Privacy Act of 1974; Department of Homeland Security, U.S. Customs and Border Protection-009 Electronic System for Travel Authorization System of Records, 8979-8985 [2016-03867]

Agencies

• DEPARTMENT OF HOMELAND SECURITY
• Office of the Secretary

[Federal Register Volume 81, Number 35 (Tuesday, February 23, 2016)]
[Notices]
[Pages 8979-8985]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-03867]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2016-0014]


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. 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 against selected security and law 
enforcement databases at DHS, including but not limited to TECS (not an 
acronym) and the Automated Targeting System (ATS). In addition, ATS 
retains a copy of ESTA application data to identify ESTA applicants who 
may pose a security risk to the United States. 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 November 4, 2014 (79 FR 65414), to modify the categories of records 
in the system to include responses to new questions and additional data 
elements to assist DHS/CBP in determining eligibility to travel under 
the VWP. DHS is also modifying the categories of records to remove 
several data elements that are no longer collected, including date of 
anticipated crossing, carrier information (carrier name and flight or 
vessel number), city of embarkation, and any change of address while in 
the United States. In 2014, DHS/CBP determined that these fields were 
unnecessary for mission operations. DHS/CBP is also revising the ESTA 
application to reflect the current quarantinable, communicable diseases 
specified by any Presidential E.O. under sec. 361(b) of the Public 
Health Service Act (PHS Act). Lastly, DHS/CBP is making non-
substantive, clarifying edits to Routine Use N.
    DHS/CBP issued a Final Rule to exempt this system of records from 
certain provisions of the Privacy Act on August 31, 2009 (74 FR 45070). 
These regulations remain in effect.

DATES: This updated system will be effective upon the public display of 
this notice. Although this system is effective upon publication, DHS 
will accept and consider comments from the public and evaluate the need 
for any revisions to this notice.

ADDRESSES: You may submit comments, identified by docket number DHS-
2016-0014 by one of the following methods:
     Federal e-Rulemaking Portal: https://www.regulations.gov. 
Follow the instructions for submitting comments.
     Fax: 202-343-4010.
     Mail: Karen L. Neuman, 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 https://www.regulations.gov, including any 
personal information provided.

DOCKET: For access to the docket to read background documents or 
comments

[[Page 8980]]

received, please visit https://www.regulations.gov.

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

SUPPLEMENTARY INFORMATION:

