5.23.24 ROCIS SS 1651-0143 Advance Travel Authorization ATA

Supporting Statement

Advance Travel Authorization (ATA)

1651-0143

A. Justification

1. Explain the circumstances that make the collection of information necessary. Identify any legal or administrative requirements that necessitate the collection. Attach a copy of the appropriate section of each statute and regulation mandating or authorizing the collection of information.

Background:

The Department of Homeland Security (DHS) established new parole processes to allow certain noncitizens from certain countries, and their qualifying immediate family members, to request advance authorization to travel to the United States to seek a discretionary grant of parole, issued on a case-by-case basis. To support these processes, U.S. Customs and Border Protection (CBP) developed the Advance Travel Authorization (ATA) capability, which allows individuals to submit information within the CBP One™ application as part of the process. Through an emergency approval, CBP established the ATA collection. Initially, this capability was utilized by Venezuelan citizens and their qualifying immediate family members seeking authorization to travel to the United States under the DHS-established parole process for Venezuelans.¹ DHS later developed similar parole processes for citizens of Cuba,² Haiti,³ and Nicaragua⁴ and their qualifying immediate family members. The four processes are collectively known as the CHNV process. There is no numerical cap on the number of noncitizens from these four countries who may apply; however, there is a 30,000 limit on the number of travel authorizations DHS may issue each month across the CHNV process. Additionally, participation is limited in the ATA capability to those individuals who meet certain DHS-established criteria, including but not limited to, possession of a valid, unexpired passport, as well as having an approved U.S.-based financial supporter.

ATA requires the collection of a facial photograph via CBP One™ from those noncitizens who voluntarily elect to participate in the CHNV process, in order to provide accurate identity information for completion of vetting in advance of issuance of a travel authorization.

Advance Travel Authorization (ATA):

The biographic information collected on the I-134A is passed to CBP systems to allow the individual to complete their CBP One submission. The information the individual enters in CBP One must match the I-134A. The facial biometrics collected from the noncitizens in CBP One will be linked to biographic information provided by the individual to U.S. Citizenship and Immigration Services (USCIS). This information collection will facilitate the verification and vetting of noncitizens seeking to obtain advance authorization to travel. This collection will also give air carriers that participate in CBP’s Document Validation (DocVal) program the ability to validate an approved advance authorization to travel, facilitating generation of a noncitizen’s boarding pass without having to use other manual validation processes.

CBP One™ allows the user to capture the required biometrics, currently limited to a live facial photograph, and confirm submission after viewing the captured image. If the user is not satisfied with the image captured, the user can retake the image. If the image capture is unsuccessful, CBP One™ will provide the user with an error message stating that the submission was unsuccessful and permitting the user to try again. If the user continues to experience technical difficulties, the CBP One™ application provides a help desk email to request assistance.

CBP conducts vetting to determine whether the individual poses a security risk to the United States, and to determine whether the individual is eligible to receive advance authorization to travel to the United States to seek a discretionary grant of parole at the port of entry (POE). In the event that an advance authorization to travel may be denied because of a facial photograph match found in criminal databases or if there is a mismatch that limits the ability to confirm identity, then the match or mismatch will be verified by a CBP officer before the advance travel authorization is officially denied.

If the advance travel authorization is denied, the individual will not be authorized to travel to the United States to seek parole under the CHNV. In the event that the user is not authorized to travel under this process, the user may still seek entry to the United States through another process, including by filing a request for consideration of parole with USCIS or applying with the Department of State (DOS) to obtain a visa. If travel authorization is approved, the approval establishes that the individual has obtained advance authorization to travel to the United States to seek a discretionary grant of parole, consistent with 8 CFR 212.5(f), but does not guarantee boarding or a specific processing disposition at a POE. Upon arrival at a U.S. POE, the traveler will be subject to inspection by a CBP officer, who will make a case-by-case processing disposition determination.

This collection of information is authorized by sections 103 and 212(d)(5) of the Immigration and Nationality Act (8 U.S.C. 1103 and 1182(d)(5)), and 8 CFR 212.5(f). DHS has also publicly announced the CHNV process policy and accompanying collection on its website and has also published Federal Register notices for each of the named countries, as noted above.

