DHS/CBP/PIA-057 Electronic Secured Adjudication Forms Environment (e-SAFE)

Privacy Impact Assessment
for the

U. S. Customs and Border Protection
Electronic Secured Adjudication Forms
Environment (e-SAFE)
DHS/CBP/PIA-057
March 12, 2019
Contact Point
Keri Brady
Admissibility Review Office
Office of Field Operations
(571) 468-1816
Reviewing Official
Jonathan R. Cantor
Acting Chief Privacy Officer
Department of Homeland Security
(202) 343-1717

Privacy Impact Assessment
DHS/CBP/PIA-057 e-SAFE
Page 1

Abstract
U.S. Customs and Border Protection (CBP) is tasked with determining the admissibility of
all individuals seeking admission into the United States. For non-immigrants seeking admission
into the United States, CBP is automating the collection of information from visa-exempt citizens
of Canada, Palau, Federated States of Micronesia, and the Republic of the Marshall Islands who
are eligible to apply for temporary and permanent waivers of inadmissibility through the creation
of the Electronic Secured Adjudication Forms Environment (e-SAFE). CBP is conducting this
Privacy Impact Assessment (PIA) because waiver applicants will now be able to submit
information electronically as part of the waiver application process, and because CBP collects,
maintains, and disseminates personally identifiable information to vet inadmissible nonimmigrants applying for a waiver.

Overview
U.S. Customs and Border Protection (CBP) is tasked with safeguarding America’s borders,
while enhancing the Nation’s global economic competitiveness by enabling legitimate trade and
travel. To facilitate lawful travel, CBP ensures lawful entry of all travelers seeking admission to
the United States. All persons arriving at a port of entry (POE) to the United States are subject to
inspection by CBP officers. Upon arrival, CBP officers will process all travelers in accordance
with applicable laws.1 Aliens seeking to lawfully enter into the United States must establish their
admissibility to the satisfaction of the CBP officer.
Admissibility is determined by the CBP officer at a U.S. POE in accordance with
applicable immigration laws. The Immigration and Nationality Act sets forth grounds for
inadmissibility.2 The general categories of inadmissibility include health, criminal activity,
national security, public charge, lack of labor certification (if required), fraud or misrepresentation,
prior removals, unlawful presence in the United States, and several miscellaneous categories. For
certain grounds of inadmissibility, it may be possible for a person to obtain a waiver of that
inadmissibility. In some cases, exceptions are written into the law and no waiver is required to
overcome the inadmissibility because the inadmissibility does not apply if the individual meets the
exception. Examples include exceptions for aliens who have been battered, abused or subjected to
extreme cruelty, who are victims of severe forms of trafficking, and who are minors.
However, most individuals who are seeking admission as non-immigrants, but are
inadmissible, can file a request for a waiver of inadmissibility. Many travelers seeking admission
as non-immigrants will apply for waivers as part of the visa issuance process. Visa-exempt citizen
of Canada, Palau, Federated States of Micronesia, and the Republic of the Marshall Islands who
1

Additional information regarding the inspection process is located in the Code of Federal Regulations, see, e.g. 8
CFR 235 Inspection of Persons Applying for Admission.
2
Grounds of inadmissibility are found in the Immigration and Nationality Act (INA) § 212(a).

Privacy Impact Assessment
DHS/CBP/PIA-057 e-SAFE
Page 2

are ineligible to enter the United States due to a ground of inadmissibility must apply for a waiver
of ineligibility to CBP’s Admissibility Review Office (ARO).
The ARO is CBP’s centralized office to render decisions regarding the adjudication of
waivers for previously inadmissible, visa-exempt citizens of Canada, Palau, Federated States of
Micronesia, and the Republic of the Marshall Islands who complete Form I-192, Form I-212, and
Form I-824:


Form I-192 Application for Advance Permission to Enter as Nonimmigrant,3 is
submitted at ports of entry by inadmissible nonimmigrant aliens already in possession
of appropriate documents.4



Form I-212 Application for Permission to Reapply for Admission into the United States
after Deportation or Removal, is for a particular inadmissible immigrant and
nonimmigrant population that is seeking permission to reapply for admission into the
United States (also known as “consent to reapply”)5 after he or she has been excluded,
deported, or removed from the United States6 or had been unlawfully present in the
United States for an aggregate period of more than one year, and subsequently entered
or attempted to reenter the United States without being admitted.



Form I-8247 Application for Action on an Approved Application or Petition is used to
request a duplicate approval on an approved application or petition for Forms I-192 and
I-212, in cases where an applicant has lost a copy of their original waiver.

Ninety-seven to ninety-eight percent (97%-98%) of nonimmigrants who submit these forms are
Canadian citizens. The remaining two to three percent of nonimmigrants who submit these forms
are from Palau, Federated States of Micronesia, and the Republic of the Marshall Islands.
CBP intends to begin the e-SAFE as a pilot program in mid-2019. Electronic applications
will be able to be submitted only at e-SAFE designated POEs and preclearance locations which
initially will be Buffalo, NY; Toronto International Airport Preclearance, Toronto, Canada; and
Blaine, Washington. Applicants who are applying at these locations will be able to use e-SAFE
during the pilot period. Expansion of the availability of electronic filing via e-SAFE to all waiverprocessing POEs and preclearance locations in Canada is expected to begin after successful
3

The form I-192 is owned by U.S. Citizenship and Immigration Services (USCIS) and available electronically at
www.uscis.gov. This form may also be used to apply for T nonimmigrant status and for U nonimmigrants status;
however, CBP does not adjudicate T and U nonimmigrant status. T and U nonimmigrant statuses are adjudicated by
USCIS.
4
CBP can grant discretionary relief pursuant to § 212(d)(3)(A) of the INA.
5
Per Section 212(a)(9) of the INA.
6
Pursuant to section 212 (a)(9) as stipulated in 8 CFR section 212.2 or 212(d)(3)(A).
7
Application for Action on an Approved Application or Petition, which allows an applicant to obtain a copy of the
decision of their Form I-192 or I-212 application if they become lost/stolen or damaged.

Privacy Impact Assessment
DHS/CBP/PIA-057 e-SAFE
Page 3

completion of the pilot. e-SAFE pilot POEs will continue to accept paper applications. Applicants
who opt for electronic filing during the pilot or at a POE where e-SAFE is available will need to
go to an e-SAFE-enabled POE for processing.
Current Paper Process
A visa-exempt individual from Canada, Palau, Federated States of Micronesia, and the
Republic of the Marshall Islands who apply for admission at a CBP POE and is deemed
inadmissible may apply for a waiver of inadmissibility. Currently, an individual seeking a waiver
of inadmissibility must download Forms I-192 or I-212 from the USCIS or CBP websites and
manually complete the forms. The applicant must print the completed form, and physically provide
the form in-person, as well as some or all of the following additional information, to a CBP officer
at a POE for review:
1. Evidence of Citizenship;
2. Completed, signed Forms I-192 or I-212;
3. A properly executed Form G-28, Notice of Entry of Appearance as Attorney or Accredited
Representative, if applicant has retained an attorney or an accredited representative for this
specific application;
4. Form G-325A8 completed and signed;
5. A copy of any criminal record or an official letter from the court of jurisdiction stating the
reason why a copy of the record is not available;
6. A verified criminal record or evidence of the lack thereof (typically from the Royal
Canadian Mounted Police (RCMP)) dated and properly endorsed within 15 months of
submission of an application.
7. A statement in applicant’s own words, signed by the applicant, explaining the
circumstances of each arrest, conviction, and sentence or fine imposed. In addition, the
applicant may submit any evidence or explanation of reformation of character or
rehabilitation such as counseling or rehabilitation programs completed, current
employment, marital status, community service, etc., or any other information he or she
believe will strengthen his or her request;
8. If the applicant is inadmissible for one of the health-related grounds identified in the INA,
e.g., drug user or addict, he or she must provide evidence of treatment/rehabilitation. Such
evidence shall include, but may not be limited to, the following: a recent drug test; credible,
verifiable evidence related to rehabilitative history; statement from the applicant making
8

Form G-325A is a supplemental form that USCIS is retiring and it will no longer be needed with the new revised
Form I-192 in the new process.