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, Pub. 
L. 110-53. sec. 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, sec. 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. DHS/CBP vets the ESTA applicant 
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 data to 
identify ESTA applicants 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 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.
    DHS/CBP is updating this system of records notice, last published 
on November 4, 2014 (79 FR 65414), to modify the categories of records 
in the system to include responses to new questions and additional data 
elements to assist DHS/CBP in determining eligibility to travel under 
the VWP. DHS is also modifying the categories of records to remove 
several data elements that are no longer collected, including date of 
anticipated crossing, carrier information (carrier name and flight or 
vessel number), city of embarkation, and any change of address while in 
the United States. In 2014, DHS/CBP determined that these fields were 
unnecessary for mission operations. DHS/CBP is also making non-
substantive, clarifying edits to Routine Use N.
    On December 18, 2015, the President signed into law the Visa Waiver 
Program Improvement and Terrorist Travel Prevention Act of 2015 as part 
of the Consolidated Appropriations Act of 2016. To meet the 
requirements of this new law, DHS is strengthening the security of the 
VWP through enhancements to the ESTA application and to the 
Nonimmigrant Visa Waiver Arrival/Departure Record form (Form I-94W). 
Many of the provisions of the new law became effective on the date of 
enactment of the Visa Waiver Program Improvement and Terrorist Travel 
Prevention Act of 2015. The Act generally makes certain nationals of 
VWP countries ineligible (with some exceptions) from traveling to the 
United States under the VWP if the applicant is also a national of, or 
at any time on or after March 1, 2011, been present in Iraq, Syria, a 
designated state sponsor of terrorism (currently Iran, Sudan, and 
Syria),\1\ or any other country or area of concern as designated by the 
Secretary of Homeland Security.\2\
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    \1\ Countries determined by the Secretary of State to have 
repeatedly provided support for acts of international terrorism are 
generally designated pursuant to three laws: sec. 6(j) of the Export 
Administration Act of 1979 (50 U.S.C. 2405); sec. 40 of the Arms 
Export Control Act (22 U.S.C. 2780); and sec. 620A of the Foreign 
Assistance Act of 1961 (22 U.S.C. 2371).
    \2\ The Act establishes exceptions to the bar for travel to 
Iraq, Syria, Iran, and Sudan since March 1, 2011, for individuals 
determined by the Secretary of Homeland Security to have been 
present in these countries, ``(i) in order to perform military 
service in the armed forces of a [VWP] program country; or (ii) in 
order to carry out official duties as a full time employee of the 
government of a [VWP] program country.'' 8 U.S.C. 1187(a)(12)(B).
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    Under the Visa Waiver Program Improvement and Terrorist Travel 
Prevention Act of 2015, the Secretary of Homeland Security may waive 
these new VWP travel restrictions with respect to an alien if the 
Secretary determines that such a waiver is in the law enforcement or 
national security interests of the United States. Whether ESTA 
applicants will receive a waiver will be determined on a case-by-case 
basis, in accordance with policy and operations guidance. DHS is 
updating this SORN to include updated questions to the ESTA application 
and Form I-94W in accordance with the new restrictions in the Act.
    DHS has determined that these enhancements to the ESTA application 
and Form I-94W will help DHS remain compliant with its legal 
requirements and for the VWP to adapt to the heightened threat 
environment including the continued increase in the number of foreign 
fighters from VWP countries participating in the Syria and Iraq 
conflicts. The newly proposed ESTA data elements, combined with 
existing data elements, will help the U.S. Government meet the 
requirements of the VWP Improvement and Terrorist Travel Prevention Act 
of 2015, mitigate the foreign fighter threat, and facilitate lawful 
travel under the VWP.
    In addition, pursuant to 42 U.S.C. 264(b) and E.O. 13295, as 
amended on July 31, 2014, DHS/CBP is revising the existing ESTA 
question on quarantinable communicable diseases. Applicants are 
inadmissible into the United States if they are determined (1) to have 
a communicable disease of public health significance; (2) to have a 
physical or mental disorder and behavior associated with the disorder 
that may pose, or has posed, a threat to

[[Page 8981]]

the property, safety, or welfare of the applicant or others; (3) to 
have a history of a physical or mental disorder associated with 
behavior which posed a threat to the property, safety, or welfare of 
the applicant or others and which is likely to recur or lead to other 
harmful behavior; or (4) to be a drug abuser or addict. The Department 
of Health and Human Services (HHS) and the Center for Disease Control 
(CDC) previously issued regulations that defined a ``communicable 
disease of public health significance'' by only listing eight specific 
diseases: Active tuberculosis (TB), human immunodeficiency virus (HIV) 
infection, chancroid, gonorrhea, granuloma inguinale, lymphogranuloma 
venereum, infectious syphilis, and infectious leprosy (Hansen's 
disease).
    These eight communicable diseases are currently listed on the 
existing ESTA application. However, HHS/CDC have found that recent 
experience (including the Ebola outbreak of 2014) demonstrated that a 
fixed list of diseases does not allow the flexibility to rapidly 
respond to unanticipated emerging or re-emerging outbreaks of disease. 
The ability to rapidly respond requires an approach based on 
prospective risks and consequences instead of a static list that does 
not reflect the potential for future outbreaks of novel diseases. 
Therefore, HHS/CDC is adding the following disease categories to the 
current list of communicable diseases of public health significance:
    (1) Quarantinable, communicable diseases specified by Presidential 
E.O. Order, as provided under sec. 361(b) of the PHS Act;
    (2) Any communicable disease that requires notification to WHO of 
an event that may constitute a public health emergency of international 
concern, pursuant to the revised IHR of 2005.
    Consistent with this new guidance from HHS/CDC regarding 
communicable diseases, DHS/CBP is revising the ESTA application to 
reflect the current quarantinable, communicable diseases specified by 
any Presidential E.O. under sec. 361(b) of the PHS Act. The revised 
ESTA Application question is as follows: Do you have a physical or 
mental disorder, or are you a drug abuser or addict, or do you 
currently have any of the following diseases (communicable diseases are 
specified pursuant to sec. 361(b) of the PHS Act:
     Cholera;
     Diphtheria;
     Tuberculosis, infection;
     Plague;
     Smallpox;
     Yellow Fever;
     Viral Hemorrhagic Fevers, including Ebola, Lassa, Marburg, 
Crimean-Congo; and
     Severe acute respiratory illnesses capable of transmission 
to other persons and likely to cause mortality.
    DHS/CBP is also making non-substantive edits to Routine Use N to 
clarify that DHS/CBP may verify an individual's travel authorization 
status with that individual's carrier, prior to travel. To do so, DHS/
CBP receives Advanced Passenger Information from carriers seventy-two 
hours in advance of travel to verify the travel authorization status of 
those passengers. As part of the response, DHS/CBP does not send any 
personally identification information to the carrier. DHS/CBP only 
sends a positive or negative response. If DHS/CBP returns a negative 
response, the carriers must visually confirm a visa permitting travel 
to the United States.
    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 
with other federal security and counterterrorism agencies, as well as 
on a case-by-case basis to appropriate state, local, tribal, 
territorial, foreign, or international government agencies. This 
external sharing takes place after DHS determines that it is consistent 
with the routine uses set forth in this system of records notice.
    Additionally, for ongoing, systematic sharing, DHS completes an 
information sharing and access agreement with partners to establish the 
terms and conditions of the sharing, including documenting the need to 
know, authorized users and uses, and the privacy protections for the 
data.
    DHS previously issued a Final Rule to exempt this system of records 
from certain provisions of the Privacy Act on August 31, 2009 (74 FR 
45070). 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:

