Privacy Act of 1974; System of Records DHS/CBP-009 Electronic System for Travel Authorization (ESTA), 30746-30751 [2019-13645]

Agencies

• DEPARTMENT OF HOMELAND SECURITY

[Federal Register Volume 84, Number 124 (Thursday, June 27, 2019)]
[Notices]
[Pages 30746-30751]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-13645]


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DEPARTMENT OF HOMELAND SECURITY

[Docket No. DHS-2018-0044]


Privacy Act of 1974; System of Records DHS/CBP-009 Electronic 
System for Travel Authorization (ESTA)

AGENCY: Department of Homeland Security.

ACTION: Notice of a modified system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, the Department of 
Homeland Security (DHS) proposes to modify and reissue a current DHS 
system of records titled, ``Department of Homeland Security (DHS)/U.S. 
Customs and Border Protection (CBP)-009 Electronic System for Travel 
Authorization (ESTA) System of Records.'' This system of records notice 
(SORN) describes DHS/CBP's collection and maintenance of records that 
pertain to eligible international travelers who wish to travel to the 
United States under the Visa Waiver Program (VWP) and have applied for 
an ESTA travel authorization and persons whose information is provided 
in response to an ESTA application or Form I-94W questions.

DATES: Submit comments on or before July 29, 2019. This modified system 
will be effective upon publication, and modified and new routine uses 
and exemptions will become effective July 29, 2019.

ADDRESSES: You may submit comments, identified by docket number DHS-
2018-0044 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: Jonathan R. 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 DHS-2018-0044. 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 received, go to https://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: For general questions, please contact: 
Debra L. Danisek, (202) 344-1610, [email protected], 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, [email protected], Acting Chief Privacy 
Officer, Privacy Office, Department of Homeland Security, Washington, 
DC 20528-0655.

SUPPLEMENTARY INFORMATION:

I. Background

    In 2007, 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 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 biographic and other information necessary to 
evaluate the security risks

[[Page 30747]]

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.
    DHS/CBP developed ESTA, a web-based system, in 2008 to determine 
the eligibility of international travelers to travel to the United 
States under the VWP. Using the ESTA website, applicants submit 
biographic information and answer questions that permit DHS/CBP 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 vet ESTA 
applicants against DHS/CBP holdings to determine whether the applicant 
poses a security risk to the United States. DHS may also vet ESTA 
application information against security and law enforcement databases 
owned and operated 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 an alien arriving for 
inspection in the United States. All ESTA vetting results, and 
derogatory information, are stored in ATS, and covered by the ATS SORN.
    To perform its mission related to the screening of international 
travelers from VWP countries, including alien visitors, for potential 
risks to national security and the determination of admissibility to 
the United States, and due to the constantly evolving threat 
environment, DHS/CBP is updating this SORN, last published September 2, 
2016, to:
    (1) Expand the category of individuals to clarify that travelers 
entering the United States under the VWP may do so via air, land, and 
sea ports of entry. The previously issued SORN referred specifically to 
VWP travelers entering the United States via air and sea; however, VWP 
travelers may also transit through land ports of entry.
    (2) Clarify that this system of records covers records obtained on 
the Form I-94W ``Nonimmigrant Visa Waiver Arrival/Departure Record,'' 
the paper version of ESTA. The Form I-94W is functionally the same as 
the ESTA, however it is completed at a land port of entry if an 
individual has not submitted an ESTA application. This is not a new 
form and has been in use since prior to the launch of the ESTA program.
    (3) Clarify that the ESTA application includes questions about 
travel to any Department of State-designated state sponsor of 
terrorism, and that DHS/CBP will no longer list the specific countries 
in this SORN. Section 217(a)(12)(A)(i), of the Immigration and 
Nationality Act, 8 U.S.C. 1187(a)(12)(A)(i) bars from travel under the 
VWP nationals of VWP program countries who have ``been present, at any 
time on or after March 1, 2011,''. . . ``in a country that is 
designated by the Secretary of State'' as a state sponsor of terrorism. 
If countries are added or removed from the Department of State 
designation, DHS/CBP will issue an updated information collection 
request pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 
et seq.) and 5 CFR 1320.8 seeking public notice and comment, and will 
amend the ESTA online application.
    (4) Specify that vetting results are retained in ATS to provide 
additional transparency about the full vetting process, and to clarify 
that any derogatory information obtained from a partner government 
agency is also stored in ATS. As part of the vetting process, DHS/CBP 
obtains records from appropriate Federal, state, local, international, 
tribal, or foreign governmental agencies or multilateral governmental 
organizations to assist DHS in determining ESTA eligibility.
    (5) Clarify or expand previously issued routine uses, and add new 
routine uses. First, DHS/CBP is modifying existing routine use ``E'' 
and adding routine use ``F'' to be in conformity with Office of 
Management and Budget (OMB) Memorandum M-17-12 pertaining to data 
breach procedures. Due to the inclusion of a new routine use ``F,'' 
previously issued routine use ``F'' has moved to routine use ``H.'' 
Second, DHS/CBP is modifying the existing and still remaining routine 
use ``G,'' by adding ``or license.'' Third, DHS/CBP is adding a new 
routine use ``J'' that would permit disclosure to outside agencies or 
multilateral governmental organizations, with the approval of the Chief 
Privacy Officer, when DHS is aware of a need to use relevant data that 
relates to the purpose(s) stated in this SORN, for purposes of testing 
new technology. Fourth, DHS/CBP is expanding the new routine use 
``M''--previously routine use ``K''--to clarify that DHS/CBP may share 
information to assist agencies proactively identify national security 
and counterterrorism threats. Fifth, DHS/CBP is modifying routine use 
``R,'' previously routine use ``P,'' to remove disclosures ``in 
response to a subpoena.'' Sixth, DHS/CBP is adding routine use ``S'' to 
provide further transparency of its sharing with the Department of 
Treasury. Although routine use ``G'' currently permits DHS/CBP to share 
with the Department of Treasury's Office of Foreign Assets Control 
(OFAC) for law enforcement purposes, DHS/CBP is adding routine use 
``S'' to clarify it is sharing records covered by this SORN with OFAC 
in furtherance of its investigation of a violation or enforcing or 
implementing a statute, rule, regulation, order, or license. OFAC may 
then publicly publish information on the List of Specially Designated 
Nationals and Blocked Persons (SDN List) of individuals and entities 
whose property and interests in property are blocked or otherwise 
affected by one or more OFAC economic sanctions programs, as well as 
information identifying certain property of individuals and entities 
subject to OFAC economic sanctions programs. For additional 
information, and procedures for how to access, correct, or amend 
records on the OFAC SDN list, please see Department of Treasury SORN 
``DO.120--Records Related to Office of Foreign Assets Control Economic 
Sanctions--81 FR 78298 (Nov. 7, 2016).''
    Finally, all prior existing routine uses not mentioned above are 
currently contained in this revised SORN, but these routine uses may 
have moved down one or two letters due to the addition of new routine 
uses.
    (6) Expand the previously issued exemptions to clarify that law 
enforcement records and other derogatory information derived from DHS/
CBP's ATS may be exempt from certain provisions of the Privacy Act 
because of criminal, civil, and administrative enforcement 
requirements. DHS/CBP uses information from law enforcement and 
national security systems to determine whether an ESTA applicant is 
eligible for travel to the United States.
    (7) Remove references to the specific ESTA application questions 
and data elements (which are publicly available

