SUPPORTING STATEMENT
(Forms I-94, I-94W)
and
Electronic System for Travel Authorization (ESTA)
OMB No. 1651-0111
A. Justification
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.
Travelers seeking to enter under the Visa Waiver Program (VWP) by air or sea, are required to receive a travel authorization through the Electronic System for Travel Authorization (ESTA) prior to travel to the United States. ESTA is a mobile and web-based application and screening system used to determine whether certain noncitizens are eligible to travel to the United States under the VWP in the air and sea environments. Travelers who are not eligible to travel under VWP may apply for a visa at a U.S. Embassy or Consular Office.
ESTA was provided for by Section 711 of the Secure Travel and Counterterrorism Partnership Act of 2007 (part of the Implementing Recommendations of the 9/11 Commission Act of 2007, also known as the "9/11 Act," Public Law 110-53) which requires that the Secretary of Homeland Security, in consultation with the Secretary of State, develop and implement an electronic system which shall collect such biographical and other information as the Secretary of Homeland Security determines necessary to determine, in advance of travel, the eligibility of the noncitizen to travel to the United States and whether such travel poses a law enforcement or security risk.
U.S. Customs and Border Protection (CBP) Forms I-94 (Arrival/Departure Record) and I-94W (Nonimmigrant Visa Waiver Arrival/Departure Record) are included in the manifest requirements imposed by Section 231 of the Immigration and Nationality Act (INA), and are required to be prepared by noncitizens while enroute to the United States and presented upon arrival at a sea or air port of entry within the United States. Under the INA, it is the duty of the master or commanding officer, or authorized agent, owner, or consignee of the vessel or aircraft, having any noncitizen on board, to deliver lists or manifests of the persons on board such vessel or aircraft to CBP officers at the port of arrival. However, now CBP now gathers I-94 data from existing automated sources such as the Advance Passenger Information System (APIS) in lieu of requiring passengers arriving by air or sea to submit a paper I-94 upon arrival. The paper I-94 is still required from travelers entering the United States at a land border. Travelers can access and print their electronic I-94 record via the website www.cbp.gov/I94www.cbp.gov/I94.
Noncitizens traveling under the VWP are required to present a completed and signed Nonimmigrant Visa Waiver Arrival Departure Form I-94W as a condition of admission. However, so long as these noncitizens have a travel authorization obtained through ESTA, they may forgo completing the paper Form I-94W. See 8 C.F.R. § 217.2(b)(1).
Previous revision:
Cuba was designated as a State Sponsor of Terrorism on January 12, 2021, and has been added to the list of countries in the questions about a noncitizen’s travel, and about a noncitizen’s citizenship or country of birth.
CBP requires applicants to upload a picture of their complete biographic passport page, including the MRZ and passport photograph. The addition of passport photos increases CBP’s capability to confirm an applicant’s identity and compare the photo against CBP and other government holdings to locate any derogatory information. Photos collected as part of the ESTA applications may also be used to match travelers at entry or exit.
CBP collects biometric data for identity confirmation on ESTA applications. ESTA applicants will be prompted to take a selfie or “live” photo to conduct a “liveness” test to determine if the ESTA application is interfacing with a physically present human being and not an inanimate object, or if it is a photo of someone other than the lawful passport holder. Respondents will be able to scan their passport biographic page, in order to submit biographic information, including passport photograph.
CBP ESTA Mobile Application provides an additional and more convenient option for intending VWP travelers to apply for a travel authorization via ESTA. The Mobile App will collect biometric data for confirmation of identity. Another enhancement that assists in preventing persons intending to travel to the United States under the VWP by fraud.
This will be accessible via mobile devices, i.e., mobile phones and tablets. The portability of mobile devices will facilitate applying for an ESTA application, because an ESTA applicant will not be limited to applying on a desktop computer.
The ESTA Mobile Application is similar to the already established ESTA application website at https://esta.cbp.dhs.gov, but with Near Field Communication (NFC). NFC is a short-range wireless technology that enables communication between two electronic devices over short distances.
The NFC:
Allows users to scan the passport e-Chip (embedded in the passport) to automatically extract traveler data.
A Mobile Device with NFC capability is required to scan the Passport e-Chip when applying for a new application using the ESTA Mobile Application.
Data on the e-Chip enables the NFC Scan.
If the mobile device does not have NFC capability, the user can submit an ESTA application via the established website.
