Border 
Protection (CBP)-009.

System name:
    DHS/CBP-009 Electronic System for Travel Authorization System 
(ESTA).

Security classification:
    Unclassified. The data may be retained on classified networks but 
this does not change the nature and character of the data until it is 
combined with classified information.

System location:
    DHS/CBP maintains records at the CBP Headquarters in Washington, DC 
and field offices. Records are replicated from the operational system 
and maintained on the DHS unclassified and classified networks.

Categories of individuals covered by the system:
    Categories of individuals covered by this system include:
    1. Persons who seek to enter the United States under the VWP; and,
    2. Persons, including U.S. Citizens and lawful permanent residents, 
whose information is provided in response to ESTA application or Form 
I-94W questions.

Categories of records in the system:
    Visa Waiver Program travelers may seek the required travel 
authorization by electronically submitting an application consisting of 
biographical and other data elements via the ESTA Web site. The 
categories of records in ESTA include:
     Full name (first, middle, and last);
     Other names or aliases, if available;
     Date of birth;
     City of birth;
     Country of birth;
     Gender;
     Email address;
     Social media identifiers, such as username(s) and 
platforms used;
     Publicly available information from social media Web sites 
or platforms;
     Telephone number (home, mobile, work, other);
     Home address (address, apartment number, city, state/
region);
     Internet protocol (IP) address;
     ESTA application number;
     Global Entry Program Number;
     Country of residence;
     Passport number;
     Passport issuing country;
     Passport issuance date;
     Passport expiration date;
     Department of Treasury Pay.gov payment tracking number 
(i.e., confirmation of payment; absence of payment confirmation will 
result in a ``not cleared'' determination);
     Country of citizenship;
     Other citizenship (country, passport number);
     National identification number, if available;
     Address while visiting the United States (number, street, 
city, state);
     Emergency point of contact information (name, telephone 
number, email address);
     U.S. Point of Contact (name, address, telephone number);
     Parents' names;
     Current job title;
     Current or previous employer name;
     Current or previous employer street address; and
     Current or previous employer telephone number.
    The categories of records in ESTA also include responses to the 
following questions:
     Do you have a physical or mental disorder, or are you a 
drug abuser or addict,\1\ or do you currently have any of the following 
diseases (communicable diseases are specified pursuant to sec. 361(b) 
of the Public Health Service Act):
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    \1\ Immigration and Nationality Act (INA) 212(a)(1)(A). Pursuant 
to INA 212(a), aliens may be inadmissible to the United States if 
they have a physical or mental disorder and behavior associated with 
the disorder that may pose, or has posed, a threat to the property, 
safety, or welfare of the alien or others, or (ii) to have had a 
physical or mental disorder and a history of behavior associated 
with the disorder, which behavior has posed a threat to the 
property, safety, or welfare of the alien or others and which 
behavior is likely to recur or to lead to other harmful behavior, or 
are determined (in accordance with regulations prescribed by the 
Secretary of Health and Human Services) to be a drug abuser or 
addict.
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     Cholera
     Diphtheria
     Tuberculosis, infection
     Plague
     Smallpox
     Yellow Fever
     Viral Hemorrhagic Fevers, including Ebola, Lassa, Marburg, 
Crimean-Congo
     Severe acute respiratory illnesses capable of transmission 
to other persons and likely to cause mortality.
     Have you ever been arrested or convicted for a crime that 
resulted in serious damage to property, or serious harm to another 
person or government authority?
     Have you ever violated any law related to possessing, 
using, or distributing illegal drugs?
     Do you seek to engage in or have you ever engaged in 
terrorist activities, espionage, sabotage, or genocide?
     Have you ever committed fraud or misrepresented yourself 
or others to obtain, or assist others to obtain, a visa or entry into 
the United States?
     Are you currently seeking employment in the United States 
or were you previously employed in the United States without prior 
permission from the U.S. Government?