[[Page 8982]]

    1. Foreign nationals who seek to enter the United States by air or 
sea under the VWP; and,
    2. Persons, including U.S. Citizens and lawful permanent residents, 
whose information is provided in response to ESTA application 
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 and country of birth;
     Gender;
     Email address;
     Telephone number (home, mobile, work, other);
     Home address (address, apartment number, city, state/
region);
     Internet protocol (IP) address;
     ESTA application 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,\3\ 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):

    \3\ Immigration and Nationality Act 212(a)(1)(A). Pursuant to 8 
U.S.C. 1182(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.

[cir] Cholera
[cir] Diphtheria
[cir] Tuberculosis, infection
[cir] Plague
[cir] Smallpox
[cir] Yellow Fever
[cir] Viral Hemorrhagic Fevers, including Ebola, Lassa, Marburg, 
Crimean-Congo
[cir] 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?
     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, or Sudan 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:
    [cir] Previous countries of travel;
    [cir] Dates of previous travel;
    [cir] Countries of previous citizenship;
    [cir] Other current or previous passports;
    [cir] Visa numbers;
    [cir] Laissez-Passer numbers;
    [cir] Identity card numbers;
    [cir] Organization, company, or entity on behalf of which you 
traveled;
    [cir] Official position/title with the organization, company, or 
entity behalf of which you traveled;
    [cir] Contact information for organization, company, or entity on 
behalf of which you traveled;
    [cir] Iraqi, Syrian, Iranian, or Sudanese Visa Number;
    [cir] I-Visa, G-Visa, or A-Visa number, if issued by a U.S. Embassy 
or Consulate;
    [cir] All organizations, companies, or entities with which you had 
business dealings, or humanitarian contact;
    [cir] Grant number, if applicant's organization has received U.S. 
government funding for humanitarian assistance within the last five 
years;
    [cir] 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;
    [cir] 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, or Sudan 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, or Sudan 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, Pub. L. 111-145, 22 U.S.C. 2131.

Purpose(s):
    The purpose of this system is to collect and maintain a record of 
nonimmigrant aliens 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

[[Page 8983]]

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, and all information provided in response to the 
ESTA application questionnaire, including 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 
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 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 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

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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.

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 https://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, https://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

[[Page 8985]]

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/.

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: February 17, 2016
Karen L. Neuman
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2016-03867 Filed 2-22-16; 8:45 am]
 BILLING CODE 9111-14-P