Privacy Impact Assessment
DHS/CBP/PIA-057 e-SAFE
Page 4

clear his or her commitment to refrain from unlawful use of controlled substances, credible,
verifiable evidence outlining subject’s program for substitution therapy/treatment and/or
continued care relative to his or her drug use/addiction if allowed to enter the United States;
and
9. If the applicant has been found inadmissible under section 212(a)(9)(B) of the INA
(unlawfully present in the United States) he or she must submit detailed information
regarding:
a. Current foreign employment;
b. Previous U.S. employment;
c. Family members presently living in the United States;
d. Past and current United States and/or foreign business investments; and
e. All ties he or she has to present foreign country/residence.
Under the current process, applicants submit the above information in-person to a CBP
officer at the POE where they are fingerprinted. The CBP officer verifies that all documents have
been provided and properly filled out. If information is missing, the applicant is required to provide
the missing or additionally needed information to submit a completed application at the POE. The
CBP officer then collects the application filing fee and either captures the applicant’s fingerprints
electronically or on a fingerprint card. CBP officers at the POE bundle the applications and ship
the physical documents and forms to the ARO for adjudication.
Adjudicators at ARO manually input limited biographic information from the waiver
applications into the Targeting Framework (TF), a module in the Automated Targeting System
(ATS).9 The ARO uses ATS/TF as a case management system and only inputs information needed
to identify and manage the adjudication process including applicant name, date of birth, mailing
address, Alien Number, date of application, and date of receipt by ARO.
The ARO adjudicator reviews the application and adjudicates it, if possible. If the
application is not complete or ARO needs additional information, ARO sends a request to the alien
on Form I-72 (Request for Evidence) for additional informational needed to adjudicate the
application. The applicant has 87 days from the issuance date of the I-72 to provide the requested
information to the ARO. When all information is present, ARO adjudicates the case and renders a
decision. The decision (approval/denial) is mailed to the applicant address of record. Approval

9

See DHS/CBP/PIA-006 Customs and Border Protection Automated Targeting System (ATS) PIA (August 3,
2007), and subsequent updates, available at www.dhs.gov/privacy.

Privacy Impact Assessment
DHS/CBP/PIA-057 e-SAFE
Page 5

letters are shown to CBP officers when the applicant is crossing the border, as evidence of
approved waivers.10
e-SAFE
To streamline waiver processing and reduce the administrative burden on CBP officers at
the POE, CBP has developed e-SAFE to allow visa-exempt individual who would normally apply
for a waiver in paper at the POE to apply for a waiver of inadmissibility online (www.esafe.cbp.dhs.gov). Applicants will still be allowed to submit a paper application at the POE if they
do not wish to use the online e-SAFE application, consistent with current regulations. CBP is using
e-SAFE to automate the collection, vetting, adjudication, and dissemination of waiver requests and
information provided on waiver applications. e-SAFE is a commercial-off-the-shelf product
provided by Salesforce and customized to meet CBP needs. e-SAFE is available via a publicfacing website and collects the same biographic information currently collected from the paper
forms.
e-SAFE Pilot Launch
CBP intends to begin e-SAFE as a pilot program in mid-2019. Electronic applications will
only be able to be processed at POEs and preclearance locations in Buffalo, NY; Toronto
International Airport Preclearance, Toronto, Canada; and Blaine, Washington. Applicants that
indicate they will be applying at these locations will be encouraged to use e-SAFE during the pilot
period. Expansion of electronic filing via e-SAFE to all waiver-processing POEs and preclearance
locations in Canada is expected to begin after successful completion of the pilot.
e-SAFE Identity Verification and Secure Login at LOGIN.CBP.GOV
e-SAFE will rely on LOGIN.CBP.GOV11 and identity authentication process authenticate
applicants who seek to apply for a waiver. LOGIN.CBP.GOV verifies the authenticity of users
looking to access the e-SAFE to apply for waiver of inadmissibility by using a User ID or email
address for account creation. LOGIN.CBP.GOV account creation collects biographic and contact
information and uses two-factor authentication, sending a temporary, single-use security code to a
phone via voice or text to allow a user to log-in. LOGIN.CBP.GOV subsequently shares the user’s
phone number and email address with the overall e-SAFE system.
LOGIN.CBP.GOV account login access will collect the following information from
applicants in order to create a user profile:

10

In the event that ARO grants a waiver, applicants receive an approved Form I-194 for the I-192 applications or a
Form I-272 for the I-212 applications, which they can present to a CBP officer at a POE. CBP officers can manually
verify the waiver within CBP systems.
11
LOGIN.CBP.GOV is not the same as the General Services Administration www.login.gov; rather, it is user
authentication functionality through the Salesforce platform.

Privacy Impact Assessment
DHS/CBP/PIA-057 e-SAFE
Page 6



E-mail address (also serves as User ID);



Password; and



Phone number (for two-factor authentication).

Inadmissible visa-exempt individuals who would normally apply for a waiver in paper at the POE
seeking to apply through e-SAFE must create an account by first entering their e-mail address,
which will become the applicant’s User ID. LOGIN.CBP.GOV automatically sends a link to that
applicant’s email account, who then must follow the link to verify that the email address is correct.
The applicant is then prompted to create a password and enter a phone number. Once entered,
LOGIN.CBP.GOV sends a security code via text or voice call to the applicant’s phone. The
applicant then enters the security code into LOGIN.CBP.GOV to verify his or her identity. After
the applicant’s identity is verified, LOGIN.CBP.GOV sends an email with a 16-character personal
key, which will allow the applicant to verify the account in case of a lost phone or forgotten
password.
After successfully logging into e-SAFE, the applicant may complete the necessary Forms
(I-192, I-212, or I-824) for which he or she is applying and upload the required documentation
needed for adjudication.
e-SAFE Application Processing
Applicants who seek to apply for a waiver after creating an e-SAFE account will login and
choose the forms (I-192, I-212, or I-824) they want to fill out. e-SAFE will list step-by-step
instructions for each section of the form and walk the applicant through the steps to help
the applicant avoids missteps and fill out the form correctly. e-SAFE will ensure that
correct supporting documents are uploaded and will not allow the applicant to move from
one section to the next until the section is completed and the appropriate supporting
documents are provided. e-SAFE will also provide a visual map on the application so the
applicant knows the sections that are completed and what is left to be completed. After
completing the application and uploading all required supporting documents, the applicant will
pay the required fee and tentatively choose the POE where he or she intends to complete the
biometric portion of the application.
The required documentation remains the same whether submitting a waiver via e-SAFE or
through the paper process; however, e-SAFE has system-level data accuracy checks to ensure that
all needed documents are uploaded and that dates are valid to ensure the application is complete
before electronic submission and payment. e-SAFE will issue the applicant a unique application
identification number that the applicant can print and bring to the POE when he or she reports to
the POE for biometric capture and document validation. CBP officers at the POE will continue to
review documents to ensure they are originals and are not altered or counterfeit. All documentation