[[Page 60716]]

     Have you ever been denied a U.S. visa you applied for with 
your current or previous passport, or have you ever been refused 
admission to the United States or withdrawn your application for 
admission at a U.S. port of entry? If yes, when and where?
     Have you ever stayed in the United States longer than the 
admission period granted to you by the U.S. Government?
     Have you traveled to, or been present in, Iraq, Syria, 
Iran, Sudan, Somalia, Libya, or Yemen on or after March 1, 2011? If 
yes, provide the country, date(s) of travel, and reason for travel. 
Depending on the purpose of travel to these countries, additional 
responses may be required including:
     Previous countries of travel;
     Dates of previous travel;
     Countries of previous citizenship;
     Other current or previous passports;
     Visa numbers;
     Laissez-Passer numbers;
     Identity card numbers;
     Organization, company, or entity on behalf of which you 
traveled;
     Official position/title with the organization, company, or 
entity behalf of which you traveled;
     Contact information for organization, company, or entity 
on behalf of which you traveled;
     Iraqi, Syrian, Iranian, Sudanese, Somali, Libyan, or 
Yemeni Visa Number;
     I-Visa, G-Visa, or A-Visa number, if issued by a U.S. 
Embassy or Consulate;
     All organizations, companies, or entities with which you 
had business dealings, or humanitarian contact;
     Grant number, if applicant's organization has received 
U.S. Government funding for humanitarian assistance within the last 
five years;
     Additional passport information (if issued a passport or 
national identity card for travel by any other country), including 
country, expiration year, and passport or identification card number;
     Any other information provided voluntarily in open, write-
in fields provided to the ESTA applicant.
     Have you ever been a citizen or national of any other 
country? If yes, other countries of previous citizenship or 
nationality? If Iraq, Syria, Iran, Sudan, Somalia, Libya, or Yemen are 
selected, follow-up questions are asked regarding status of current 
citizenship including dual-citizenship information, and how citizenship 
was acquired.
    Applicants who identify Iraq, Syria, Iran, Sudan, Somalia, Libya, 
or Yemen as their Country of Birth on ESTA will be directed to follow-
up questions to determine whether they currently are a national or dual 
national of their country of birth.

Authority for maintenance of the system:
    Title IV of the Homeland Security Act of 2002, 6 U.S.C. 201 et 
seq., the Immigration and Naturalization Act, as amended, including 8 
U.S.C. 1187(a)(11) and (h)(3), and implementing regulations contained 
in part 217, title 8, Code of Federal Regulations; the Travel Promotion 
Act of 2009, Public Law 111-145, 22 U.S.C. 2131.

Purpose(s):
    The purpose of this system is to collect and maintain a record of 
persons who want to travel to the United States under the VWP, and to 
determine whether applicants are eligible to travel to and enter the 
United States under the VWP. The information provided through ESTA is 
also vetted--along with other information that the Secretary of 
Homeland Security determines is necessary, including information about 
other persons included on the ESTA application--against various 
security and law enforcement databases to identify those applicants who 
pose a security risk to the United States. This vetting includes 
consideration of the applicant's IP address, social media information, 
and all information provided in response to the ESTA application 
questionnaire, including all free text write-in responses.
    The Department of Treasury Pay.gov tracking number (associated with 
the payment information provided to Pay.gov and stored in the Credit/
Debit Card Data System, DHS/CBP-003 Credit/Debit Card Data System 
(CDCDS) 76 FR 67755 (November 2, 2011)) will be used to process ESTA 
and third party administrator fees and to reconcile issues regarding 
payment between ESTA, CDCDS, and Pay.gov. Payment information will not 
be used for vetting purposes and is stored in a separate system (CDCDS) 
from the ESTA application data.
    DHS maintains a replica of some or all of the data in ESTA on the 
unclassified and classified DHS networks to allow for analysis and 
vetting consistent with the above stated uses and purposes and this 
published notice.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, all or a portion of the records or 
information contained in this system may be disclosed outside DHS as a 
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
    A. To the Department of Justice (DOJ), including Offices of the 
United States 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 one of the 
following is a party to the litigation or has an interest in such 
litigation:
    1. DHS or any Component thereof;
    2. Any employee or former employee of DHS in his/her official 
capacity;
    3. Any employee or former employee of DHS in his/her individual 
capacity when DOJ or DHS has agreed to represent the employee; or
    4. The United States or any agency thereof.
    B. To a congressional office from the record of an individual in 
response to an inquiry from that congressional office made at the 
request of the individual to whom the record pertains.
    C. To the National Archives and Records Administration (NARA) or 
General Services Administration pursuant to records management 
inspections being conducted under the authority of 44 U.S.C. 2904 and 
2906.
    D. To an agency or organization for the purpose of performing audit 
or oversight operations as authorized by law, but only such information 
as is necessary and relevant to such audit or oversight function.
    E. To appropriate agencies, entities, and persons when:
    1. DHS suspects or has confirmed that the security or 
confidentiality of information in the system of records has been 
compromised;
    2. DHS has determined that as a result of the suspected or 
confirmed compromise, there is a risk of identity theft or fraud, harm 
to economic or property interests, harm to an individual, or harm to 
the security or integrity of this system or other systems or programs 
(whether maintained by DHS or another agency or entity) that rely upon 
the compromised information; and
    3. The disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with DHS's efforts to 
respond to the suspected or confirmed compromise and prevent, minimize, 
or remedy such harm.
    F. To contractors and their agents, grantees, experts, consultants, 
and others performing or working on a contract, service, grant, 
cooperative agreement, or other assignment for DHS, when necessary to 
accomplish an agency function related to this system of records. 
Individuals provided information under this routine use are subject to 
the same Privacy Act