CBP One™ collects the following information from the individual submitting a request for an advance authorization to travel to the United States to seek parole under the CHNV process:

1. Facial Photograph

2. Photo obtained from the passport or Chip on ePassport, where available

3. Alien Registration Number

4. First and Last Name

5. Date of Birth

6. Passport Number

Additionally, CBP further revised this collection through another emergency submission to include individuals seeking to travel to the United States as part of the Family Reunification Parole (FRP) processes using the existing ATA capability to submit information to CBP, as updated for certain nationals of Cuba⁵ and Haiti,⁶ and as implemented for certain nationals of Colombia,⁷ Guatemala,⁸ Honduras,⁹ El Salvador,¹⁰ and Ecuador¹¹. The FRP processes begin with an invitation being sent to a petitioner who previously received an approved Form I-130, Petition for Alien Relative, on behalf of the potential principal beneficiary, and if applicable, the beneficiary’s accompanying derivative beneficiaries. The petitioner then submits a Form I-134A, Online Request to be a Supporter and Declaration of Financial Support, on behalf of the potential principal beneficiary, and if applicable, the beneficiary’s accompanying derivative beneficiaries. For those petitioners whose Form I-134A is confirmed by USCIS, the beneficiaries will receive an email with instructions to create an online account with myUSCIS. There, the potential beneficiary will confirm their biographic information and complete attestations, and then receive instructions to download the CBP One™ mobile application to continue through the FRP process. USCIS will send the biographic information that it was provided to CBP. Additionally, once the beneficiary completes their CBP One™ submission, utilizing the ATA capability, CBP will conduct vetting, and if appropriate, issue an advance authorization to travel. The information collected as part of the FRP process is the same as that which is already collected from other populations through ATA. This information collection will facilitate the vetting of noncitizens seeking to obtain advance authorization to travel and will give air carriers that participate in CBP’s DocVal program the ability to validate an approved travel authorization, facilitating generation of a noncitizen’s boarding pass without having to use other manual validation processes.

New Changes:

1. Adding Uniting for Ukraine (U4U) respondent group to collection:

In response to the President’s commitment to welcome 100,000 Ukrainian citizens and others fleeing Russia’s aggression, DHS, in coordination with DOS, established the Uniting for Ukraine ((U4U) parole process on April 25, 2022.¹²

This process allows certain Ukrainian citizens and their qualifying family members to submit certain identifying information to USCIS and CBP to facilitate the issuance of an advance authorization to travel to the United States to seek parole. At the time U4U was implemented, full ATA capability was not yet developed, and CBP uses different processes to screen and vet Ukrainians seeking parole. Currently, individuals seeking to travel under U4U do not utilize CBP One™ or the ATA capability during their process. To align U4U with other DHS parole processes, including CHNV and FRP, the ATA capability will be implemented for those individuals requesting authorization to travel to the United States to seek a discretionary grant of parole. The ATA capability will be added as part of a step in the U4U process to facilitate the vetting of noncitizens seeking to obtain advance authorization to travel and will give air carriers that participate in CBP’s DocVal program the ability to validate an approved travel authorization, facilitating generation of a noncitizen’s boarding pass without having to use other manual validation processes.

2. Adjusted Burden:

Furthermore, in coordination with USCIS, CBP has added to the burden estimate for this collection to account for any potential expansion(s) that align with new or revised policies or processing capacity over the next three years.

3. New Data Element:

This revision also adds a new data element to this collection: the physical location (longitude/latitude) of the device utilizing ATA at the time of any biometric information submission. This data element will further secure the submission process and provide accurate identity information for completion of vetting in advance of issuance of a travel authorization.

CBP invites comments from the public on all changes established by previously approved emergency submissions and the new proposed revisions listed in this FRN.

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.

This information is used by CBP to vet against selected security and law enforcement databases available to DHS and other federal agencies, for national security, border security, public health, and safety considerations. CBP conducts this vetting to determine whether the individual poses a security risk to the United States, and to determine whether the individual is eligible to receive advance authorization to travel to the United States to seek parole. DHS will limit the use and sharing of an individual’s photograph to what is strictly necessary to perform this vetting. Any potential travel authorization denials resulting from facial photograph matches against databases used for vetting or mismatches to confirm identity will be verified by a CBP officer before the travel authorization is denied. DHS will retain the facial photograph for the duration of the travel authorization validity, but no more than 180 days. The photograph will be deleted from all DHS and other agency databases after that time unless the photograph matches against national security or law enforcement databases, as verified by CBP personnel.

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.

The information is submitted to CBP via the CBP One^TM mobile application, which the individual can access to provide basic biographic information, a facial photograph, and geo-location (longitude/latitude). This biographic and biometric information is provided to verify and vet that the individual accessing the specific functionality within CBP One^TM has a USCIS-approved U.S.-based financial supporter, has verified their biographic information, and has attested to DHS required attestations related to process eligibility criteria.

Usability Testing:

CBP completed usability testing of the ATA capability on users selected to participate in a survey at the George Bush Intercontinental Houston International Airport post-inspection. All participants used the CBP One application for the purpose of obtaining authorization to travel to the United States to seek humanitarian parole. Participants ranged from 21 – 45 years of age. Of those who were surveyed, 70 percent felt completing the required tasks within the app was easy, 20 percent indicated they required assistance and 10 percent indicated it was difficult. Those who required assistance or who found it difficult to navigate claimed to have limited experience using a mobile device or required assistance with language translation. Two participants explained they had to take their photo more than once and one user experienced connectivity issues. The suggested area of improvement, that was directly related to the application, was to make the language choice more obvious. There is a specific screen in the app where language is required to be selected, which CBP is moving to appearing prior to navigating to the home page. This would eliminate the need to translate any part of the application from English.

