[Federal Register Volume 80, Number 49 (Friday, March 13, 2015)]
[Pages 13398-13401]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-05804]



Office of the Secretary

[Docket No. DHS-2015-0008]

Privacy Act of 1974; Department of Homeland Security/United 
States Customs and Border Protection-016 Nonimmigrant and Immigrant 
Information System

AGENCY: Department of Homeland Security, Privacy Office.

ACTION: Notice of Privacy Act System of Records.


SUMMARY: In accordance with the Privacy Act of 1974 and as part of the 
Department of Homeland Security's ongoing effort to review and update 
legacy system of record notices, the Department of Homeland Security 
(DHS) proposes to update and reissue the following legacy record 
system, Department of Homeland Security/United States Customs and 
Border Protection-016 Nonimmigrant Information System. This system of 
records notice has been updated to include system name, security 
classification, system location, purpose(s), storage, retention and 
disposal, and notification procedures. The previous final rule exempts 
this system from certain aspects of the Privacy Act, and will continue 
to do so. This notice also includes non-substantive changes to simplify 
the formatting and text of the previously published notice. This 
updated system will be included in DHS's inventory of systems of 
records, located on the DHS Web site at http://www.dhs.gov/system-records-notices-sorns.

DATES: Written comments must be submitted on or before April 13, 2015.

ADDRESSES: You may submit comments, identified by docket number DHS-
2015-0008 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: Karen L. Neuman, Chief Privacy Officer, Privacy 
Office, Department of Homeland Security, Washington, DC 20528.
    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 go to http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: For general questions, please contact: 
John Connors, (202) 344-1610, Privacy Officer, United States Customs 
and Border Protection, 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.


I. Background

    In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, the 
Department of Homeland Security (DHS) United States Customs and Border 
Protection (CBP) proposes to update and reissue a current DHS system of 
records titled, ``DHS/CBP-016 Nonimmigrant Information System System of 
    DHS is updating and reissuing a DHS/CBP system of records under the 
Privacy Act (5 U.S.C. 552a) to reflect CBP's current and future 
practices regarding the processing of foreign nationals entering the 
United States. CBP inspects all persons applying for admission to the 
United States. As part of this inspection process, CBP establishes the 
identity, nationality, and admissibility of persons crossing the border 
and may create a border crossing record, which would be covered by DHS/
CBP-007 Border Crossing Information System of Records Notice (78 FR 
31958, published on May 28, 2013), or additional CBP records, which 
would be covered by the DHS/CBP-011 TECS System of Records Notice (73 
FR 77799, published December 19, 2008) during this process. Similarly, 
CBP has authority to keep records of departures from the United States.
    In addition to information collected from the alien during the 
inspection process, CBP primarily uses two immigration forms to collect 
information from nonimmigrant aliens as they arrive in the United 
States: The I-94, Arrival/Departure Record; and the I-94W, Nonimmigrant 
Visa Waiver Arrival/Departure Form (for aliens applying for admission 
under the visa waiver program (VWP)). Separately, Canadian nationals 
that travel to the U.S. as tourists or for business and Mexican 
nationals who possess a nonresident alien Mexican Border Crossing Card 
are not required to complete an I-94 upon arrival. However, their 
information is maintained in Nonimmigrant and Immigrant Information 
System (NIIS). Additionally, DHS/CBP implemented an Electronic System 
for Travel Authorization (ESTA) to permit nationals of VWP countries to 
submit their biographic and admissibility information online in advance 
of their travel to the United States. Applicants under this program 
will have access to their accounts so that they may check the status of 
their ESTA and make limited amendments. ESTA is covered by privacy 
documentation including the DHS/CBP Electronic System for Travel 
Authorization SORN (79 FR 65414, published on November 3, 2014).
    In accordance with the Privacy Act of 1974 and as part of DHS's 
ongoing effort to review and update legacy system of record notices, 
DHS/CBP proposes to update and reissue the following system of records 
notice, DHS/CBP-016 Nonimmigrant and Information System (73 FR 77739, 
published December 19, 2008), as a DHS/CBP system of records notice 
titled, DHS/CBP-016 Nonimmigrant and Immigrant Information System 
System of Records. DHS/CBP changed the system name to reflect changes 
to the system, changed the security classification to reflect storage 
of records on a classified network, changed the system location to 
reflect a new location, changed the purpose to allow for replication of 
data for analysis and vetting, updated the storage due to the change in 
security classification, updated the retention and disposal to reflect 
that records will follow the same retention schedule, and changed the 
notification procedure to reflect that DHS/CBP will now also review 
replicated records.
    Consistent with DHS's information sharing mission, information 
stored in the DHS/CBP-016 Nonimmigrant and Immigrant Information System 
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, information may be shared with appropriate 
federal, state, local, tribal, territorial, foreign, or international 
government agencies

[[Page 13399]]

consistent with the routine uses set forth in this system of records 
    Additionally, the exemptions for this system of records notice will 
remain in place. This updated system will be included in the DHS's 
inventory of record systems.