After determining if the mobile device has NFC capability:
The applicant takes a selfie or “live” photo (another person may also take a photo of the applicant).
The ESTA Mobile Application will do a “liveness” test to determine that it is interfacing with a physically present human being and not an inanimate object, or if it is a photo of someone other than the lawful passport holder.
If the applicant’s passport photo does not match the “liveness” photo submitted, a “Third Party Acknowledgement” option is available. A prompt on the screen will display, which requires confirmation.
The applicant proceeds by completing the data fields the same as with the established ESTA application.
After completing the application, the applicant can review their responses before submission.
Additionally, CBP requests additional information from travelers, including the optional submission of social media identifiers, from most applicants worldwide to enhance vetting and identity verification process, and to align with the Department of State’s immigrant and nonimmigrant visa application forms.
Have you traveled to, or been present in, Iraq, Syria, Iran, Sudan, North Korea, Cuba, Yemen, Libya, or Somalia on or after March 1, 2011? |
Mandatory (for each instance of travel or presence.) |
If the applicant answers Yes to “presence in” question:
|
Conditional (Only seen by applicants who answered affirmatively to the “presence in” question. Responses to these sub-questions will be considered during vetting and adjudication. Different restrictions may apply depending on the country visited and the date that travel occurred.) |
You have indicated that you are not a citizen or national of your country of birth. From the list below, please select ALL statements that apply with respect to your country of birth:
Other |
Conditional (Only seen by applicants who identify Iraq, Syria, Iran, Sudan, North Korea, or Cuba as their Country of Birth on ESTA, but who do not also identify that country under “Other countries of current citizenship”; in which case, the question is mandatory.) |
If the applicant answers Yes to “presence in” question and selects “Humanitarian” as reason:
|
Conditional (Only seen if the applicant answered affirmative to travel question for humanitarian purposes; in which case, the question is mandatory. The applicant can answer “unknown.”)
|
If the applicant answers Yes to “presence in” question and selects “International or Regional” or “Sub-National” as reason:
|
Conditional (Only seen if the applicant answered affirmative to travel question for international/regional/sub-national government; in which case, the question is mandatory. The applicant can answer “unknown.”)
|
If the applicant answers Yes to “presence in” question and selects “Journalism” as reason:
|
Conditional (Only seen if the applicant answered affirmative to travel question for journalism; in which case, the question is mandatory. The applicant can answer “unknown.”)
|
The payment process will be the same as the established ESTA application, and the cost of each ESTA application will be 21 USD, except in the case of a denial, the fee is 4 USD.
New Changes:
Adding Israel into Visa Waiver Program (VWP):
Concurrent with this PRA submission, CBP will be submitting a final rule designating Israel for the VWP. As an ESTA is required for any travel to the United States under the VWP, we are revising the collection to include travelers from Israel.
2. Indicate how, by whom, and for what purpose the information is to be used. Except for a new collection, indicate the actual use the agency has made of the information received from the current collection.
Information collected via the ESTA application helps DHS determine whether a noncitizen is eligible to travel to the United States under the VWP.
DHS was mandated by Congress to undertake additional national security measures to increase the collection of information on VWP travelers before such travelers embark on a carrier destined for the United States. As the rationale for mandating the implementation of ESTA, Congress noted that VWP travelers are not subject to the same degree of advance vetting as those travelers who must first obtain a visa before departing for the United States. Therefore, the data collected via ESTA is to enhance the security of the VWP.
The data collected on CBP Forms I-94/I-94W and on the ESTA applications provide information required to support DHS mission requirements as they relate to the advanced vetting of noncitizen visitors to the United States. Specifically, the information collected is used to assess 1) potential law enforcement, national security and illegal immigration risks, and 2) noncitizen compliance with U.S. immigration law based on collected arrival and departure record data.
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.
Previously, paper Forms I-94 and I-94W required arrival/departure data upon arrival, but are no longer used for air and sea travel, because CBP automated the collection of that data. Automating this process reduced the time required for manual data entry into CBP systems and reduced data entry errors. Information about these forms can be found at: https://www.cbp.gov/travel/international-visitors/i-94 and http://www.cbp.gov/travel/international-visitors/visa-waiver-program.
CBP captures Form I-94 data for travelers arriving by air or sea from APIS in lieu of travelers submitting a paper Form I-94. Travelers can access and print their electronic Form I-94 via www.cbp.gov/I94. This supplements the existing process whereby travelers who want a copy of their Form I-94 would need to file a Form I-102. Travelers may still file a Form I-102 for this purpose if desired.
