Ipa

U.S. DEPARTMENT OF

HOUSING AND URBAN DEVELOPMENT

INITIAL PRIVACY ASSESSMENT (IPA)

Comprehensive Listing of Transactional Documents for Mortgagors, Mortgagees and Contractors

Office of Healthcare Programs

Office of Residential Care Facilities

Instruction & Template

May 2, 2014

INTRODUCTION

What is an Initial Privacy Assessment?

An Initial Privacy Assessment (IPA) is designed to assess whether a Privacy Impact Assessment (PIA), a Privacy Act system of records notice (SORN), and/or other related privacy documents are required. The responses to the IPA will provide a foundation for determining if either a PIA or SORN or both will be required, and will also help to identify any policy concerns.

The IPA incorporates the matters previously addressed in the Department’s Personally Identifiable Information (PII) Survey, and thus replaces the survey.

When should an IPA be completed?

An IPA should be completed for all information collection activities, whether the system is electronic or contains only records in paper form, and should be completed before commencement of any testing or pilot project of an information system or prior to implementing new information collections requests. Additionally, an IPA should be completed any time there is a change to the information system or collection to determine whether there are any privacy issues as a result of such a change.

Who should complete the IPA?

The IPA should be written and reviewed by a combination of the component’s (e.g., Privacy Act Officer, System Owner, Project Leaders, Paperwork Reduction Act Compliance Officers), and the program-specific office responsible for the system, project or information collections.

How is the IPA related to the Capital Planning, Certification and Accreditation, and the Paperwork Reduction Act process?

Upon completion and approval of the IPA by the Privacy Officer the official document may be uploaded into the C&A tool, and provided as part of the IT Capital Planning, and Paperwork Reduction Act package as validation of the completed evaluation. The completed IPA demonstrates that the program components have consciously considered privacy and related requirements as part of the overall information activities. For an IT system that does not require a C&A, such as a minor application that runs on a system that does require a C&A, an IPA still should be completed to determine if other related privacy documentation are required for that system or project.

Where should the completed IPA be sent?

A copy of the completed IPA should be sent to the Office of Privacy Project Leads for review. The Privacy Officer will review the IPA and determine what additional privacy documentation is required, and then will advise the Program component accordingly.

Initial Privacy Assessment

INFORMATION ABOUT THE SYSTEM OR PROJECT

Date Submitted for Review: May 2, 2014 Project Name/Acronym: Comprehensive Listing of Transactional Documents for Mortgagors, Mortgagees and Contractors System Owner/Contact information: John M. Hartung Director, Policy and Risk Management Division Office of Healthcare Programs, Office of Residential Care Facilities U.S. Department of Housing and Urban Development 1222 Spruce Street, Room 3.203 St. Louis, MO  63103-2836 Phone:  (314) 418-5238     Project Leader/Contact Information: John M. Hartung Director, Policy and Risk Management Division Office of Healthcare Programs, Office of Residential Care Facilities U.S. Department of Housing and Urban Development 1222 Spruce Street, Room 3.203 St. Louis, MO  63103-2836 Phone:  (314) 418-5238     Which of the following describes the type of records in the system:

		Paper-Only
X		Combination of Paper and Electronic
		System
		Other: Please describe below the type of project or system, including paper based Privacy Act System of Records, Rules, or Technologies’. Also, indicate whether this is a revision/update for an existing system or project.

Note: For this form purpose, there is no distinction made between technologies/systems managed by contractors. All technologies/systems should be initially reviewed for potential privacy impact.

Section I: The Entire IPA (Sections I and II) Should be Completed for New Systems or Projects. If this is an Existing System or Project Skip to Section II. Unless requested by the Office of Privacy, this section should not be completed for an existing System or Project.

This is an Existing System/Document Collection.

Question 1: Provide a general description of the system of

Project. The following questions are intended to define the scope of the information in the system, information collection, or project, specifically the nature of the information and the sources from which it is obtained.

1. From whom is the information collected (i.e., government employees, contractors, or consultants, state, local government entities, or general public)?

2. What is the functionality of the system, information collection, or project and the purpose that the records and/or system serve?

c. How is information transmitted to and from the system, information collection, or project?

d. What are the interconnections with other systems or projects?

QUESTION 2: Have the IPA been reviewed and approved by the Chief Privacy Officer

(If no, please contact component privacy official for official approval)

QUESTION 3: What is the Status of system, information collection, or project

1. If this is a new system, information collection, or project, specify expected production date.

2. If an existing system, information collection, or project, specify date of production.

QUESTION 4: Does this system, information collection, or project collect personal identifiers/sensitive information?

YES X

NO

Does the system, information collection, or project collect personal/sensitive information? (e.g. name, address, personal email address, gender/sex, race/ethnicity, income/financial data, employment history, medical history, Social Security Number, Tax Identification Number, Employee Identification Number, FHA Case Number). Includes PII that may be part of a registration process?

If yes, specific data sets collected or provided, and the legal authorities, arrangement, and/or agreement authorize the collection of information (i.e. must include authorities that cover all information collection activities, including Social Security Numbers)?

QUESTION 5: Does the information about individuals identify particular individuals (i.e., is the information linked or linkable to specific individuals, often referred to as personally identifiable information?)