[[Page 60717]]

requirements and limitations on disclosure as are applicable to DHS 
officers and employees.
    G. To an appropriate federal, state, tribal, local, international, 
or foreign law enforcement agency or other appropriate authority 
charged with investigating or prosecuting a violation or enforcing or 
implementing a law, rule, regulation, or order, when a record, either 
on its face or in conjunction with other information, indicates a 
violation or potential violation of law, which includes criminal, 
civil, or regulatory violations and such disclosure is proper and 
consistent with the official duties of the person making the 
disclosure.
    H. To appropriate federal, state, local, tribal, or foreign 
governmental agencies or multilateral governmental organizations for 
the purpose of protecting the vital health interests of a data subject 
or other persons (e.g., to assist such agencies or organizations in 
preventing exposure to or transmission of a communicable or 
quarantinable disease or to combat other significant public health 
threats; appropriate notice will be provided of any identified health 
threat or risk).
    I. To third parties during the course of a law enforcement 
investigation to the extent necessary to obtain information pertinent 
to the investigation, provided disclosure is appropriate in the proper 
performance of the official duties of the officer making the 
disclosure.
    J. To a federal, state, tribal, local, international, or foreign 
government agency or entity for the purpose of consulting with that 
agency or entity: (1) To assist in making a determination regarding 
redress for an individual in connection or program; (2) for the purpose 
of verifying the identity of an individual seeking redress in 
connection with the operations of a DHS Component or program; or (3) 
for the purpose of verifying the accuracy of information submitted by 
an individual who has requested such redress on behalf of another 
individual.
    K. To federal and foreign government intelligence or 
counterterrorism agencies or components when DHS becomes aware of an 
indication of a threat or potential threat to national or international 
security to assist in countering such threat, or to assist in anti-
terrorism efforts.
    L. To the Department of State in the processing of petitions or 
applications for benefits under the Immigration and Nationality Act, 
and all other immigration and nationality laws including treaties and 
reciprocal agreements.
    M. To an organization or individual in either the public or private 
sector, either foreign or domestic, when there is a reason to believe 
that the recipient is or could become the target of a particular 
terrorist activity or conspiracy, to the extent the information is 
relevant to the protection of life or property.
    N. To the carrier transporting an individual to the United States, 
prior to travel, in response to a request from the carrier, to verify 
an individual's travel authorization status.
    O. To the Department of Treasury's Pay.gov, for payment processing 
and payment reconciliation purposes.
    P. To a court, magistrate, or administrative tribunal in the course 
of presenting evidence, including disclosures to opposing counsel or 
witnesses in the course of civil discovery, litigation, or settlement 
negotiations, in response to a subpoena, or in connection with criminal 
law proceedings.
    Q. To the news media and the public, with the approval of the Chief 
Privacy Officer in consultation with counsel, when there exists a 
legitimate public interest in the disclosure of the information, when 
disclosure is necessary to preserve confidence in the integrity of DHS, 
or when disclosure is necessary to demonstrate the accountability of 
DHS's officers, employees, or individuals covered by the system, except 
to the extent the Chief Privacy Officer determines that release of the 
specific information in the context of a particular case would 
constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    DHS/CBP stores records in this system electronically or on paper in 
secure facilities in a locked drawer behind a locked door. The records 
may be stored on magnetic disc, tape, and digital media.

Retrievability:
    DHS/CBP may retrieve records by any of the data elements supplied 
by the applicant.

Safeguards:
    DHS/CBP safeguards records in this system according to applicable 
rules and policies, including all applicable DHS automated systems 
security and access policies. DHS/CBP has imposed strict controls to 
minimize the risk of compromising the information that is being stored. 
Access to the computer system containing the records in this system is 
limited to those individuals who have a need to know the information 
for the performance of their official duties and who have appropriate 
clearances or permissions.

