DHS-Trip_SS_A_8202014

INFORMATION COLLECTION SUPPORTING STATEMENT

Department of Homeland Security

Traveler Redress Inquiry Program

1. Explain the circumstances that make the collection of information necessary. Identify any legal or administrative requirements that necessitate the collection. Attach a copy of the appropriate section of each statute and regulation mandating or authorizing the collection of information (annotate the CFR parts/sections affected).

The Department of Homeland Security Traveler Redress Inquiry Program (DHS TRIP) was developed as a voluntary program by DHS, in cooperation with the Departments of State (DOS) and Justice (DOJ), to provide a one-step portal for individuals to request redress. Persons may seek redress if they believe that they have been (1) denied or delayed boarding; (2) denied or delayed entry into or departure from the United States at a port of entry; (3) identified for additional (secondary) screening at our Nation’s transportation hubs, including airports, seaports, train stations, and land borders; or (4) otherwise been subjected to violations of their civil rights or privacy rights while boarding, entering, or being screened in connection with travel. Responsibility for the execution of DHS TRIP lies within the Office of Transportation Security Redress in the DHS Transportation Security Administration (TSA). Section 114(f) of Title 49 of the United States Code gives TSA the authority to assess threats to transportation, and in accordance with this authority TSA serves as the Executive Agent and is charged with implementation of this program. The DHS TRIP Office provides traveler redress intake and processing support, while working with relevant DHS components, the Department of State, and law enforcement and intelligence agencies to review the submissions and reach a determination about traveler status. DHS components that work with the DHS TRIP Office include, but are not limited to, the DHS Office for Civil Rights and Civil Liberties (CRCL), DHS Privacy Office (PRIV), TSA, U.S. Citizenship and Immigration Services (USCIS), U.S. Customs and Border Protection (CBP), U.S. Immigration and Customs Enforcement (ICE). DHS TRIP external program partners include the Federal Bureau of Investigation Terrorist Screening Center (TSC) along with DOS Bureau of Consular Affairs.

The collection of information includes: (1) a modification to the existing Traveler Inquiry Form (TIF) – the form that the applicant completes to begin the redress process and (2) two optional customer satisfaction questionnaires to allow the public to provide DHS with feedback on its experience using DHS TRIP. The changes to the TIF are largely cosmetic, non-substantive changes, designed to clarify and increase ease-of-use for the respondents. One questionnaire requests feedback on the public’s experience using the DHS TRIP website and is administered at the time of website use, and the other questionnaire requests feedback on the public’s experience using DHS TRIP as a whole and is administered 90 days after the respondent’s case is closed. TSA sought and received approval for a survey in a previous renewal period. However, stemming from an Office of the Inspector General recommendation, TSA created two surveys out of one to fulfill the recommendation without overburdening respondents. TSA was unable to execute these surveys, however, because there was no adequate tool for distribution and collection. TSA is conducting the customer satisfaction surveys in accordance with recommendations in the DHS Office of the Inspector General’s (OIG), Report on Effectiveness of the Department of Homeland Security Traveler Redress Inquiry Program, (hereinafter referred to as the DHS IG TRIP Report). See OIG 09-103, September 11, 2009. Recommendation #24 of the report called upon DHS TRIP to “collect and report on redress-seeker impressions of the TRIP website, different aspects of the redress experience, and their overall satisfaction with the program, with the aim of using this information to identify areas for improvement.”

2. Indicate how, by whom, and for what purpose the information is to be used. Except for new collection, indicate the actual use the agency has made of the information received from the current collection.

The DHS TRIP Office uses the information obtained in the TIF to process redress requests. DHS will use the information obtained in the customer satisfaction surveys to analyze customer satisfaction when using the redress application process and to identify ways to improve the process from the customer’s perspective. Redress applicants include persons who believe they have been (1) denied or delayed boarding, (2) denied or delayed entry into or departure from the United States at a port of entry, (3) identified for additional screening at our Nation’s transportation hubs, or (4) otherwise subjected to violations of their civil rights or privacy rights while boarding, entering, or being screened in connection with travel.