II. Privacy Act

    The Privacy Act embodies fair information principles in a statutory 
framework governing the means by which the 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 
the 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 
    Below is a description of the DHS/CBP-016 Nonimmigrant and 
Immigrant Information System System of Records.
    In accordance with 5 U.S.C. 552a(r), a report concerning this 
record system has been sent to the Office of Management and Budget and 
to the Congress.
System of Records:
    Department of Homeland Security DHS/United States (U.S.) Customs 
and Border Protection (CBP)-016.

System Name:
    DHS/CBP-016 Nonimmigrant and Immigrant Information System.

Security Classification:
    Unclassified. The data may be retained on the 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 in the operational system at CBP 
Headquarters in Washington, DC and at CBP field offices. Records are 
replicated from the operational system and maintained on the DHS 
unclassified and classified networks. This computer database is located 
at the U.S. Customs and Border Protection (CBP) National Data Center. 
Computer terminals are located at customhouses, border ports of entry, 
airport inspection facilities under the jurisdiction of the Department 
of Homeland Security and other locations at which DHS authorized 
personnel may be posted to facilitate DHS's mission. Terminals may also 
be located at appropriate facilities for other participating government 
agencies that have obtained system access pursuant to a Memorandum of 

Categories of Individuals Covered by This System:
    Categories of individuals covered by this system are nonimmigrant 
aliens entering and departing the United States.

Categories of Records in This System:
    The Nonimmigrant and Immigrant Information System (NIIS) is a 
dataset residing on the CBP Information Technology (IT) platform and in 
paper form. It contains arrival and departure information collected 
from foreign nationals entering and departing the United States on such 
forms as the I-94 and I-94W, or through interviews with CBP officers. 
This information consists of the following data elements, as 
     Full Name (first, middle, and last);
     Date of birth;
     Email address, as required;
     Travel document type (e.g., passport information, 
permanent resident card), number, issuance date, expiration date and 
issuing country;
     Country of citizenship;
     Date of crossing both into and out of the United States;
     Scanned images linked through the platform;
     Airline and flight number;
     City of embarkation;
     Address while visiting the United States;
     Admission number received during entry into the United 
     Whether the individual has a communicable disease, 
physical or mental disorder, or is a drug abuser or addict;
     Whether the individual has been arrested or convicted for 
a moral turpitude crime, drugs, or has been sentenced for a period 
longer than five years;
     Whether the individual has engaged in espionage, sabotage, 
terrorism, or Nazi activity between 1933 and 1945;
     Whether the individual is seeking work in the United 
     Whether the individual has been excluded or deported, or 
attempted to obtain a visa or enter the United States by fraud or 
     Whether the individual has ever detained, retained, or 
withheld custody of a child from a U.S. citizen granted custody of the 
     Whether the individual has ever been denied a U.S. visa or 
entry into the U.S., or had a visa cancelled (if yes, when and where);
     Whether the individual has ever asserted immunity from 
prosecution; and
     Any change of address while in the United States.
Authority for Maintenance of the System:
    The legal authority for NIIS comes from the Immigration and 
Nationality Act, 8 U.S.C. 1103, 1184, 1354; the Intelligence Reform and 
Terrorism Prevention Act of 2004, Public Law 108-458; the Homeland 
Security Act of 2002, Public Law 107-296; 5 U.S.C. 301; and the Federal 
Records Act, 44 U.S.C. 3101.

    NIIS is a repository of records for persons arriving in or 
departing from the United States as nonimmigrant visitors and is used 
for entry screening, admissibility, and benefits purposes. The system 
provides a central repository of contact information for such aliens 
while in the United States and also captures arrival and departure 
information for determination of future admissibility.
    DHS maintains a replica of some or all of the data in the operating 
system on the unclassified and classified DHS networks to allow for 
analysis and vetting consistent with the above stated 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 Attorney 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 
    1. DHS or any component thereof;
    2. Any employee or former employee of DHS in his/her official 
    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.

[[Page 13400]]

    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 
    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 
    2. The Department 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 
    H. 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 response to a subpoena, or in connection with 
criminal law proceedings.
    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 to the proper 
performance of the official duties of the officer making the 
    J. 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.
    K. To an appropriate federal, state, local, tribal, foreign, or 
international agency, if the information is relevant and necessary to a 
requesting agency's decision concerning the hiring or retention of an 
individual, or issuance of a security clearance, license, contract, 
grant, or other benefit, or if the information is relevant and 
necessary to a DHS decision concerning the hiring or retention of an 
employee, the issuance of a security clearance, the reporting of an 
investigation of an employee, the letting of a contract, or the 
issuance of a license, grant, or other benefit and when disclosure is 
appropriate to the proper performance of the official duties of the 
person making the request.
    L. To appropriate federal, state, local, tribal, or foreign 
governmental agencies or multilateral governmental organizations, for 
the purpose of protecting the vital 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).
    M. To federal and foreign government intelligence or 
counterterrorism agencies or components when CBP becomes aware of an 
indication of a threat or potential threat to national or international 
security, or when such use is to assist in anti-terrorism efforts and 
disclosure is appropriate to the proper performance of the official 
duties of the person making the disclosure.
    N. To appropriate federal, state, local, tribal, or foreign 
governmental agencies or multilateral governmental organizations when 
DHS is aware of a need to use relevant data for purposes of testing new 
technology and systems designed to enhance national security or 
identify other violations of law.
    O. 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 or when 
disclosure is necessary to preserve confidence in the integrity of DHS 
or is necessary to demonstrate the accountability of DHS's officers, 
employees, or individuals covered by the system, except to the extent 
it is determined 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:

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
    DHS/CBP stores records in this system electronically in the 
operational system as well as on the unclassified and classified 
network or on paper in secure facilities in a locked drawer behind a 
locked door. DHS/CBP stores the records on magnetic disc, tape, digital 
media, and CD-ROM. The data is stored electronically at the CBP and DHS 
Data Center for current data and offsite at an alternative data storage 
facility for historical logs, system backups, and in paper form.

    These records may be searched on a variety of data elements 
including name, addresses, place and date of entry or departure, or 
country of citizenship as listed in the travel documents used at the 
time of entry to the United States. An admission number, issued at each 
entry to the United States to track the particular admission, may also 
be used to identify a database record.

    All NIIS records are protected from unauthorized access through 
appropriate administrative, physical, and technical safeguards. These 
safeguards include all of the following: restricting access to those 
with a ``need to know''; using locks, alarm devices, and passwords; 
compartmentalizing databases; auditing software; and encrypting data 
    NIIS information is secured in full compliance with the 
requirements of the

[[Page 13401]]

DHS IT Security Program Handbook. This handbook establishes a 
comprehensive program, consistent with federal law and policy, to 
provide complete information security, including directives on roles 
and responsibilities, management policies, operational policies, and 
application rules, which will be applied to component systems, 
communications between component systems, and at interfaces between 
component systems and external systems.
    One aspect of the DHS comprehensive program to provide information 
security involves the establishment of rules of behavior for each major 
application, including NIIS. These rules of behavior require users to 
be adequately trained regarding the security of their systems. These 
rules also require a periodic assessment of technical, administrative, 
and managerial controls to enhance data integrity and accountability. 
System users must sign statements acknowledging that they have been 
trained and understand the security aspects of their systems. System 
users must also complete annual privacy awareness training to maintain 
current access.
    NIIS transactions are tracked and can be monitored. This allows for 
oversight and audit capabilities to ensure that the data is being 
handled consistent with all applicable federal laws and regulations 
regarding privacy and data integrity.

Retention and Disposal:
    NIIS data is subject to a retention requirement. The information 
collected and maintained in NIIS is used for entry screening, 
admissibility, and benefits purposes and is retained for seventy-five 
(75) years from the date obtained. However, NIIS records that are 
linked to active law enforcement lookout records, CBP matches to 
enforcement activities, and/or investigations or cases will remain 
accessible for the life of the law enforcement activities to which they 
may become related. The current disposition for paper copy is 180 days 
from date of departure. Records replicated on the unclassified and 
classified networks will follow the same retention schedule.

System Manager and address:
    Assistant Commissioner, Office of Information Technology, U.S. 
Customs and Border Protection Headquarters, 1300 Pennsylvania Avenue 
NW., Washington, DC 20229.

Notification procedure:
    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 CBP's FOIA Officer, 1300 
Pennsylvania Avenue NW., Washington, DC 20229.
    When seeking records about yourself from this system of records or 
any other CBP 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 Director, 
Disclosure and FOIA, http://www.dhs.gov or 1-866-431-0486. In addition 
you 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/her agreement for you to access his/her records.
    Without this bulleted information CBP 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.
    In processing requests for access to information in this system, 
CBP will review not only the records in the operational system but also 
the records that were replicated on the unclassified and classified 
networks, and based on this notice provide appropriate access to the 

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

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

Record source categories:
    The system contains certain data received on individuals, 
passengers and crewmembers that arrive in, depart from, or transit 
through the United States. This system also contains information 
collected from carriers that operate vessels, vehicles, aircraft, and/
or trains that enter or exit the United States and from the individuals 
upon crossing the U.S. border.
    Basic information is obtained from individuals, the individual's 
attorney/representative, CBP officials, and other federal, state, 
local, and foreign agencies.

Exemptions claimed for the system:
    No exemption shall be asserted with respect to information 
maintained in the system that is collected from a person or submitted 
on behalf of a person, if that person, or his or her agent, seeks 
access or amendment of such information.
    This system, however, may contain information related to an ongoing 
law enforcement investigation because the information regarding a 
person's travel and border crossing was disclosed to appropriate law 
enforcement in conformance with the above routine uses. As such 
pursuant to 5 U.S.C. 552a(j)(2) and (k)(2), DHS will claim exemption 
from (c)(3); (e)(8); and (g) of the Privacy Act of 1974, as amended, as 
is necessary and appropriate to protect this information.

    Dated: February 27, 2015.
Karen L. Neuman,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2015-05804 Filed 3-12-15; 8:45 am]