[[Page 30748]]

on the ESTA website and OMB Number 1651-0111 ``Arrival and Departure 
Record, Nonimmigrant Visa Waiver Arrival/Departure, Electronic System 
for Travel Authorization (ESTA)'') and instead include them as broad 
categories of questions that are included on the application.
    DHS/CBP is issuing a Notice of Proposed Rulemaking for these 
expanded exemptions concurrent with this Notice. The previously issued 
Final Rule to exempt this system of records from certain provisions of 
the Privacy Act (74 FR 45070 (August 31, 2009)) remains in effect until 
an updated Final Rule is published.
    The bulk of information stored in this system pertains to eligible 
international travelers who wish to travel to the United States under 
the VWP and have applied for an ESTA travel authorization and persons 
whose information is provided in response to ESTA application or Form 
I-94W questions. Most international travelers under the VWP are 
nonimmigrant aliens, and thus are not ``individuals'' as defined by the 
Privacy Act. Accordingly, this notice does not confer any legal rights 
under the Privacy Act to such persons. However, DHS is publishing this 
SORN to describe all records maintained by DHS/CBP for transparency 
purposes and to assist those with rights under the Judicial Redress Act 
better understand the nature of the records.
    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 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 
SORN. DHS/CBP documents ongoing, systematic sharing with partners, 
including documenting the need to know, authorized users and uses, and 
the privacy protections that will be applied to the data.

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. Additionally, the Judicial Redress Act (JRA) 
provides covered persons with a statutory right to make requests for 
access and amendment to covered records, as defined by the JRA, along 
with judicial review for denials of such requests. In addition, the JRA 
prohibits disclosures of covered records, except as otherwise permitted 
by the Privacy Act.
    Below is the description of the DHS/U.S. Customs and Border 
Protection-009 Electronic System for Travel Authorization System of 
Records.
    In accordance with 5 U.S.C. 552a(r), DHS has provided a report of 
this system of records to OMB and to Congress.

SYSTEM NAME AND NUMBER:
    Department of Homeland Security (DHS)/U.S. Customs and Border 
Protection (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:
    Records are maintained 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.