Retention and disposal:
    Application information submitted to ESTA generally expires and is 
deemed ``inactive'' two years after the initial submission of 
information by the applicant. In the event that a traveler's passport 
remains valid for less than two years from the date of the ESTA 
approval, the ESTA travel authorization will expire concurrently with 
the passport. Information in ESTA will be retained for one year after 
the ESTA travel authorization expires. After this period, the inactive 
account information will be purged from online access and archived for 
12 years. Data linked at any time during the 15-year retention period 
(Generally 3 years active, 12 years archived), to active law 
enforcement lookout records, will be matched by DHS/CBP to enforcement 
activities, and/or investigations or cases, including ESTA applications 
that are denied authorization to travel, will remain accessible for the 
life of the law enforcement activities to which they may become 
related. NARA guidelines for retention and archiving of data will apply 
to ESTA and DHS/CBP continues to negotiate with NARA for approval of 
the ESTA data retention and archiving plan. Records replicated on the 
unclassified and classified networks will follow the same retention 
schedule. Payment information is not stored in ESTA, but is forwarded 
to Pay.gov and stored in DHS/CBP's financial processing system, CDCDS, 
pursuant to the DHS/CBP-018, CDCDS system of records notice. When a VWP 
traveler's ESTA data is used for purposes of processing his or her 
application for admission to the United States, the ESTA data will be 
used to create a corresponding admission record in the DHS/CBP-016 Non-
Immigrant Information System (NIIS). This corresponding admission 
record will be retained in accordance with the NIIS retention schedule, 
which is 75 years.

System Manager and address:
    Director, Office of Automated Systems, U.S. Customs and Border 
Protection, 1300 Pennsylvania Avenue NW., Washington, DC 20229.

[[Page 60718]]

Notification procedure:
    Applicants may access their ESTA information to view and amend 
their applications by providing their ESTA number, birth date, and 
passport number. Once they have provided their ESTA number, birth date, 
and passport number, applicants may view their ESTA status (authorized 
to travel, not authorized to travel, pending) and submit limited 
updates to their travel itinerary information. If an applicant does not 
know his or her application number, he or she can provide his or her 
name, passport number, date of birth, and passport issuing country to 
retrieve his or her application number.
    In addition, ESTA applicants and other individuals whose 
information is included on ESTA applications may submit requests and 
receive information maintained in this system as it relates to data 
submitted by or on behalf of a person who travels to the United States 
and crosses the border, as well as, for ESTA applicants, the resulting 
determination (authorized to travel, pending, or not authorized to 
travel). However, the Secretary of Homeland Security has exempted 
portions of this system from certain provisions of the Privacy Act 
related to providing the accounting of disclosures to individuals 
because it is a law enforcement system. DHS/CBP will, however, consider 
individual requests to determine whether or not information may be 
released. In processing requests for access to information in this 
system, DHS/CBP will review the records in the operational system and 
coordinate with DHS to ensure that records that were replicated on the 
unclassified and classified networks, are reviewed and based on this 
notice provide appropriate access to the information.
    Individuals seeking notification of and access to any record 
contained in this system of records, or seeking to contest its content, 
may submit a request in writing to the Chief Privacy Officer and 
Headquarters Freedom of Information Act (FOIA) Officer, whose contact 
information can be found at http://www.dhs.gov/foia under ``FOIA 
Contact Information.'' If an individual believes more than one 
component maintains Privacy Act records concerning him or her, the 
individual may submit the request to the Chief Privacy Officer and 
Chief Freedom of Information Act Officer, Department of Homeland 
Security, 245 Murray Drive SW., Building 410, STOP-0655, Washington, DC 
20528.
    When seeking records about yourself from this system of records or 
any other Departmental system of records, your request must conform 
with the Privacy Act regulations set forth in 6 CFR part 5. You must 
first verify your identity, meaning that you must provide your full 
name, current address, and date and place of birth. You must sign your 
request, and your signature must either be notarized or submitted under 
28 U.S.C. 1746, a law that permits statements to be made under penalty 
of perjury as a substitute for notarization. While no specific form is 
required, you may obtain forms for this purpose from the Chief Privacy 
Officer and Chief FOIA Officer, http://www.dhs.gov/foia or 1-866-431-
0486. In addition, individuals should:
     Explain why you believe the Department would have 
information on you;
     Identify which component(s) of the Department you believe 
may have the information about you;
     Specify when you believe the records would have been 
created; and
     Provide any other information that will help the FOIA 
staff determine which DHS component agency may have responsive records.
    If your request is seeking records pertaining to another living 
individual, you must include a statement from that individual 
certifying his or her agreement for you to access his or her records.
    Without the above information, the component(s) may not be able to 
conduct an effective search, and your request may be denied due to lack 
of specificity or lack of compliance with applicable regulations.