QUESTION 6: What type of Notice(s) are provided to the individual on the scope of information collected, the opportunity to consent to uses of said information, the opportunity to decline to provide information. (A notice may include a posted privacy policy, a Privacy Act notice on form(s), and/or a system of records notice published in the Federal Register.)

1. Was any form of notice provided to the individual prior to collection of information? If yes, please provide a copy of the notice as an appendix. (A notice may include a posted privacy policy, a Privacy Act notice on form(s), and/or a system of records notice published in the Federal Register.) If notice was not published, why not?

2. Do individuals have an opportunity and/or right to decline to provide information?

3. Do individuals have an opportunity to consent to particular uses of the information, and if so, what is the procedure by which an individual would provide such consent?

QUESTION 7: Is there a Certification & Accreditation record for your system? (This question does not apply to Information Collection Requests)
Specify below the systems categorization. If not available identify the FISMA-reported system whose Certification and Accreditation covers this system.
Confidentiality		Low		Moderate		High		Undefined
Integrity		Low		Moderate		High		Undefined
Availability		Low		Moderate		High		Undefined

SECTION II - The Entire IPA should be completed for New Systems or Projects. If this is an Existing System or Project Complete Only Complete This Section.

QUESTION 1: When was the system, information collection, or project developed?

The documents collection was published on March 14, 2013.

QUESTION 2: If an existing system, information collection, or project, has the system or project undergone any changes since April 17, 2003?

The Office of Residential Care Facilities (under the Office of Healthcare Programs), has only been in existence since December, 2008. The information collection forms being used prior to March 4, 2013 were from the Office of Multifamily Housing. This collection was done to meet the requirements that are unique to this newly created division. No changes were done to the collection after publication, outside of the current public comment process, which announced the new electronic submission criteria, and allowed the public the option of commenting on any and all existing documents in the collection.

QUESTION 3: If an existing system, information collection, or project, has the system or project, explain the changes the system or project will be undergoing as part of this renewal/update process.

This information collection was previously approved by OMB. When HUD published the ORCF Document collection in March 2013, the initial expiration date provided by OMB was only for one year. This was a shorter effective term than the more typical three-year effective period for PRA-processed documents.  The reason was that the Department had not yet worked through certain electronic document submission matters, and a decision was made to provide for a longer effective period after the electronic submission matters were addressed.  Thus, on September 10, 2013, HUD published a Federal Register Notice specifically setting forth the proposed electronic submission policy and invited public comment. The policy allows for the electronic submission of all transactional documents in the collection, and only requires that 13 of the legal closing documents be provided via hard copy.  The electronic submissions are not via a specific online system, but rather are submitted to HUD via email, facsimile, CD drive or flash drive. After the 60-day comment period elapsed, with no comments received, HUD then published its second Federal Register Notice on the collection on February 27, 2014.  This second publication repeated the proposed electronic submission policy, and added the newly revised Intercreditor Agreement; it allowed for a 30-day public comment period.  Public comments were received and reviewed.  HUD is now submitting the entire collection back to OMB for final approval, in anticipation of receiving a three year expiration date.

QUESTION 4: Do the changes to the system, information collection, or project involve a change in the type of records maintained, the individuals on whom records are maintained, or the use or dissemination of information from the system?

This information collection does not involve a change in the type of records maintained, the individuals on whom records are maintained, or the use or dissemination of information in the system.

QUESTION 5: Please indicate if any of the following changes to the system or project have occurred: (Mark all boxes that apply.)

	A conversion from paper-based records to an electronic system.
	A change from information in a format that is anonymous or non-identifiable to a format that is identifiable to particular individuals.
	A new use of an IT system, including application of a new technology that changes how information in identifiable form is managed. (For example, a change that would create a more open environment and /or avenue for exposure of data that previously did not exist.)
	A change that results in information in identifiable form being merged, centralized, or matched with other databases.
	A new method of authenticating the use of an access to information in the identifiable form by members of the public.
	A systematic incorporation of databases of information in identifiable form purchased or obtained from commercial or public sources.
	A new interagency use of shared agency function that results in new uses or exchanges of information in identifiable form.
	A change that results in a new use of disclosure of information in identifiable form.
	A change that results in new items of information in identifiable form being added into the system.

QUESTION 6: Does a PIA for the system or project already exist? If yes, please provide a copy of the notice as an appendix.

No, a PIA does not currently exist.

Privacy Office determination

(To be completed by the Privacy Office)

	This is NOT a privacy sensitive system, information collection or project – the system, information collection, or project contains no personal identifiers/sensitive information
	This IS a Privacy Sensitive Project
	IPA sufficient at this time
	A PIA is required
	The existing PIA requires an update/deletion
	A SORN is required
	The existing SORN requires an update or should be deleted
	Other
COMMENTS:

DOCUMENT ENDORSMENT

DATE REVIEWED:

PRIVACY REVIEWING OFFICIALS NAME:

By Signing below you attest that the content captured in this document is accurate and complete and meet the requirements of applicable federal regulations and HUD internal policies.

SYSTEM OR PROJECT OWNER << INSERT NAME/TITLE>>		Date
<<INSERT PROGRAM OFFICE>>
PROGRAM AREA MANAGER <<INSERT NAME/TITLE>>		Date
<<INSERT PROGRAM OFFICE>>
CHIEF PRIVACY OFFICER, <<INSERT NAME>>		Date
Office of the Chief Information Officer
U. S. Department of Housing and Urban Development

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