SYSTEM MANAGER(S):
    Director, ESTA Program Management Office, U.S. Customs and Border 
Protection, 1300 Pennsylvania Avenue NW, Washington, DC 20229.

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 8 CFR part 217; the Travel Promotion Act of 2009, Public Law 111-
145, 22 U.S.C. 2131.

PURPOSE(S) OF THE SYSTEM:
    The purpose of this system is to collect and maintain a record of 
applicants 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 and to inform CBP's decision 
to approve or deny the applicant's ESTA application. 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.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Categories of individuals covered by this system include eligible 
travelers who wish to travel to the United States under the VWP and 
have applied for an ESTA travel authorization and individuals 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 website. The 
categories of records in ESTA include:
     Full name (first, middle, and last);
     Other names or aliases, if available;
     Date of birth;
     Country of birth;
     Gender;

[[Page 30749]]

     Email address;
     Visa numbers, Laissez-Passer numbers, or Identity card 
numbers;
     Social media identifiers, such as username(s) and 
platforms used;
     Publicly available information from social media websites 
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 information;
     Department of Treasury Pay.gov payment tracking number 
information;
     Countries of citizenship and nationality;
     National identification number, if available;
     Address while visiting the United States;
     Emergency point of contact information;
     U.S. Point of Contact information;
     Parents' names; and
     Current and previous employer information.
    The categories of records in ESTA also include responses to 
questions related to the following:
    [cir] History of mental or physical disorders, drug abuse or 
addiction,\1\ and current communicable diseases, fevers, and 
respiratory illnesses;
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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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    [cir] Past arrests, criminal convictions, or illegal drug 
violations;
    [cir] Previous engagement in terrorist activities, espionage, 
sabotage, or genocide;
    [cir] History of fraud or misrepresentation;
    [cir] Previous unauthorized employment in the United States;
    [cir] Past denial of visa, or refusal or withdrawal of application 
for admission at a U.S. port of entry;
    [cir] Previous overstay of authorized admission period in the 
United States;
    [cir] Travel history and information relating to prior travel to or 
presence in Iraq or Syria, a country designated as a state sponsor of 
terrorism, or another country or area of concern; \2\ and
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    \2\ INA 212(a)(12); 8 U.S.C. 1187(a)(12).
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    [cir] Citizenship and nationality information, with additional 
detail required for nationals of certain identified countries of 
concern.

RECORD SOURCE CATEGORIES:
    DHS/CBP obtains records from information submitted by travelers 
either via the (1) online ESTA application form available at https://esta.cbp.dhs.gov/esta/ or (2) the Form I-94W, the paper equivalent to 
the ESTA portion related to travel authorization, which is used 
primarily at the land border by VWP travelers or on specific occasions 
at other ports of entry, without immediate access to the electronic 
format above. DHS/CBP may also use information obtained from publicly 
available sources, including social media, to determine ESTA 
eligibility. As part of the vetting process, DHS/CBP obtains law 
enforcement and national security records from appropriate Federal, 
state, local, international, tribal, or foreign governmental agencies 
or multilateral governmental organizations to assist DHS in determining 
ESTA eligibility.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    In addition to those disclosures generally permitted under the 
Privacy Act, 5 U.S.C. 552a(b), 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 the U.S. Attorneys 
Offices, or other Federal agencies 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, only 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 there has been a breach of the system of 
records; (2) DHS has determined that as a result of the suspected or 
confirmed breach there is a risk of harm to individuals, DHS (including 
its information systems, programs, and operations), the Federal 
Government, or national security; 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 
breach or to prevent, minimize, or remedy such harm.
    F. To another Federal agency or Federal entity, when DHS determines 
that information from this system of records is reasonably necessary to 
assist the recipient agency or entity in (1) responding to a suspected 
or confirmed breach or (2) preventing, minimizing, or remedying the 
risk of harm to individuals, the recipient agency or entity (including 
its information systems, programs, and operations), the Federal 
Government, or national security, resulting from a suspected or 
confirmed breach.
    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 statute, rule, regulation, order, or license 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 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.
    I. 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

[[Page 30750]]

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).
    J. To appropriate Federal, state, local, tribal, or foreign 
governmental agencies or multilateral governmental organizations, with 
the approval of the Chief Privacy Officer, when DHS is aware of a need 
to use relevant data, that relate to the purpose(s) stated in this 
SORN, for purposes of testing new technology.
    K. 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.
    L. To a Federal, state, tribal, local, international, or foreig.n 
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.
    M. To a Federal, state, tribal, local, international, or foreign 
government agency or entity in order to provide relevant information 
related to intelligence, counterintelligence, or counterterrorism 
activities authorized by U.S. law, Executive Order, or other applicable 
national security directive.
    N. 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.
    O. 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.
    P. 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.
    Q. To the Department of Treasury's Pay.gov, for payment processing 
and payment reconciliation purposes.
    R. 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, or in connection with criminal law proceedings.
    S. To the Department of Treasury's Office of Foreign Assets Control 
(OFAC) for inclusion on the publicly issued List of Specially 
Designated Nationals and Blocked Persons (SDN List) of individuals and 
entities whose property and interests in property are blocked or 
otherwise affected by one or more OFAC economic sanctions programs, as 
well as information identifying certain property of individuals and 
entities subject to OFAC economic sanctions programs.
    T. 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.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    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.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    DHS/CBP may retrieve records by any of the data elements supplied 
by the applicant.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    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. 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 
SORN. 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.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL 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.