Record access procedures:
    See ``Notification procedure'' above.

Contesting record procedures:
    See ``Notification procedure'' above.

Record source categories:
    DHS/CBP obtains records from information submitted by travelers via 
the online ESTA application at https://esta.cbp.dhs.gov/esta/. DHS/CBP 
may also use information obtained from publicly available sources, 
including social media, to determine ESTA eligibility.

Exemptions claimed for the system:
    No exemption shall be asserted with respect to information 
maintained in the system as it relates to data submitted by or on 
behalf of a person who travels to visit the United States and crosses 
the border, nor shall an exemption be asserted with respect to the 
resulting determination (authorized to travel, pending, or not 
authorized to travel). Information in the system may be shared with law 
enforcement and/or intelligence agencies pursuant to the above routine 
uses. The Privacy Act requires DHS to maintain an accounting of the 
disclosures made pursuant to all routines uses. Disclosing the fact 
that a law enforcement or intelligence agency has sought and been 
provided particular records may affect ongoing law enforcement 
activities. As such, pursuant to 5 U.S.C. 552a(j)(2), DHS will claim 
exemption from Sections (c)(3), (e)(8), and (g) of the Privacy Act of 
1974, as amended, as is necessary and appropriate to protect this 
information. Further, DHS will claim exemption from sec. (c)(3) of the 
Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a(k)(2) as is 
necessary and appropriate to protect this information.

    Dated: August 30, 2016.
Jonathan R. Cantor,
Acting Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2016-21210 Filed 8-31-16; 4:15 pm]
BILLING CODE 9111-14-P
Federal Register / Vol. 81, No. 171 / Friday, September 2, 2016 / Notices 60717