Privacy Impact Assessment
DHS/CBP/PIA-057 e-SAFE
Page 7

will be stored in the Unified Passenger Module (UPAX), a module of the Automated Targeting
System (ATS)12 for adjudication by the ARO. Biometrics will be stored in CBP’s secondary
processing application and then sent to the Automated Biometric Identification System (IDENT).13
As with the paper process, the automated application may be completed by the applicant
or by a third party such as a friend, relative, travel industry professional, or an immigration
attorney. Attorneys or accredited representatives must submit a G-28 when filing an application
on behalf on a client. However, the applicant must sign the form online before submission.
Additionally, the applicant is responsible for the application and supporting documentation that is
submitted on his or her behalf. When a waiver applicant has filed, paid, and submitted the
application online, the applicant will receive an electronic receipt acknowledging proof of payment
of the application and informing the applicant that he or she has 45 days to report to a POE to
provide biometrics (fingerprint) to complete the application. If CBP needs additional information
to process an application, CBP will electronically send a Request for Evidence (I-72) to the
applicant’s account where the applicant will receive an email to check his or her e-SAFE account
due to a change in his or her application status.
Pay.gov
After completing the application, e-SAFE will redirect the applicant to the Department of
Treasury’s Pay.gov14 to pay the application-processing fee. As an e-SAFE interface Pay.gov will
electronically update e-SAFE when a payment is made and will generate a receipt that the applicant
can print as proof of payment. Once the applicant has paid and submitted the application, the
applicant is no longer able to make changes to the application, except to change his or her address,
e-mail, and telephone number or to respond to a request from CBP for additional information to
process the application.
Biometric Capture and Adjudication
Once the fee is paid, e-SAFE will direct the applicant to a list of CBP POEs (and
preclearance locations, when applicable) where the applicant needs to report to provide his or her
biometrics required to complete the waiver application. At the POE, a CBP officer will take the
applicant’s biometrics and will electronically submit the application to the ARO for adjudication.

12

See DHS/CBP/PIA-006 Customs and Border Protection Automated Targeting System (ATS) PIA (August 3,
2007), and subsequent updates, available at www.dhs.gov/privacy.
13
See DHS/NPPD/PIA-002 Automated Biometric Identification System (IDENT) (December 7, 2012), and
associated appendices, available at www.dhs.gov/privacy.
14
See Treasury Financial Management Service Pay.gov available at
http://www.fiscal.treasury.gov/fsreports/rpt/fspia/fs_pia.htm.

Privacy Impact Assessment
DHS/CBP/PIA-057 e-SAFE
Page 8

At the POE, CBP officers use the e3 Biometrics Module15 to collect the ten-print
fingerprints for enrollment in IDENT.16 CBP uses IDENT as the central DHS-wide system for the
storage and processing of biometric data. IDENT stores and processes biometric data and links
biometrics with biographic information to establish and verify identities. Applicant biometrics are
transferred to IDENT to create an encounter that generates a unique encounter identification (EID)
number. A unique Fingerprint Identification Number is assigned to that individual’s fingerprints
and is used to group all the encounters that biometrically matched to the individual. DHS and the
Federal Bureau of Investigation have established interoperability between IDENT and the
Automated Fingerprint Identification System (IAFIS) / Next Generation Identification (NGI)
fingerprint databases.17 Biometrics captured for e-SAFE applications processing will reside in
IDENT consistent with the records retention for all passport control inspections.
Continuous Vetting and Targeting
Information collected through e-SAFE, including incomplete and not submitted
applications, will be used by CBP for vetting and targeting purposes. As with in-person
applications for waivers, CBP treats incomplete and not submitted applications as passport control
inspections. ARO will use UPAX, a module of ATS, to vet applicants for security concerns and
admissibility. UPAX allows ARO to vet applicant traveler information against other information
available in ATS and apply risk-based rules developed from CBP officer experience, analysis of
trends of suspicious activity, and raw intelligence from DHS and other Government agencies.
Specifically, the UPAX functionality unifies multiple possible match results from multiple source
systems; reduces record duplication and streamlines the review process; standardizes the backend
components under the CBP Target Technical Architecture to ensure consistency and improve
maintainability and reusability; standardizes the entity resolution algorithms across all match
results, providing improved consistency and maintainability as algorithm improvements are made
and applied across the system; consolidates the front-end risk assessment components of legacy
15

See DHS/CBP/PIA-012 CBP EID/IDENT Portal (e3) (July 25, 2012), available at www.dhs.gov/privacy. The e3
Biometric Module provides the interface to IDENT. The Biometrics Module allows CBP officers to uniquely
identify or verify the identity of the individuals they encounter by capturing the apprehended individual’s
photograph and fingerprints and transmitting them in real-time to IDENT. IDENT searches for possible matches
among the repository of fingerprint images in the database. Query results are returned to the e3 Biometric Module.
IDENT either matches the fingerprint image to a previously encountered individual’s scanned fingerprint or enrolls
the fingerprint image in its database by assigning a Fingerprint Identification Number (FIN) since the individual had
no biometric records stored in any of the databases. IDENT is the sole repository for the fingerprint image, but the
FIN is sent back to the e3 Biometric Module along with any biographic information associated with that fingerprint.
The CBP Officer would then compare the query results with the previous encounter records, and look at recidivism
to determine if the subject meets a threshold set for a particular enforcement action.
16
See DHS/NPPD/PIA-002 Automated Biometric Identification System (IDENT) (December 7, 2012), and
associated appendices, available at https://www.dhs.gov/publication/dhsnppdpia-002-automated-biometricidentification-system.
17
See Department of Justice, Federal Bureau of Investigation Privacy Impact Assessments available at
https://www.fbi.gov/services/information-management/foipa/privacy-impact-assessments.

Privacy Impact Assessment
DHS/CBP/PIA-057 e-SAFE
Page 9

ATS-Passenger module with the case management capabilities of the ATS-Targeting Framework
(ATS-TF) under one user interface; and consolidates the query results across multiple source
systems into an integrated view, including ATS-TF18 that eliminates the need for analysts to log
into separate systems as they conduct their research.
In addition to making an adjudication determination, CBP will use applicant information
for targeting purposes to gain insights on applicant populations and potentially make unknown
connections. CBP will store applicant information for vetting for the initial waiver application and
will continuously vet applicant information as long as the waiver is valid and the applicant was
admitted to the United States for six months before the expiry date of the waiver. CBP uses ATS
to recurrently vet the information against various CBP holdings, including customs, immigration,
and terrorism-related information. In the event the application information is linked to active law
enforcement lookout records, enforcement activities, or investigations or cases, in which case that
data is maintained by CBP in ATS consistent with the ATS retention schedule as reflected in the
ATS System of Records Notice (SORN)19 (i.e., for the life of the law enforcement matter to support
that activity and other enforcement activities that may become related).
Application Adjudication
When CBP makes a decision about a submitted application, e-SAFE will generate an email
to the applicant prompting the applicant to login into his or her e-SAFE account to check his or
her application status. Applicants will also receive an email if their section 212(d)(3)(A) waiver is
revoked for any reason.

Section 1.0 Authorities and Other Requirements
1.1

What specific legal authorities and/or agreements permit and
define the collection of information by the project in question?