RECORD ACCESS PROCEDURES:
    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

[[Page 30751]]

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 access to and notification of 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 FOIA Officer, whose contact information can be found at 
https://www.dhs.gov/foia under ``Contacts 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, Washington, DC 20528-0655. Even if 
neither the Privacy Act nor the Judicial Redress Act provide a right of 
access, certain records about you may be available under the Freedom of 
Information Act.
    When an individual is seeking records about himself or herself from 
this system of records or any other Departmental system of records, the 
individual's request must conform with the Privacy Act regulations set 
forth in 6 CFR part 5. The individual must first verify his/her 
identity, meaning that the individual must provide his/her full name, 
current address, and date and place of birth. The individual must sign 
his/her request, and the individual's 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, an individual may 
obtain forms for this purpose from the Chief Privacy Officer and Chief 
Freedom of Information Act Officer, https://www.dhs.gov/foia or 1-866-
431-0486. In addition, the individual should:
     Explain why he or she believes the Department would have 
information being requested;
     Identify which component(s) of the Department he or she 
believes may have the information;
     Specify when the individual 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 an individual's request is seeking records pertaining to another 
living individual, the first individual must include a statement from 
that individual certifying his/her agreement for the first individual 
to access his/her records.
    Without the above information, the component(s) may not be able to 
conduct an effective search, and the individual's request may be denied 
due to lack of specificity or lack of compliance with applicable 
regulations.

CONTESTING RECORD PROCEDURES:
    For records covered by the Privacy Act or covered JRA records, see 
``Record Access Procedures'' above.

NOTIFICATION PROCEDURES:
    See ``Record Access Procedures.''

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    Pursuant to 6 CFR part 5, Appendix C, when this system receives a 
record from another system exempted in that source system under 5 
U.S.C. 552a(j) or (k), DHS will claim the same exemptions for those 
records that are claimed for the original primary systems of records 
from which they originated and claims any additional exemptions set 
forth here. For instance, as part of the vetting process, this system 
may incorporate records from CBP's ATS, and all of the exemptions for 
CBP's ATS SORN, described and referenced herein, carry forward and will 
be claimed by DHS/CBP. As such, law enforcement and other derogatory 
information covered in this system are exempt from 5 U.S.C. 552a(c)(3) 
and (4); (d)(1), (2), (3), and (4); (e)(1), (2), (3), (4)(G) through 
(I), (e)(5), and (8); (f); and (g) of the Privacy Act pursuant to 5 
U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has 
exempted this system from the following provisions of the Privacy Act, 
pursuant to 5 U.S.C. 552a(k)(1) and (k)(2): 5 U.S.C. 552a(c)(3); 
(d)(1), (d)(2), (d)(3), and (d)(4); (e)(1), (e)(4)(G), (e)(4)(H), 
(e)(4)(I); and (f).
    DHS/CBP is not taking any exemption from subsection (d) 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). However, pursuant to 5 U.S.C. 552a(j)(2), 
DHS/CBP plans to exempt such information in this system 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 section (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. CBP will not disclose the fact 
that a law enforcement or intelligence agency has sought particular 
records because it may affect ongoing law enforcement activities.

HISTORY:
    DHS/CBP-009 Electronic System for Travel Authorization (ESTA), 81 
FR 60713 (September 2, 2016); DHS/CBP-009 Electronic System for Travel 
Authorization (ESTA), 81 FR 39680 (June 17, 2016); DHS/CBP-009 
Electronic System for Travel Authorization (ESTA), 81 FR 8979 (February 
23, 2016); DHS/CBP-009 Electronic System for Travel Authorization 
(ESTA), 79 FR 65414 (November 4, 2014); DHS/CBP-009 Electronic System 
for Travel Authorization (ESTA), 77 FR 44642 (July 30, 2012); DHS/CBP-
009 Electronic System for Travel Authorization (ESTA), 76 FR 67751 
(November 2, 2011); DHS/CBP-009 Electronic System for Travel 
Authorization (ESTA), 73 FR 32720 (June 10, 2008).

Jonathan R. Cantor,
Acting Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2019-13645 Filed 6-26-19; 8:45 am]
BILLING CODE 9111-14-P