CBP modified the process by which a traveler arriving at the land border can provide Form I-94 information and pay the related fee by adding an electronic option. Specifically, CBP enhanced the I-94 website to enable travelers arriving at a land port of entry to submit the Form I-94 information to CBP and pay the required fee prior to arrival.
ESTA is a web and mobile based system that was created in response to a mandate by the 9/11 Act to create an automated system to enable DHS to determine whether the individual is eligible to travel to the United States under the VWP prior to travel to the United States. ESTA can be accessed at: https://esta.cbp.dhs.gov. Samples of Forms I-94 and I-94W can be found at: http://www.cbp.gov/document/forms/form-i-94-arrivaldeparture-record and http://www.cbp.gov/document/forms/form-i-94w-visa-waiver-arrivaldeparture-record.
The ESTA Mobile Application has been designed with newer automated capabilities that provides intending VWP travelers with a more convenient way to apply for authorization for U.S. travel. CBP is continually working to find mechanisms to improve our advanced vetting processes, while supporting legitimate travel to the United States. CBP already requests certain contact information, travel history, and family member information from all ESTA applicants.
4. Describe efforts to identify duplication. Show specifically why any similar information already available cannot be used or modified for use for the purposes described in Item 2 above.
This information is not duplicated in any other place or any other form.
5. If the collection of information impacts small businesses or other small entities, describe any methods used to minimize burden.
This information collection does not have an impact on small businesses or other small entities.
6. Describe consequences to Federal program or policy activities if the collection is not conducted or is conducted less frequently.
The data elements collected from VWP travelers allow DHS to remain compliant with its legal requirements and identify those who may not be eligible to travel to the United States under the VWP, those who may seek to exploit the VWP, do harm to the United States, or those who would ultimately be determined inadmissible. Research by DHS and our interagency partners has determined that obtaining this data increases the ability of the Department to identify these travelers before they attempt to travel to the United States. Because law enforcement violations and threats of harm to national security may occur at any time, DHS must receive continual updates to criminal and national security information to affect a timely response.
7. Explain any special circumstances.
This information is collected in a manner consistent with the guidelines of 5 C.F.R. § 1320.6.
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 these comments. Specifically address comments received on cost and hour burden.
Final Rule Submission.
9. Explain any decision to provide any payment or gift to respondents, other than remuneration of contractors or grantees.
There is no offer of a monetary or material value for this information collection.
10. Describe any assurance of confidentiality provided to respondents and the basis for the assurance in statute, regulation, or agency policy.
There is no assurance of confidentiality provided to the respondents. CBP published a SORN entitled “DHS/CBP-009 Electronic System for Travel Authorization,” last updated on July 12, 2022, 87 FR 41338. This SORN accounts for the collection of photographs via the ESTA website (biographic passport page to include passport photograph) and mobile application (“selfie”). CBP is also in the process of updating the DHS/PIA/CBP-007 Electronic System for Travel Authorization PIA series to account for the requirement to submit the biographic passport page, the ESTA mobile application, and other updates. This updated PIA will be published in conjunction with the approval of this PRA package.
11. Provide additional justification for any questions of a sensitive nature, such as sexual behavior and attitudes, religious beliefs, and other matters that are commonly considered private. This justification should include the reasons why the agency considers the questions necessary, the specific uses to be made of the information, and the explanation to be given to persons from whom the information is requested.
The ESTA application and I-94W forms ask respondents if they have certain diseases. This information assists CBP in determining admissibility into the United States under U.S. immigration law. All questions directly address the grounds of inadmissibility and criteria for VWP travel eligibility described in sections 212(a) and 217(a), respectively, of the INA. Otherwise, no information is requested on either the ESTA application or Form I-94W relating to sexual behavior and attitudes, religious beliefs, or any other personal information that is considered private and is outside the scope of the INA.