CBP is establishing e-SAFE under the authority granted INA §§ 212(d)(3)(A)(ii),
212(a)(9)(A) or (C) and title 8 of the Code of Federal Regulations (CFR), section 212.4. The
212(d)(3)(A) waiver allows inadmissible visa exempt nonimmigrants from Canada, Palau,
Federated States of Micronesia, and the Republic of the Marshall Islands to apply for advance
permission to temporarily enter the United States.
CBP has the discretionary authority to temporarily or permanently waive certain grounds
of inadmissibility.20 INA sections 212(a)(9)(A) or (C) and 8 CFR 212.2 prescribed relief for
18

ATS-TF continues to exist as a separate module/sub-system within ATS, but UPAX provides the ability to create
and manage TF events via the UPAX interface, which can be opened through the ATS-TF application.
19
See DHS/CBP-006 Automated Targeting System (May 22, 2012) 77 FR 30297, available at
www.dhs.gov/system-records-notices-sorns.
20
CBP/ARO delegation of waiver authority is found in paragraph II.B.5 in DHS Delegation Order Number: 7010.3,
issued on May 11, 2006.

Privacy Impact Assessment
DHS/CBP/PIA-057 e-SAFE
Page 10

eligible aliens who have been deported from the United States and need to apply for permission to
reapply “consent to reapply” to reenter the United States. Section 103 of the INA and 8 CFR 2.1
authorize the Secretary of the Department of Homeland Security (DHS) to administer and enforce
the INA and other laws relating to the immigration and naturalization of aliens, and to establish
such authority as he or she deems necessary for carrying out his/her authority. Various provisions
of the INA and corresponding regulations place limits on the conditions of aliens’ entry. See, e.g.,
INA §§ 215(a), 235; 8 CFR 235.1.

1.2

What Privacy Act System of Records Notice(s) (SORN(s)) apply to
the information?

DHS/USCIS/CBP/ICE-001 Alien File, Index, and National File Tracking System of
Records, which covers the collection, use, and storage of the Form I-192, Form I-212, Form I-824
and supplemental documents stored in an individual applicants’ A-File. The A-Files contain
official record material about each individual for whom DHS has created a record under the INA
such as: Naturalization certificates; various documents and attachments (e.g., birth and marriage
certificates); applications, petitions, and requests for immigration determinations or agency action
under the immigration and nationality laws; reports of arrests and investigations; statements; other
reports; records of proceedings before or filings made with the U.S. immigration courts and any
administrative or federal district court or court of appeal.21
SORN coverage is provided by the DHS/CBP-011 TECS, which allows for the collection
of information to determine the admissibility of individuals into the United States.22
Additional SORN coverage is provided by DHS/CBP-006 Automated Targeting System,
which contains information on vetting admissibility and on admissibility determinations.23

1.3

Has a system security plan been completed for the information
system(s) supporting the project?

Yes. CBP developed e-SAFE using the Salesforce platform. e-SAFE is part of the CBP
deployment of Salesforce, known as the Customer Relationship Management Tool (C2RMT),
which received its Authorization to Operate on March 7, 2018. C2RMT/Salesforce will host and
deliver information technology applications that meet e-SAFE needs. Salesforce will be used as a
Platform as a Service (PaaS) and as a Software as a Service (SaaS). Salesforce has an approved

21

See DHS/USCIS/ICE/CBP-001 Alien File, Index, and National File Tracking System of Records, (September 18,
2017) 82 FR 43556, www.dhs.gov/system-records-notices-sorns.
22
See DHS/CBP-011 U.S. Customs and Border Protection TECS (December 19, 2008) 73 FR 77778, available at
www.dhs.gov/system-records-notices-sorns.
23
See DHS/CBP-006 Automated Targeting System (May 22, 2012) 77 FR 30297, available at
www.dhs.gov/system-records-notices-sorns.

Privacy Impact Assessment
DHS/CBP/PIA-057 e-SAFE
Page 11

Federal Risk and Authorization Management Program (FedRAMP) and is authorized on the CBP
Technical Reference Model (TRM).
As a CBP IT application, e-SAFE will be optimized for use on tablets and mobile devices
to improve the user experience.

1.4

Does a records retention schedule approved by the National
Archives and Records Administration (NARA) exist?

No. ARO staff is working with the CBP Records Office to establish a NARA record and
retention schedule for e-SAFE. CBP proposes the following schedule that applies to records
replicated on the unclassified and classified networks:
CBP will retain information submitted as part of the e-SAFE website for 5 years after the
CBP Admissibility Review Office (ARO) has rendered the final decision, which matches the 5
year maximum validity period of an approved waiver. 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 17-year retention period (generally 5 years active, 12 years archived) to active law
enforcement lookout records will be matched by CBP to enforcement activities, investigations, or
cases, including e-SAFE applications. This retention schedule also applies to incomplete and not
submitted applications, for which the retention period begins after the last account activity.
Once the information is archived, the number of officials with access to it will be further
limited. Data linked to active law enforcement lookout records, CBP matches to enforcement
activities, and/or investigations or cases, including e-SAFE applications that are denied, will
remain accessible for the life of the law enforcement activities to which they are related.

1.5

If the information is covered by the Paperwork Reduction Act
(PRA), provide the OMB Control number and the agency number
for the collection. If there are multiple forms, include a list in an
appendix.

Yes. The e-SAFE program is covered by the PRA. USCIS owns the three immigration
forms that ARO uses to processes waiver requests:


Form I-192 Application for Advance Permission to Enter as a Nonimmigrant – OMB No:
1615-0017. USCIS uses this form to address inadmissibility of individuals seeking T
(Victims of Severe Forms of Trafficking in Persons) and U (Victims of Criminal Activity)
status under 8 CFR 212.16, 8 CFR 212.17, and 8 CFR 214.14, to apply for permission to
enter the United States. The form determines whether the individual should be admitted to
the United States temporarily despite the inadmissibility. For T and U applicants, if the
waiver is approved, this will allow the T or U applicant to enter the United States, or, if the

Privacy Impact Assessment
DHS/CBP/PIA-057 e-SAFE
Page 12

T or U applicant is already in the United States, allows the applicant to stay in the United
States and receive T or U nonimmigrant status. CBP uses this form to grant temporary
permission under INA section 212(d)(3)(A)(ii) and 8 CFR 212.4 to certain inadmissible
nonimmigrants who are not required to obtain a visa or are already in possession of the
appropriate documents but who wish to enter the United States through a U.S. Port-ofEntry (POE).


Form I-212 Application for Permission to Re-apply for Admission into the United States
After Deportation or Removal – OMB No. 1615-0018. An alien who is inadmissible under
section 212(a)(9)(A) or (C) of the Immigration and Nationality Act (INA) files Form I-212
to obtain “consent to reapply for admission” that is required before the alien can lawfully
return to the United States. “Consent to reapply” is also called “permission to reapply.” At
a POE, CBP uses the information provided to find derogatory information not previously
divulged or to rule out false matches and facilitate adjudication.



Form I-824 Action on an Approved Application or Petition – OMB No. 1615-0044.
Applicants use Form I-824 to file an action for the approved underlying application or
petition when the petitioner/applicant either changes his or her nonimmigrant or immigrant
status or needs a new action by USCIS or Department of State (DOS), which is different
form that originally requested. Applicants also use the form to request a duplicate approval
notice from USCIS or CBP of a petition or application previously approved.