DHS will request that selected applicants for redress complete one of two customer satisfaction surveys: one following the completion of the TIF on the DHS TRIP website, or another after they have received a response letter signaling the end of the redress process. These five-question surveys request that applicants score various aspects of the redress process and the website on a 1-5 scale, where 1 is very unsatisfied and 5 is very satisfied. See Supporting Statement B for more information regarding the surveys.

3. Describe whether, and to what extent, the collection of information involves the use of automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, e.g., permitting electronic submission of responses, and the basis for the decision for adopting this means of collection. Also, describe any consideration of using information technology to reduce burden.

DHS has developed an online system to support the DHS-wide redress program called DHS TRIP. In compliance with the Government Paperwork Elimination Act (GPEA), individuals can download the TIF on the DHS TRIP website at https://trip.dhs.gov/. Under this program, individuals can complete the TIF online, but are required to submit government-issued travel documents via email or mail. Individuals who are U.S. citizens can submit a legible copy of an unexpired U.S. passport. If the individual does not have a U.S. passport, he/she can provide at least one legible copy of an unexpired government-issued, photograph-bearing identification document. For individuals under the age of 18, a copy of either a certified birth certificate or a passport is the only identification document required. For persons who do not possess a U.S. passport or who are non-U.S. citizens, they may submit a copy of the following: passport; passport card; driver’s license; government identification card (Federal/state/local/tribal number); birth certificate (only for individuals under the age of 18); military identification card; certificate of citizenship; naturalization certificate; immigrant/non-immigrant visa; alien registration card; petition or claim receipt; I-94 admission form; FAST Card; SENTRI Card; NEXUS Card; or Border Crossing Card.

In addition to submitting a completed TIF online, an individual may print the TIF and submit the completed form, along with a copy of at least one unexpired, government-issued, photograph-bearing identification document, via mail or email. All new redress requestors are directed to the DHS TRIP website, which is intended to be the primary point of contact with individuals who feel they have been (1) denied or delayed boarding, (2) denied or delayed entry into or departure from the United States at a port of entry, (3) identified for additional screening at our Nation’s transportation hubs, including airports, seaports, and land borders, or (4) otherwise subjected to violations of their civil rights or privacy rights while boarding, entering, or being screened in connection with travel. Based on current trends, DHS expects that approximately 80 percent of travelers seeking redress will submit their initial requests electronically, with 70 percent of these redress seekers submitting identifying documents by email, and 20 percent submitting the documents by regular mail. For individuals with limited access to computers or the Internet, the TIF form is available by mail by contacting the TSA Contact Center, which forwards the request for the form to the DHS TRIP Program Office for mailing.

The customer satisfaction survey will be accessed and completed through the DHS TRIP website following completion of the TIF. For others, the survey will be sent by mail with the instructions to complete only that portion applicable to the traveler’s experience.

4. Describe efforts to identify duplication. Show specifically why any similar information already available cannot be used or modified for use for the purpose(s) described in Item 2 above.

There is no similar information available within DHS that can be used or modified for this program. This information is collected on a one-time basis from individuals requesting redress. Existing information within the possession of DHS does not address these questions.

5. Describe any special impact on small businesses.

This collection does not have a significant impact on a significant number of small businesses.

6. Describe the consequences to Federal program or policy activities if the collection is not conducted or is conducted less frequently, as well as any technical or legal obstacles to reducing burden.