requirements and limitations on M. To an organization or individual in strict controls to minimize the risk of
disclosure as are applicable to DHS either the public or private sector, either compromising the information that is
officers and employees. foreign or domestic, when there is a being stored. Access to the computer
G. To an appropriate federal, state, reason to believe that the recipient is or system containing the records in this
tribal, local, international, or foreign law could become the target of a particular system is limited to those individuals
enforcement agency or other appropriate terrorist activity or conspiracy, to the who have a need to know the
authority charged with investigating or extent the information is relevant to the information for the performance of their
prosecuting a violation or enforcing or protection of life or property. official duties and who have appropriate
implementing a law, rule, regulation, or N. To the carrier transporting an clearances or permissions.
order, when a record, either on its face individual to the United States, prior to
or in conjunction with other travel, in response to a request from the RETENTION AND DISPOSAL:
information, indicates a violation or carrier, to verify an individual’s travel
potential violation of law, which authorization status. Application information submitted to
includes criminal, civil, or regulatory O. To the Department of Treasury’s ESTA generally expires and is deemed
violations and such disclosure is proper Pay.gov, for payment processing and ‘‘inactive’’ two years after the initial
and consistent with the official duties of payment reconciliation purposes. submission of information by the
the person making the disclosure. P. To a court, magistrate, or applicant. In the event that a traveler’s
H. To appropriate federal, state, local, administrative tribunal in the course of passport remains valid for less than two
tribal, or foreign governmental agencies presenting evidence, including years from the date of the ESTA
or multilateral governmental disclosures to opposing counsel or approval, the ESTA travel authorization
organizations for the purpose of witnesses in the course of civil will expire concurrently with the
protecting the vital health interests of a discovery, litigation, or settlement passport. Information in ESTA will be
data subject or other persons (e.g., to negotiations, in response to a subpoena, retained for one year after the ESTA
assist such agencies or organizations in or in connection with criminal law travel authorization expires. After this
preventing exposure to or transmission proceedings. period, the inactive account information
of a communicable or quarantinable Q. To the news media and the public, will be purged from online access and
disease or to combat other significant with the approval of the Chief Privacy archived for 12 years. Data linked at any
public health threats; appropriate notice Officer in consultation with counsel, time during the 15-year retention period
will be provided of any identified health when there exists a legitimate public (Generally 3 years active, 12 years
threat or risk). interest in the disclosure of the archived), to active law enforcement
I. To third parties during the course information, when disclosure is lookout records, will be matched by
of a law enforcement investigation to necessary to preserve confidence in the DHS/CBP to enforcement activities,
the extent necessary to obtain integrity of DHS, or when disclosure is and/or investigations or cases, including
information pertinent to the necessary to demonstrate the ESTA applications that are denied
investigation, provided disclosure is accountability of DHS’s officers, authorization to travel, will remain
appropriate in the proper performance employees, or individuals covered by accessible for the life of the law
of the official duties of the officer the system, except to the extent the enforcement activities to which they
making the disclosure. Chief Privacy Officer determines that may become related. NARA guidelines
J. To a federal, state, tribal, local, release of the specific information in the for retention and archiving of data will
international, or foreign government context of a particular case would apply to ESTA and DHS/CBP continues
agency or entity for the purpose of constitute an unwarranted invasion of to negotiate with NARA for approval of
consulting with that agency or entity: (1) personal privacy. the ESTA data retention and archiving
To assist in making a determination DISCLOSURE TO CONSUMER REPORTING plan. Records replicated on the
regarding redress for an individual in AGENCIES: unclassified and classified networks
connection or program; (2) for the will follow the same retention schedule.
None.
purpose of verifying the identity of an Payment information is not stored in
individual seeking redress in POLICIES AND PRACTICES FOR STORING, ESTA, but is forwarded to Pay.gov and
connection with the operations of a DHS RETRIEVING, ACCESSING, RETAINING, AND stored in DHS/CBP’s financial
Component or program; or (3) for the DISPOSING OF RECORDS IN THE SYSTEM:
processing system, CDCDS, pursuant to
purpose of verifying the accuracy of STORAGE: the DHS/CBP–018, CDCDS system of
information submitted by an individual records notice. When a VWP traveler’s
DHS/CBP stores records in this
who has requested such redress on ESTA data is used for purposes of
system electronically or on paper in
behalf of another individual. processing his or her application for
secure facilities in a locked drawer
K. To federal and foreign government behind a locked door. The records may admission to the United States, the
intelligence or counterterrorism be stored on magnetic disc, tape, and ESTA data will be used to create a
agencies or components when DHS digital media. corresponding admission record in the
becomes aware of an indication of a DHS/CBP–016 Non-Immigrant
threat or potential threat to national or RETRIEVABILITY:
Information System (NIIS). This
international security to assist in DHS/CBP may retrieve records by any corresponding admission record will be
countering such threat, or to assist in of the data elements supplied by the retained in accordance with the NIIS
anti-terrorism efforts.
mstockstill on DSK3G9T082PROD with NOTICES

applicant. retention schedule, which is 75 years.
L. To the Department of State in the
processing of petitions or applications SAFEGUARDS:
SYSTEM MANAGER AND ADDRESS:
for benefits under the Immigration and DHS/CBP safeguards records in this
Nationality Act, and all other system according to applicable rules Director, Office of Automated
immigration and nationality laws and policies, including all applicable Systems, U.S. Customs and Border
including treaties and reciprocal DHS automated systems security and Protection, 1300 Pennsylvania Avenue
agreements. access policies. DHS/CBP has imposed NW., Washington, DC 20229.

VerDate Sep<11>2014 18:25 Sep 01, 2016 Jkt 238001 PO 00000 Frm 00049 Fmt 4703 Sfmt 4703 E:\FR\FM\02SEN1.SGM 02SEN1
Document Created: 2018-02-09 11:55:35
Document Modified: 2018-02-09 11:55:35
Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Notices
Action		Notice of Privacy Act System of Records.
Dates		Submit comments on or before October 3, 2016. This updated system will be effective October 3, 2016.
Contact		For general questions, please contact: Debra L. Danisek, (202) 344-1610, Acting CBP Privacy Officer, Privacy and Diversity Office, 1300 Pennsylvania Ave. NW., Washington, DC 20229. For privacy questions, please contact: Jonathan R. Cantor, (202) 343- 1717, Acting Chief Privacy Officer, Privacy Office, Department of Homeland Security, Washington, DC 20528-0655.
FR Citation		81 FR 60713
81 FR 60713 - Privacy Act of 1974; Department of Homeland Security, U.S. Customs and Border Protection-009 Electronic System for Travel Authorization System of Records

DEPARTMENT OF HOMELAND SECURITYOffice of the Secretary

Federal Register Volume 81, Issue 171 (September 2, 2016)

DEPARTMENT OF HOMELAND SECURITY
Office of the Secretary