Section 2.0 Characterization of the Information
2.1

Identify the information the project collects, uses, disseminates, or
maintains.

e-SAFE permits applicants to electronically submit the same biographic information for
inadmissibility waiver applications that CBP currently collects manually via paper applications.
All waiver applicants are required to submit the following information in e-SAFE,
consistent with the data fields published on the paper Form I-192, I-212, and I-824:


Full name;



Place of birth;



Date of birth;



Sex;



Race;



Ethnicity;

Privacy Impact Assessment
DHS/CBP/PIA-057 e-SAFE
Page 13



Address(es);



Country of residence;



E-mail address;



Photograph;



Parents’ name, date of birth, and place of birth;



Spouse’s name;



Employment history;



Occupation;



Telephone number(s) (fixed line and mobile phone);



Country of citizenship;



Alien registration number (if applicable);



Passport information;



Criminal history;



Biometric data (such as fingerprints);



Records payment information; and



Basic biographic information about an attorney or other third party that completed
application.

e-SAFE account login access will collect the following information from applicants in order to
create a user profile:


IP addresses;



E-mail address (also serves as User ID);



Password; and



Phone number (for two-factor authentication).

2.2

What are the sources of the information and how is the information
collected for the project?

e-SAFE collects information primarily from the applicant or his or her representative.
Inadmissible visa-exempt individuals who would normally apply for a waiver in paper at the POE
would apply for a waiver to enter the United States in e-SAFE by submitting their application via

Privacy Impact Assessment
DHS/CBP/PIA-057 e-SAFE
Page 14

a secure website. Applicants, or their representative, submit all application information directly.
Applicants also provide biometrics in-person at a POE.
CBP may rely on other law enforcement or national security information to determine if
discretionary relief will be granted and if additional admissibility concerns may be applicable.

2.3

Does the project use information from commercial sources or
publicly available data? If so, explain why and how this
information is used.

No. e-SAFE does not use commercial sources or publicly available data, however CBP
users may incorporate public source (e.g., Internet) information obtained for reference or
incorporation into operational and analytical reports and/or projects within UPAX.

2.4

Discuss how accuracy of the data is ensured.

The individual applicant or his or her designee/representative submits the information
directly to CBP through e-SAFE. Click-through windows and other advisory notices will be
provided during the application process for the applicants to acknowledge, read, and understand
the required information and e-SAFE privacy policy. The individual applicant is required to
certify, under penalty of perjury, that the information he or she provides through e-SAFE is
accurate. During the application process, e-SAFE will not allow the applicant to move to the final
application page before all the required information is provided. CBP officers at the POEs will
check the applicant’s information for accuracy when the applicant presents him or herself at the
POE to complete the biometric portion of the application. A CBP officer will compare the
applicant’s biographic and passport information to information submitted in e-SAFE for identity
confirmation and accuracy. Additionally, personnel in the ARO will contact the applicant if they
need any additional information or to verify information provided.

2.5

Privacy Impact Analysis: Related to Characterization of the
Information

Privacy Risk: Because applicants have limited ability to change information once
submitted, they may be unable to update application if they have additional information or more
accurate information to provide.
Mitigation: Minor changes such as updating a phone number or address can be made by
an applicant without requiring a new application. To complete minor changes, the applicant can
sign back into his or her e-SAFE account. Significant changes such as a name change, or a change
in the answers pertaining to eligibility, require a new application or an Application for Action on
an Approved Application or Petition (Form I-824). This is necessary to protect the identity and
information of the applicant by ensuring that updates are not made in e-SAFE by someone other

Privacy Impact Assessment
DHS/CBP/PIA-057 e-SAFE
Page 15

than the applicant or someone authorized to represent the applicant. A new application mitigates
the chances that unwanted and/or inaccurate changes are made by someone other than the
applicant.
Privacy Risk: There is a privacy risk that eligibility determinations about the waiver will
be based on inaccurate information.
Mitigation: This risk is mitigated in several ways; first, direct submission of the
information from the source, i.e., applicant, or authorized third parties who have permission from
the applicant is presumed to be more accurate. Next, new submissions after prior adjudicated
applications will be electronically grouped together, which means the submissions of information
by the applicant or authorized third party when the waiver expires helps ensure that the information
remains more current and therefore, more accurate. Further, if the application is denied because of
a deficiency in his or her information (e.g., failure to provide required information); the applicant
has the opportunity to correct the information or resolve the issue by filing Notice of Appeal or
Motion. The initial denial may be reversed and the applicant may receive a favorable decision if
he or she corrects the deficiency.
Privacy Risk: There is a risk that an e-SAFE applicant status may change prior to his or
her travel.
Mitigation: e-SAFE status can change at any time. However, this risk is partially mitigated
through the notification of individuals via email as soon as their status changes. CBP vets e-SAFE
applications in UPAX, a module of ATS,24 and other selected security and law enforcement
databases such as TECS.25 CBP may also vet e-SAFE applications against security and law
enforcement databases at other federal agencies to increase CBP’s ability to determine whether the
applicant poses a security risk to the United States. The results of this vetting may support CBP’s
initial assessment of whether the applicant admission to the United States poses a law enforcement
or security risk and whether there may be issues, which may require separate consideration. The
applicant must receive a final adjudicative decision regarding discretionary relief prior to seeking
entry to the United States.
The e-SAFE system will continuously query/vet application information against law
enforcement databases. In instances where CBP discovers a violation that violates the term of the
section 212(d)(3)(A) waiver, the waiver will be revoked and the individual will be notified via
email to login into e-SAFE account to check the status of their waiver.

24

See DHS/CBP/PIA-006 Customs and Border Protection Automated Targeting System (ATS) PIA, August 3,
2007, and subsequent updates, available at www.dhs.gov/privacy.
25
See DHS/CBP/PIA-009 TECS System: CBP Primary and Secondary Processing PIA, December 22, 2010,
available at www.dhs.gov/privacy.

Privacy Impact Assessment
DHS/CBP/PIA-057 e-SAFE
Page 16

Section 3.0 Uses of the Information
3.1

Describe how and why the project uses the information.

The primary use of the information collected in e-SAFE is for ARO to determine if an
applicant can be granted a waiver of inadmissibility. In order to determine if a waiver is appropriate
ARO will:
1. Use UPAX to vet and to determine whether the individual poses no risk to the security of
the United States and if the applicant’s reason for being inadmissible can be waived under
INA § 212(d)(3)(A).
2. Vet the applicant’s information against appropriate systems, such as the Terrorist
Screening Database (TSDB) biographic records, Interpol lost and stolen passport records,
and the Department of State’s lost and stolen passport records, and visa revocations, to
determine whether the applicant may require additional review.
3. Archive incomplete application (incomplete application, non-submitted application) within
the applicant’s e-SAFE “account” for internal CBP management reporting.
4. Communicate with the applicant via the e-SAFE.
5. Verify information on the e-SAFE application during biometric appointment by CBP
Officers at POEs.
The information from applications may also be used in conjunction with targeting rules
and for other national security purposes.

3.2

Does the project use technology to conduct electronic searches,
queries, or analyses in an electronic database to discover or locate
a predictive pattern or an anomaly? If so, state how DHS plans to
use such results.

No. e-SAFE does not analyze any data in the database for purposes of discovering or
locating a predictive pattern or an anomaly. e-SAFE collects IP addresses, reviews name matching
and vets the information using existing DHS IT systems. CBP will examine the application
information by vetting the applicant’s data through TECS and other appropriate systems such as
the Automated Targeting System.