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.

Failure to collect this information would prevent CBP from having access to information needed to conduct vetting to ascertain any national security, border security, public health, and safety risks posed by individuals requesting advance authorization to travel to the United States to seek parole.

1. Explain any special circumstances.

This information is collected in a manner consistent with the guidelines of 5 CFR 1320.5(d)(2).

8. 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.

Public comments were solicited through two Federal Register notices, a 60-day notice published on September 13, 2023 (88, 62810) on which many comments were received, and on May 23, 2024 (89, 45668) on which no comments have been received.

Due to the number of comments CBP received, we’ve included the comments, translations, in an attached supplementary document included with this package submission.

Summary:

The 60-Day notice, published at 88 FR 62810 on September 13, 2023, invited comments by email no later than November 13, 2023, regarding changes established by previously approved emergency submissions on ATA or the new proposed revisions listed in the 60-Day notice.   CBP received 57 comments, the majority of which did not address the previous PRA submissions on ATA or the 60-Day notice.  Rather, most comments were inquiries on how to apply for ATA or as to the status of pending applications.  Those commenters should visit the USCIS website regarding Processes for Cubans, Haitians, Nicaraguans, and Venezuelans, https://www.uscis.gov/CHNV, for more information.  Other comments expressed concerns with the CBP One SWB appointment process generally or expressed other concerns outside the scope of the 60-Day notice.   

Of those comments addressing ATA, some comments were generally supportive of the changes, while several comments were not generally in favor of the changes.  Other comments addressed two specific issues: 1) accounting for and preventing the separation of travel groups; and 2) the proposed new data element regarding the physical location (longitude/latitude) at the time of any biometric information submission.

Two comments addressed accounting for and preventing the separation of travel groups.  CBP responds that the use of CBP One in the CHNV Parole Process does not link individuals; rather, that is done by the beneficiary in their online USCIS account prior to the CBP One step in the process. It is up to the supporter and beneficiaries to make sure they notate travel groups. In the event that one travel authorization is issued before another group member's, the first issued beneficiary may request an extension of their travel authorization.

Thirteen comments addressed the proposed new data element regarding the physical location (longitude/latitude) at the time of any biometric information submission, with four comments in support generally, and nine comments expressing concern.   Specifically, several commenters were concerned that Cuban applicants must use VPN applications to submit their applications, and that as a result the location indicated by their electronic submission would not match their actual physical location.  CBP responds that the location of the individual making a submission will not affect the vetting of the individual.  Determinations of individuals eligible for parole under CHNV are made at the time of inspection at the port of entry on a case-by-case basis.

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.

The DHS/CBP/PIA-073 Advance Travel Authorization (ATA) documents the general workflow of the ATA process and the information collected, stored, and used at each step. CBP has a series of appendices to the ATA PIA to describe the processes/countries eligible to use ATA functionality. Appendix A covers the ability for certain citizens of certain countries determined by the Secretary of Homeland Security, and their qualified immediate family members, to participate in the ATA process to request authorization to travel to the United States to seek a discretionary grant of parole. Appendix B covers the eligibility requirements under the FRP Process. CBP is adding Appendix C to describe the eligibility requirements under the U4Uprogram.¹³ In addition to the standalone PIA, Appendix A of the DHS/CBP/PIA-068 CBP One Mobile Application provides transparency on the use of the CBP One mobile application as part of the ATA process. CBP is updating this appendix to describe the U4U process.   The System of Record Notice (SORN) that governs this information collection is the ATS SORN (DHS/CBP-006 Automated Targeting System, May 22, 2012, 77 FR 30297), which permits collection of information from persons, including operators, crew, and passengers, who seek to, or do in fact, enter, exit, or transit through the United States or through other locations where CBP maintains an enforcement or operational presence by land, air, or sea. Information submitted by noncitizens seeking advance authorization to travel to the United States to seek parole is broadly covered by the ATS SORN.  CBP uses the advance information to compare it against law enforcement and intelligence databases to identify individuals and cargo requiring additional scrutiny, which aligns to the border security mission of DHS.  DHS will limit the use and sharing of the photograph to what is strictly necessary to perform this vetting.  Any potential travel authorization denials resulting from facial photograph matches against databases used for vetting or mismatches to confirm identity will be verified by a CBP officer before the travel authorization is denied.  DHS will retain the facial photograph for the duration of the travel authorization validity, but no more than 180 days, and ensure that it is deleted from all DHS and other agency databases after that time unless the photograph matches against national security or law enforcement databases, as verified by CBP personnel.