If DHS were not to conduct the information collection via the TIF, it would not be able to provide an accelerated and effective redress process for individuals who believe they have been incorrectly delayed or denied boarding as a result of the passenger screening process. If DHS were not to conduct the information collection via the two surveys, it would prevent us from having a direct feedback loop, which would otherwise allow us to make specific, customer-driven process improvements. Furthermore, if customers were not surveyed to determine the ease of the redress application process and whether the redress process met their expectations, DHS would be unable to ascertain whether modifications to DHS TRIP support the DHS objective of enhancing quality customer service. By administering customer satisfaction surveys, DHS will be better prepared to make meaningful and substantive modifications to DHS TRIP to effectuate this objective, consistent with Recommendation #24 from the DHS IG TRIP Report. That report called upon DHS TRIP to “collect and report on redress-seeker impressions of the TRIP website, different aspects of the redress experience, and their overall satisfaction with the program, with the aim of using this information to identify areas for improvement.”

7. Explain any special circumstances that require the collection to be conducted in a manner inconsistent with the general information collection guidelines in 5 CFR 1320.5(d)(2).

This collection is conducted in a manner consistent with the general information collection guidelines.

8. Describe the efforts to consult persons outside the agency to obtain their views on the availability of data, frequency of collection, the clarity of instructions and recordkeeping, disclosure, or reporting format (if any), and on the data elements to be recorded, disclosed, or reported. If applicable, provide a copy and identify the date and page number of publication in the Federal Register of the agency’s notice, required by 5 CFR 1320.8(d) soliciting comments on the information collection prior to submission to OMB. Summarize public comments received in response to that notice and describe actions taken by the agency in response to those comments. Specifically address comments received on cost and hour burden.

To implement DHS TRIP, an advisory board was established with representation from DHS Office of Policy (PLCY), CRCL, TSA, CBP, USCIS, ICE, PRIV, DOS, Department of Commerce, and TSC. Additionally, a working group was established with representatives from the agencies above to make improvements to the underlying system and to identify necessary information that needs to be collected to conduct an effective redress program. Former DHS Secretary Michael Chertoff designated TSA as the “Executive Agent” for DHS TRIP.

TSA, on behalf of DHS, published a 60-day notice in the Federal Register on September 3, 2013, 78 FR 54266, and a 30-day notice on February 18, 2014, 79 FR 9252, as required by 5 C.F.R. § 1320.8(d) and received no comments. Additionally, the DHS IG TRIP Report recommended (in Recommendation #24) that DHS collect additional data to document, report, and take steps to improve redress-seekers’ impressions of the DHS TRIP website, different aspects of the redress experience, and overall satisfaction with DHS TRIP. TSA has created two surveys, referenced in Question 1, to garner this information.

9. Explain any decision to provide any payment or gift to respondents, other than remuneration of contractors or grantees.

No payment or gift is provided to respondents.

10. Describe any assurance of confidentiality provided to respondents and the basis for the assurance in statute, regulation, or agency policy.

No specific assurances of confidentiality are provided to individuals. Information contained in the redress request is provided by applicant. Information provided by individuals will be protected from disclosure to the extent appropriate under applicable provisions of the Freedom of Information Act, the Privacy Act of 1974, and, as applicable, 49 U.S.C. 114(s), as implemented by 49 C.F.R. part 1520, which limits the disclosure of Sensitive Security Information. Data is collected and transmitted in accordance with the Privacy Act. Individuals are advised of these statutory protections at the time of the submission of the application for redress. DHS TRIP’s Privacy Act statement is available at http://www.dhs.gov/xlibrary/assets/privacy/privacy_pia_dhstrip.pdf. Its System of Records Notice is at http://www.gpo.gov/fdsys/pkg/FR-2007-01-18/html/07-190.htm.

11. Provide additional justification for any questions of sensitive nature, such as sexual behavior and attitudes, religious beliefs, and other matters that are commonly considered private.

This collection does not include any questions of a sensitive nature.

12. Provide estimates of hour burden of the collection of information.

Based on current contact volumes, DHS will receive approximately 15,000 redress requests per year. The annual response population was derived from data compiled from all participating DHS components and other government agencies (TSA, CBP, ICE, CRCL, PRIV, TSC, and DOS).