3.3

Are there other components with assigned roles and responsibilities
within the system?

Online web access to e-SAFE will be available to CBP personnel only. However, the
information collected by and maintained in e-SAFE may be shared with all component agencies

Privacy Impact Assessment
DHS/CBP/PIA-057 e-SAFE
Page 17

within DHS on a need to know basis consistent with the component’s mission. The information
may also be provided to other Federal Partners. Access to e-SAFE information within CBP systems
is role-based consistent with the mission of the component and the user’s need to know in the
performance of his or her official duties.
DHS counterterrorism, law enforcement, and public security communities will be provided
with information about suspected or known violators of the law and other persons of concern
uncovered via e-SAFE in a timely manner. CBP may share the e-SAFE applicant’s PII and vetting
results with other components within DHS when there is a need to know in accordance with their
official responsibilities, including collecting law enforcement intelligence information (whether
civil or criminal) and/or investigating, prosecuting, enforcing, or implementing civil and/or
criminal laws, related rules, regulations, or orders.

3.4

Privacy Impact Analysis: Related to the Uses of Information

Privacy Risk: There is a risk that information will be accessed and misused because CBP
employees and contractors have access to applicants’ information in the e-SAFE system.
Mitigation: In order to become an authorized internal user, personnel must successfully
complete privacy training and hold a full background investigation clearance. An internal user
must also have a job-related requirement to access the specific information. Additionally, because
e-SAFE will use some aspects of the TECS IT platform, all internal users of the e-SAFE system
are required to complete and pass an annual TECS Privacy Act Awareness Course (TPAAC) to
maintain their access to the system. The TPAAC presents Privacy Act responsibilities and agency
policy with regard to the security, sharing, and safeguarding of both official and personally
identifiable information. The course also provides a number of sharing and access scenarios to test
the internal user’s understanding of appropriate controls put in place to protect privacy as they are
presented. An internal user must pass the test scenarios to retain access to TECS and affiliated
TECS IT platform and the training is regularly updated.
To further mitigate the risk of misuse of information by DHS employees and contractors
with access to e-SAFE, access to data in e-SAFE is controlled through passwords and restrictive
rules pertaining to user rights. Internal users are limited to roles that define authorized use of the
system. Management oversight is in place to ensure appropriate assignment of roles and access to
information.

Privacy Impact Assessment
DHS/CBP/PIA-057 e-SAFE
Page 18

Section 4.0 Notice
4.1

How does the project provide individuals notice prior to the
collection of information? If notice is not provided, explain why
not.

CBP will provide notice to the individual at the time of the electronic collection on the
website via a Privacy Notice. If an individual has asked a third party to enter the information, the
third party is provided the notice and is required to obtain the consent of the individual before
entering the information. A Privacy Notice will be provided to the applicants in real time during
the applicant’s use of e-SAFE. Appropriate notice regarding the data to be collected and the
requirement to attest to the accuracy of the data will be included in the information provided via
the e-SAFE website. Outreach for e-SAFE will start in early 2019, and will continue to take place
throughout CBP components and the selected POEs and preclearance pilot locations. Once
operational, CBP officers will inform inadmissible aliens of the option to submit forms
electronically through e-SAFE and information will be available on the CBP website.

4.2

What opportunities are available for individuals to consent to uses,
decline to provide information, or opt out of the project?

To apply and obtain a valid waiver of inadmissibility to enter the United States, information
requested must be provided pursuant to applicable statutes.26 An applicant who declines to provide
information necessary to complete an e-SAFE application will not be able to submit the application
until the applicant has provided the required information. The only legitimate means of declining
to provide the subject information is to choose not to apply for a waiver of inadmissibility to travel
to the United States.
Individuals do not have the right to consent to particular uses of the information.
Individuals may decide whether or not they will submit the required information in order to apply
for a waiver to travel to the United States. Once an individual submits the data for e-SAFE
purposes, he or she cannot exert control over the use of that data, aside from his or her ability to
amend specific data elements by accessing his or her account and submitting these data elements.

4.3

Privacy Impact Analysis: Related to Notice

Privacy Risk: There is a risk that individuals will not know that they can apply for a waiver
through e-SAFE.
Mitigation: Adequate notice and disclaimer information, including the consequences of
not providing requested information will be given to applicants and consent will be obtained before
26

Immigration and Nationality Act Section 212(d)(3)(A)(ii), 8 CFR 212.4.

Privacy Impact Assessment
DHS/CBP/PIA-057 e-SAFE
Page 19

any information is collected. Individuals who are unaware of the program will be notified to apply
via e-SAFE. Furthermore, CBP will establish a website and sustain an information campaign to
inform and assist travelers with the system.
Privacy Risk: There is a risk that individuals will not know that CBP retains information
from non-submitted and incomplete applications.
Mitigation: This risk is partially mitigated. CBP provides notice that CBP will retain any
information entered through e-SAFE CBP via the Privacy Notice on the e-SAFE website and this
PIA. e-SAFE has an auto-save feature which will save the application after every section before
moving on to the next section. Therefore, e-SAFE will retain any information entered as part of all
applications, including incomplete, abandoned, or unpaid applications.

Section 5.0 Data Retention by the project
5.1

Explain how long and for what reason the information is retained.

e-SAFE retains information actively for 5 years and in archives for 12 additional years.
This includes complete and incomplete applications. The information submitted in e-SAFE is
retained to vet prospective travelers seeking to enter the United States. CBP continuously vets
information for the life of the waiver, 5 years, and 6 years after if applicant was admitted into the
United States. Information will be kept in archives for 12 years to allow retrieval of the information
for law enforcement and investigatory purposes.
For information that is included in an individual’s official A-File, records are retained
permanently, consistent with the A-File SORN. The official A-File record may take three possible
forms: (1) records contained within the paper A-File; (2) records contained within the electronic
record from Enterprise Document Management System27 or USCIS Electronic Immigration
System;28 or (3) a combination of paper and electronic records and supporting documentation. AFile records are maintained in accordance with N1-566-08-11. DHS/USCIS transfers A-Files to
the custody of NARA 100 years after the individual's date of birth.

5.2

Privacy Impact Analysis: Related to Retention

Privacy Risk: There is the risk that information will be kept in e-SAFE for longer periods
than necessary.

27

See DHS/USCIS/PIA-003(b) Integrated Digitization Document Management Program, available at
www.dhs.gov/privacy.
28
See DHS/USCIS/PIA-056 USCIS Electronic Immigration System, and subsequent updates, available at
www.dhs.gov/privacy.

Privacy Impact Assessment
DHS/CBP/PIA-057 e-SAFE
Page 20

Mitigation: CBP stores information in order to provide the initial waiver adjudication and
then to allow for continuous vetting of the applicant during the validity of the waiver (no more
than five years). This retention is based upon operational and law enforcement needs.
CBP will retain information submitted as part of the e-SAFE website for 5 years after the
ARO has rendered the final decision, which matches the 5 year maximum validity period of an
approved waiver. 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 17-year retention period
(generally 5 years active, 12 years archived) to active law enforcement lookout records will be
matched by CBP to enforcement activities, investigations, or cases, including e-SAFE
applications. This retention schedule also applies to incomplete and not submitted applications, for
which the retention period begins after the last account activity. As with in-person applications for
waivers, CBP treats incomplete and not submitted applications as passport control inspections.
Once the information is archived, the number of officials with access to it will be further
limited. Data linked to active law enforcement lookout records, CBP matches to enforcement
activities, and/or investigations or cases, including e-SAFE applications that are denied, will
remain accessible for the life of the law enforcement activities to which they are related.