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, the explanation to be given to persons from whom the information is requested, and any steps to be taken to obtain their consent.

There are no questions of a sensitive nature.

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

INFORMATION COLLECTION	TOTAL ANNUAL BURDEN HOURS	NO. OF RESPONDENTS	NO. OF RESPONSES PER RESPONDENT	TOTAL RESPONSES	TIME PER RESPONSE
ATA	93,667	562,000	1	562,000	10 minutes (0.167 hours)

Public Cost

The table above provides an estimate of the total annual number of respondents CBP anticipates, for each parole process. This increase is based on USCIS’s estimate of the number of Form I-134A submissions. USCIS expects that, for the FRP processes, this number will be greater than the number of FRP invitations anticipated to be sent to Form I-130 petitioners, because multiple family members can be associated with each Form I-130 petition.   CBP estimates that, at the high end, the number of ATA submissions will be equal to the number of Forms I-134A. This estimate may represent an over-estimate depending on eligibility for consideration and actual interest in each parole process. This breakdown does not suggest a limit or numerical cap; rather, it represents CBP’s best estimate as to the approximate annual number of responses and how they may be distributed; the individual number for each country is subject to change based on operational and other factors.

The estimated cost to the respondents is $4,411,716. This is based on the estimated burden hours (93,667) multiplied by the average hourly wage rate for all-purpose air travelers ($47.10). CBP used the U.S. Department of Transportation’s (DOT) recommended hourly value of travel time savings for intercity, all-purpose 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.¹⁴

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

There are no record keeping, capital, start-up or maintenance costs associated with this information collection.

14. Provide estimates of annualized cost to the Federal Government. Also provide a description of the method used to estimate cost, which should include quantification of hours, operational expenses (such as equipment overhead, printing, and support staff), and any other expense that would not have been incurred without this collection of information.

It is estimated that 70% of submissions received will be approved automatically by the system, and 30% of the submissions will be reviewed manually by a CBP Officer.

The estimated annual cost to the Federal Government associated with the review of these submissions is $4,061,574. This is based on the number of responses that must be reviewed manually (168,600) multiplied by the time burden to review and process each response (0.33 hours) = 55,638 hours multiplied by the average hourly loaded rate for a CBP Officer ($73.00)¹⁵ = $4,061,574.

15. Explain the reasons for any program changes or adjustments reported in Items 12 or 13.

There has been an increase in the total estimated annual burden hours previously reported for this collection. Through this revision process, CBP will be adding the U4U population, as well as adjusted burden figures to the collection to account for any potential expansion(s) that may align with policy over the next three years. The number of respondents has increased by 137,000, and the total annual burden hours increased by 23,217 hours.

Additionally, CBP will be adding a new data element to ATA process: geolocation, but this does not impact the burden reported for respondents. There is no change to the method of submission.

Finally, the previously separated burdens were combined into one ATA burden category.

16. For collection of information whose results will be published, outline plans for tabulation, and publication.

This information collection will not be published for statistical purposes.

17. If seeking approval to not display the expiration date, explain the reasons that displaying the expiration date would be inappropriate.

CBP will display the expiration date for OMB approval of this information collection.

18. “Certification for Paperwork Reduction Act Submissions.”

CBP does not request an exception to the certification of this information collection.

19. Collection of Information Employing Statistical Methods

No statistical methods were employed.

1 87 FR 63507 (Oct. 19, 2022). See also 88 FR 1279 (Jan. 9, 2023) (updating the process announced in 2022).

2 88 FR 1266 (Jan. 9, 2023), as amended by 88 FR 26329 (Apr. 28, 2023).

3 88 FR 1243 (Jan. 9, 2023),as amended by 88 FR 26327 (Apr. 28, 2023).

4 88 FR 1255 (Jan. 9, 2023).

5 88 FR 54639 (Aug. 11, 2023).

6 88 FR 54635 (Aug. 11, 2023).

7 88 FR 43591 (July 10, 2023).

8 88 FR 43581 (July 10, 2023).

9 88 FR 43601 (July 10, 2023).

10 88 FR 43611 (July 10, 2023).

11 88 FR 78762 (Nov. 16, 2023).

12 87 FR 25040 (Apr. 27, 2022).

13 This program has historically been covered under the DHS/CBP/PIA-006(e) Automated Targeting System, Addendum 2.8 CBP Vetting in Support of Uniting for Ukraine.

14 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, All-Purpose 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.

15 CBP bases this wage on the FY 2023 salary and benefits of the national average of CBP Officer Positions, which is equal to a GS-11, Step 10. Source: Email correspondence with CBP’s Office of Finance on September 26, 2023.

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