Form/Collection |
Number of Respondents |
Number of Responses Per Respondent |
Total Annual Responses |
Time Per Respondent
|
Annual Reporting Burden Hours |
I-94 |
4,387,550 |
1 |
4,387,550 |
8 minutes (0.13333333 hours)
|
585,007 |
I-94 Website
|
3,858,782 |
1 |
3,858,782 |
4 minutes (0.06666667 hours) |
257,252 |
I-94W |
941,291 |
1 |
941,291 |
16 minutes (0.26666667 hours) |
251,011 |
ESTA Mobile Application |
500,000 |
1 |
500,000 |
28 minutes (0.46666667 hours)
|
233,333 |
ESTA Website |
15,030,000 |
1 |
15,030,000 |
13 minutes (0.21666666 hours) |
3,256,500
|
ESTA fee* (subset of total ESTA respondents)
|
12,775,000 (subset of 15,530,000 above |
|
12,775 (subset of 15,530,000 above |
0.00 (already included in ESTA burden above) |
0.00 (already included in ESTA burden above) |
TOTAL |
24,717,623
|
|
24,717,623
|
|
4,583,103
|
*Note: The 12,775 million respondents paying the $21.00 fee ($17 Travel Promotion Act charge plus $4 ESTA fee) are a subset of the total 15,530,000 million ESTA mobile and ESTA website respondents. They should not be added to the total respondents (or else they would be double counted).
Provide an estimate of the total annual cost burden to respondents or record keepers resulting from the collection of information.
Public Cost:
The estimated annual public cost is calculated as follows:
Form/ Collection |
Number of Responses |
Annual Reporting Burden Hours |
Value of time* |
Fee charge ($6.00 per respondent) |
ESTA fee ($21.00 per respondent) |
Total public cost w/wage rate |
I-94 |
4,387,550 |
585,007 |
$11,401,786 |
$26,325,300 |
$0 |
$37,727,086 |
I-94 Website |
3,858,782 |
257,252 |
$5,013,841 |
$0 |
$0 |
$5,013,841 |
I-94W |
941,291 |
251,011 |
$4,892,204 |
$5,647,746 |
$0 |
$10,539,950 |
ESTA Mobile |
500,000 |
233,333 |
$7,443,323 |
|
$0 |
$7,443,323 |
ESTA Website |
15,030,000 |
3,256,500 |
$117,559,650 |
|
$0 |
$117,559,650 |
ESTA fee |
12,775,000 |
N/A |
$0 |
|
$268,275,000 |
$268,275,000 |
TOTAL |
24,717,623 |
4,583,103 |
|
$31,973,046 |
$268,275,000 |
446,558,850 |
* Recall from the previous table that the burden for Form I-94 is 8 minutes; the burden for the I-94 website is 4 minutes; the burden for Form 94W is 16 minutes; the burden for the ESTA website is 13 minutes, and 28 minutes for the ESTA mobile application. DHS uses the Department of Transportation’s guidance on value of travel time for its value of time estimates $19.00 for travel by land (this applies to I-94 and I-94W) and $36.10 for travel by air and sea (this applies to ESTA and I-94 website).
CBP used the U.S. Department of Transportation’s (DOT) recommended hourly values of travel time savings for intercity, personal travel by surface modes, which are provided in 2015 U.S. dollars. CBP assumes an annual growth rate of 0 percent; the 2015 U.S. dollar value is equal to the 2023 U.S. dollar value.4
CBP used the U.S. Department of Transportation’s (DOT) recommended hourly value of travel time savings for intercity, personal travel by air and high-speed rail, which is provided in 2015 U.S. dollars. CBP assumes an annual growth rate of 0 percent; the 2015 U.S. dollar value is equal to the 2023 U.S. dollar value.5
CBP used the U.S. Department of Transportation’s (DOT) recommended hourly value of travel time savings for intercity, personal travel by air and high-speed rail, which CBP assumes best represents intercity, personal travel by sea. The average hourly wage rate is provided in 2015 U.S. dollars. CBP assumes an annual growth rate of 0 percent; the 2015 U.S. dollar value is equal to the 2023 U.S. dollar value.6
There are no record keeping, capital, start-up, or maintenance costs associated with this information collection.
Provide estimates of annualized cost to the Federal Government.
The total estimated cost to the Federal government is $94,093,046.
Providing and administering the ESTA system costs the Federal government approximately $13 per application. These costs are offset by the ESTA administration user fee of $4, which constitutes a transfer from the ESTA applicant to the government. CBP’s estimated total collections of the administrative ESTA fee from 15,530,000 respondents is $62,120,000. Any excess collections over the cost to the Federal government represent a transfer from the applicant to the government and are recorded as a cost to the public. CBP is considering updating the regulation to increase ESTA user fee to reflect the cost of the ESTA program.