Section 6.0 Information Sharing
6.1

Is information shared outside of DHS as part of the normal agency
operations? If so, identify the organization(s) and how the
information is accessed and how it is to be used.

CBP shares e-SAFE information on a case-by-case basis with appropriate federal, state,
local, tribal, and foreign governmental agencies or multilateral governmental organizations
responsible for investigating or prosecuting violations of, or for enforcing or implementing, a
statute, rule, regulation, order or license, or when DHS/CBP believes the information would assist
enforcement of civil or criminal laws. Generally, ARO shares applicant information with the
Department of Justice Executive Office of Immigration Review (EOIR) in the event of an appeal,
and to investigatory or enforcement agencies in the event of a law enforcement or national security
concern.
In addition, CBP may share e-SAFE information in bulk with federal partners for law
enforcement and national security purposes, consistent with a signed memorandum of
understanding (MOU).
Consistent with the A-File SORN, e-SAFE information may be shared when CBP
reasonably believes such use is to assist in anti-terrorism efforts, intelligence gathering related to
national or international security, or transnational crime. CBP may share information with federal
and foreign government intelligence or counterterrorism agencies, or components thereof, in bulk,

Privacy Impact Assessment
DHS/CBP/PIA-057 e-SAFE
Page 21

to assist in counterterrorism or counter-intelligence activities, consistent with an information
sharing and access agreement for ongoing, systematic sharing. CBP may also share e-SAFE
information with federal and foreign government intelligence or counterterrorism agencies, or
components thereof, in response to queries predicated on a specific threat to national or
international security, or to assist in other intelligence activities.

6.2

Describe how the external sharing noted in 6.1 is compatible with
the SORN noted in 1.2.

DHS will share e-SAFE information with external organizations consistent with the
published routine uses in the SORNs that cover e-SAFE, which are compatible with the original
purpose of collection. Sharing with external entities for law enforcement and national security is
consistent with the original purpose of collection because the information is shared when the
individual’s admissibility is relevant to such investigations. In the event that CBP shares e-SAFE
information outside of CBP, CBP will detail the established data sharing practices in Memoranda
of Understanding (MOU) and Interconnection Security Agreements (ISA), when appropriate,
which govern the sharing of e-SAFE information. Under the terms of these MOUs and ISAs, other
agencies will secure e-SAFE information consistent with approved security practices that meet
DHS standards. Personally identifiable information will be kept secure and confidential29 and will
not be divulged to any person within or outside e-SAFE program without an official need to know.
Recipients from other agencies will be required by the terms of the information sharing agreement
to employ security features to safeguard the shared information.

6.3

Does the project place limitations on re-dissemination?

Yes. CBP enters into Memoranda of Understanding/Agreement (MOU/A) with external
organizations prior to the systematic sharing of information. When sharing information with
parties outside of CBP, the same specifications related to security and safeguarding of privacysensitive information that are in place for CBP are applied to the outside entity. Any agreements
between CBP and external entities fully outline responsibilities of the parties, security standards,
and limits of use of the information, including re-dissemination, prior to information sharing.
Access to records is governed by need-to-know criteria that demand the receiving entity
demonstrate the mission-related need for the data before access is granted. In the terms of a
negotiated agreement or the language of an authorization providing information to an external
agency, CBP includes justification for collecting the data, and an acknowledgement that the
receiving agency will not share the information without CBP’s permission, as applicable.

29

e-SAFE data is stored electronically at the CBP Data Center in a compartmentalized database safeguarded by
passwords, encryption of data at rest by Transparent Data Encryption, and auditing software. Data is secured in full
compliance with the requirements of the DHS IT Security Program Handbook.

Privacy Impact Assessment
DHS/CBP/PIA-057 e-SAFE
Page 22

Information that is shared with other agencies, federal, state, local, tribal or foreign, outside
of the context of any MOU or prior written agreement generally requires a written request by the
requesting agency specifically identifying the type of information sought and purpose for which
the information will be used. Authorization to share information in this request scenario is subject
to approval by the CBP Privacy and Diversity Office.

6.4

Describe how the project maintains a record of any disclosures
outside of the Department.

MOUs and other written agreements defining roles and responsibilities are executed
between CBP and each agency that received e-SAFE data on a systematic basis. The information
may be transmitted either electronically or as printed materials to authorized personnel. Electronic
communication with other, non-CBP systems, may be enabled via message/query based protocols
delivered and received over secure point-to-point network connections between e-SAFE and the
non-CBP system. CBP’s external sharing of the data submitted to e-SAFE complies with statutory
requirements for national security and law enforcement systems.
Information that is shared with other agencies, federal, state, local, tribal, or foreign,
outside of the context of any MOU or other prior written arrangement generally requires a written
request by the agency specifically identifying the type of information sought and purpose for which
the information will be used. Authorization to share information in this request scenario is subject
to approval by the CBP Privacy and Diversity Office.

6.5

Privacy Impact Analysis: Related to Information Sharing

Privacy Risk: There is a risk that data shared by CBP with external partners will be used
beyond the original purpose of collection (waiver of inadmissibility determination).
Mitigation: CBP is careful to share data with external agencies that have a need to know
and put the information to a use that is compatible with CBP SORNs. CBP documents these
safeguards in MOUs and other written agreements with the external partners. All prospective
information handlers must be authorized to access the information. This mitigates the risk of
unauthorized disclosure by requiring a trained employee with access to the information to review
the information before sharing the information with an external agency.
When sharing information with third parties, the same requirements related to security and
privacy that are in place for CBP and DHS apply to the outside entity. Access to CBP data is
governed by “need to know” criteria that demand that the receiving entity demonstrate the need
for the data before access or interface is granted. This criteria is determined and approved during
the information sharing disclosure review process by the CBP Privacy and Diversity Office. Third
parties must agree to uphold the same security and privacy measures that are used by CBP and
DHS.

Privacy Impact Assessment
DHS/CBP/PIA-057 e-SAFE
Page 23

Section 7.0 Redress
7.1

What are the procedures that allow individuals to access their
information?

Applicants may access their e-SAFE information to view and amend their application on a
limited basis and view their e-SAFE status (submit application, ARO request, and determination).
Once individuals submit their personal information in e-SAFE, they will be able to access
it through the e-SAFE website. Applicants can see the information they supply on the e-SAFE
website as they fill out the application and again before submission, to confirm it is timely and
accurate. Applicants will not be able to view any data once it has been submitted. After submission,
applicants may update limited information such as change of address, e-mail, and telephone
number. Applicants who do not report to the POE to complete the biometrics portion of the
application will be considered to have abandoned their application after 45 days.
DHS allows U.S. citizens and Lawful Permanent Residents to seek access to information
maintained in e-SAFE. Requests for access by all persons, including foreign nationals, to PII
contained in e-SAFE may be submitted under the Freedom of Information Act. However,
information maintained in e-SAFE pertaining to the accounting of a sharing with a law
enforcement or intelligence entity is exempt from the following provisions of the Privacy Act,
pursuant to 5 U.S.C. § 552a(j)(2) or (k)(2). Requests should conform to the requirements of 6 CFR
Part 5, which provides the rules for requesting access to Privacy Act records maintained by DHS.
The envelope and letter should be clearly marked “Privacy Act Access Request.” The request
should include a general description of the records sought and must include the requester’s full
name, current address, and date and place of birth. The request must be signed, notarized and
submitted under penalty of perjury.