Travelers seeking redress must complete and submit the TIF, under penalty of perjury, either electronically, via mail, or via web portal to DHS TRIP along with a copy of their U.S. Passport or at least one unexpired government-issued, photograph-bearing identification document. DHS estimates that gathering the information and completing and submitting the form and copies of other documents will take approximately 5 minutes. DHS estimates that completing the online customer satisfaction survey will take approximately 5 minutes. DHS estimates that completing the other survey administered 90 days after the respondent’s case is closed will take approximately 5 minutes. DHS estimates a survey response rate of less than 10 percent. Thus, the total estimated annual number of burden hours based on 15,000 passengers seeking redress is 15,000, calculated as demonstrated in the table below:

Redress Applicants (TIF)	Time per Response	Total Annual hours
15,000	5 minutes	1,250 hours

Survey Respondents	Time per Response	Total Annual hours
1,500	5 minutes	125 hours
1,500	5 minutes	125 Hours

There are two surveys: an initial survey when an applicant applies for redress online, and another survey 90 days after case closure.

13. Provide an estimate of the total annual cost burden to respondents or record keepers resulting from the collection of information.

DHS estimates the total annual cost burden for travelers applying to DHS TRIP to be approximately $3,375. The costs to passengers will involve costs associated with mailing the TIF and identity documentation. Because DHS TRIP enables customers to submit identity documents via email, standard mail, or web portal, not all respondents will bear the cost of mailing documentation. TSA estimates the cost to mail the documentation is $.75 via regular mail. Based on the current volume of forms received by TSA, it is assumed that 20 percent of applications to DHS TRIP will be sent via standard mail, 40 percent will be sent via email, and 40 percent will be submitted via the website. The estimated annual burden for mailing the submission is $2,250 calculated as follows: 15,000 applicants x .2 x $.75 = $2,250.

Applications sent through the website must be accompanied with a signed Traveler Inquiry Form acknowledgement page, along with identifying documentation. TSA expects that the population of respondents who submit online will exhibit different behavior than the general population and will provide the additional documentation via web portal 70 percent of the time, via mail 10 percent of the time, and via email 20 percent of the time. The online applicants’ costs are calculated as follows: 15,000 applicants x (.1) x $.75 = $ 1,125.

Mail Application Costs	Web Site Application Costs	Total Cost
$2,250	$1,125	$3,375

14. Provide estimates of annualized cost to the Federal Government. Also, provide a description of the method used to estimate cost, and account for other expenses that would not have been incurred without this collection of information.

DHS TRIP expenses for Fiscal Years 2014-16 are projected to be $3,000,000 for the three-year period.

Cost Component	Amount
RMS System Upgrades	$3M
Total	$1.51M

* New Case Management System

Recurring Annualized expenses.

15. Explain the reasons for any program changes or adjustments reported in Items 13 or 14 of the OMB Form 83-I.

There is an increase in burden for selected respondents due to the addition of the surveys as noted in the responses to questions 1-3. Also, based on current trends, DHS expects that approximately 80 percent of travelers seeking redress will submit their initial requests electronically, with 70 percent of these redress seekers submitting identifying documents by email, and 20 percent submitting the documents by regular mail. This is a change from the estimated percentage of 27 submitted in the prior ICR. See ICR No. 201401-1652-003.

16. For collections of information whose results will be published, outline plans for tabulation and publication. Address any complex analytical techniques that will be used. Provide the time schedule for the entire project, including beginning and ending dates of the collection of information, completion of report, publication dates, and other actions.

The results of the proposed collection will not be published.

17. If seeking approval to not display the expiration date for OMB approval of the information collection, explain the reasons that display would be inappropriate.

DHS will display the OMB number and expiration date for OMB approval.

18. Explain each exception to the certification statement identified in Item 19, “Certification for Paperwork Reduction Act Submissions,” of OMB Form 83-I.

No exceptions are claimed.