Note: $17.00 of the $21.00 ESTA fee is a Travel Promotion Act fee that is not related to the costs of ESTA. In fact, this fee is deposited into an account where it is not available to CBP/DHS. CBP is required to collect this fee, alongside the $4 ESTA fee, by the Travel Promotion Act, as amended. The $17 fee is a transfer from the traveler to the government and is counted as a cost to the public for the purpose of this collection.
Forms I-94 and I-94W cost the Government $6.00 to process multiplied by the number of applications filed (5,328,841) for a total of $31,973,046. These costs are offset by the Forms I-94 and I-94W application fees.7
Explain the reasons for any program changes or adjustments reported in Items 12 or 13 of this Statement.
There has been an increase in the estimated annual burden hours previously reported for this collection, due to an increase in the estimated number of respondents being added to the ESTA Website collection tool. Israel is being added to the list of participating countries for the VWP and will add 30,000 respondents, increasing the ESTA Website burden hours from 3,250,000 to 3,256,500, and thus increasing the total annual burden for this collection from 4,576,603 to 4,583,103.
16. For collection of information whose results will be published, outline plans for tabulation, and publication.
This information collection will not be published.
17. If seeking approval to not display the expiration date, explain the reasons that displaying the expiration date would be inappropriate.
CBP requests not to display the expiration date on these two paper forms because large quantities are stocked at CBP ports and by airlines in 22 languages. However, the expiration date is displayed on the ESTA Application website, Mobile Application and on the I-94 website.
18. “Certification for Paperwork Reduction Act Submissions.”
CBP does not request an exception to the certification of this information collection.
No statistical methods were employed.
1 Note that the Form I-94 is not affected by this change.
2 Countries determined by the Secretary of State to have repeatedly provided support for acts of international terrorism are generally designated pursuant to three laws: section 6(j) of the Export Administration Act of 1979 (50 U.S.C. 2405); section 40 of the Arms Export Control Act (22 U.S.C. 2780); and section 620A of the Foreign Assistance Act of 1961 (22 U.S.C. 2371).
3 The Act contains exceptions for individuals determined by the Secretary of Homeland Security to have been present in these countries, “(i) in order to perform military service in the armed forces of a [VWP] program country; or (ii) in order to carry out official duties as a full time employee of the government of a [VWP] program country.” INA § 217(a)(12)(B).
4 Source: U.S. Department of Transportation, Office of Transportation Policy. The Value of Travel Time Savings: Departmental Guidance for Conducting Economic Evaluations Revision 2 (2016 Update), “Table 4 (Revision 2 - 2016 Update): Recommended Hourly Values of Travel Time Savings for Intercity, Personal Travel by Surface Modes (except High-Speed Rail).” September 27, 2016. Available at https://www.transportation.gov/sites/dot.gov /files/docs/2016%20Revised%20Value%20of%20Travel%20Time%20Guidance.pdf. Accessed August 30, 2023.
5 Source: U.S. Department of Transportation, Office of Transportation Policy. The Value of Travel Time Savings: Departmental Guidance for Conducting Economic Evaluations Revision 2 (2016 Update), “Table 4 (Revision 2 - 2016 Update): Recommended Hourly Values of Travel Time Savings for Intercity, Personal Travel by Air and High-Speed Rail.” September 27, 2016. Available at https://www.transportation.gov/sites/dot.gov/files/docs/2016 %20Revised%20Value%20of%20Travel%20Time%20Guidance.pdf. Accessed August 30, 2023.
6 Source: U.S. Department of Transportation, Office of Transportation Policy. The Value of Travel Time Savings: Departmental Guidance for Conducting Economic Evaluations Revision 2 (2016 Update), “Table 4 (Revision 2 - 2016 Update): Recommended Hourly Values of Travel Time Savings for Intercity, Personal Travel by Air and High-Speed Rail.” September 27, 2016. Available at https://www.transportation.gov/sites/dot.gov/files/docs/2016 %20Revised%20Value%20of%20Travel%20Time%20Guidance.pdf. Accessed August 30, 2023.
7 Federal statute requires CBP to deposit these two fee collections into the Land Border Inspection Fee Account, where they are then available only for certain statutorily-enumerated purposes. See 8 U.S.C. § 1356(q)(2)-(3).
File Type | application/vnd.openxmlformats-officedocument.wordprocessingml.document |
Author | Shade Williams |
File Modified | 0000-00-00 |
File Created | 2023-10-13 |