7.2

What procedures are in place to allow the subject individual to
correct inaccurate or erroneous information?

Individuals have multiple options for correcting inaccurate or erroneous information:
1. Information erroneously submitted by an applicant in e-SAFE may be corrected by
the applicant before he/she has paid and submitted the application. The applicant
will be able to make limited updates such as (change of address, e-mail, and
telephone number) after the application has been submitted. When the applicant
reports to the POE for biometrics, the applicant may request that the CBP officer
upload new or additional pertinent documents and/or add notes.
2.

The ARO may also administratively update the data for the applicant when the
applicant emails the ARO at [email protected]. Attorneys or a properly

Privacy Impact Assessment
DHS/CBP/PIA-057 e-SAFE
Page 24

designated representative may ask for an update by emailing to
[email protected] and providing applicant’s full name, and
DOB. When the applicant presents him or herself for biometrics at the POEs, the
applicant can request a correction to the application. The CBP officer will verify
documentation presented by the applicant by comparing it against information
entered in e-SAFE and determine whether the application may be administratively
updated. Individuals whose personal information is collected and used by the eSAFE program may, to the extent permitted by law, request correction of
inaccuracies.
3. Individuals who believe e-SAFE holds inaccurate information about them, or who
have questions or concerns relating to personal information in e-SAFE, can email
the ARO at [email protected] or have their designated representative email the ARO at [email protected].
A person who believes that CBP’s actions are the result of incorrect or inaccurate
information may request information about his or her records pursuant to procedures provided by
the Freedom of Information Act and the access provisions of the Privacy Act of 1974 by writing
to:
U.S. Customs and Border Protection
Freedom of Information Act Division
90 K Street NE, 9th Floor
Washington, D.C. 20229
Travelers may also contact the DHS Traveler Redress Inquiry Program (TRIP) at 601 South
12th Street, TSA-901, Arlington, VA, 22202-4220 or online at www.dhs.gov/trip. Individuals
making inquiries should provide as much identifying information as possible to identify the
record(s) at issue.
Individuals who experience difficulties accessing or navigating the e-SAFE website should
contact the CBP call center at 1-202-325-0180 for instructions on how to navigate the website.

7.3

How does the project notify individuals about the procedures for
correcting their information?

Upon beginning an e-SAFE application, instructions and an advisory notice will be
provided notifying the applicant that they are applying in e-SAFE and that the information
provided can be used during inspection to determine admission. Individuals are also notified of
these procedures via the website and this PIA.

Privacy Impact Assessment
DHS/CBP/PIA-057 e-SAFE
Page 25

7.4

Privacy Impact Analysis: Related to Redress

There is no risk to redress for e-SAFE. CBP has well-established redress and appeal
processes for applicants to seek appeal of an unfavorable determination. Individuals who have
received an unfavorable determination can appeal ARO’s decision by filing Form I-290B, Notice
of Appeal or Motion to appeal to the following address:
U.S. Customs and Border Protection
Admissibility Review Office
Mailstop 1234
7799 Leesburg Pike, 6th Floor
Falls Church, VA 20598-1234
The applicant may also correct erroneous information through the measures listed in 7.2 of
this PIA.

Section 8.0 Auditing and Accountability
8.1

How does the project ensure that the information is used in
accordance with stated practices in this PIA?

Access to the system for internal users is limited to those personnel with a job-related
requirement to access the information. All internal users with access to the system are required to
have full background checks. All program managers, IT specialists, analysts, and CBP Officers,
the latter assuming authorization by the e-SAFE Security Administrator, will have general access
to the system. CBP contractors, in particular those involved with systems support, will also have
access to the system.
Contractors to CBP may have an essential role in designing, developing, implementing,
and managing the system due to their specialized expertise. Contractors must complete CBP full
field background investigations before they are allowed to access any e-SAFE data and will receive
the same security and privacy training as CBP Government employees.
Internal users of e-SAFE systems and records will be assigned different privileges based
on their positions and roles to carry out their official duties. Audits will be conducted to log all
privileged user transactions and monitor for abuse. External users, e-SAFE applicants, or their
authorized agents, will only have the ability to create or update their respective “accounts” within
the system.
In addition, rules of behavior are established for each major application, including e-SAFE.
These rules of behavior require users to be adequately trained with regard to 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

Privacy Impact Assessment
DHS/CBP/PIA-057 e-SAFE
Page 26

statements acknowledging that they have been trained and understand the security aspects of their
systems. Rules of behavior will be posted online prior to login for internal users. In addition, the
rules of behavior already in effect for each of the component systems from which e-SAFE draws
will be applied to the program, adding an additional layer of security protection. Security,
including access-related controls, will be certified initially and at specified intervals by the CBP
Security organization through Certification and Accreditation (C&A) of the e-SAFE system.

8.2

Describe what privacy training is provided to users either generally
or specifically relevant to the project.

All users of e-SAFE system are required to complete and pass a bi-annual TECS Privacy
Act Awareness Course (TPAAC) to maintain their access to the system. The TPAAC presents
Privacy Act responsibilities and CBP policy with regard to the security, sharing, and safeguarding
of both official and personally identifiable information. The course also provides a number of
sharing and access scenarios to test the user’s understanding of appropriate controls put in place
to protect privacy as they are presented. A user must pass the test scenarios to retain access to eSAFE. This training is regularly updated.
DHS employees are also required to sign statements acknowledging that they have been
trained and understand the security aspects of their systems and comply with the following
requirements:


Access records containing personal information only when the information is needed to
carry out their official duties.



Disclose personal information only for legitimate business purposes and in accordance with
applicable laws, regulations, and e-SAFE policies and procedures.

8.3

What procedures are in place to determine which users may access
the information and how does the project determine who has
access?

The personally identifiable information collected and maintained by e-SAFE will be
accessed principally by ARO employees of CBP. The e-SAFE system, using the Salesforce
platform, will secure information consistent with the requirements of the DHS IT Security Program
Handbook. This handbook established 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.
In order to access e-SAFE information, a user must have a need to know, an appropriate
background clearance and completed the annual privacy training. A supervisor submits the request
to the Office of Information and Technology (OIT) at CBP indicating the individual has a need-

Privacy Impact Assessment
DHS/CBP/PIA-057 e-SAFE
Page 27

to-know for official purposes. OIT verifies that the necessary background check and privacy
training has been completed prior to issuing a new internal user account. Internal user accounts are
reviewed annually to ensure that these standards are maintained. 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. Identity authentication is done via PIV cards to
login to e-SAFE and UPAX.

8.4

How does the project review and approve information sharing
agreements, MOUs, new uses of the information, new access to the
system by organizations within DHS and outside?

MOUs regarding the sharing of e-SAFE information will be drafted and reviewed by the
program manager, component Privacy Officer, and counsel in accordance to the information
provided in section 8.0 of this PIA.

Responsible Officials
Guy Cangé
Office of Field Operations
U.S. Customs and Border Protection
(571) 468-6704
Debra L. Danisek
CBP Privacy Officer
Office of Privacy and Diversity
U.S. Customs and Border Protection
(202) 344-1610

Approval Signature
[Original signed and on file with the DHS Privacy Office]
________________________________
Jonathan R. Cantor
Acting Chief Privacy Officer
Department of Homeland Security