Privacy Assessment

DI-4001 (01/2015)
U.S. Department of the Interior

U.S. Department of the Interior
PRIVACY IMPACT ASSESSMENT

The Department of the Interior requires PIAs to be conducted and maintained on all IT systems whether already in
existence, in development or undergoing modification in order to adequately evaluate privacy risks, ensure the protection of
privacy information, and consider privacy implications throughout the information system development life cycle. This PIA
form may not be modified and must be completed electronically; hand-written submissions will not be accepted. See the DOI
PIA Guide for additional guidance on conducting a PIA or meeting the requirements of the E-Government Act of 2002. See
Section 6.0 of the DOI PIA Guide for specific guidance on answering the questions in this form.
NOTE: See Section 7.0 of the DOI PIA Guide for guidance on using the DOI Adapted PIA template to assess third-party
websites or applications.

Name of Project
Assessing Public Views of Waterfowl-Related Topics to Inform the North American Waterfowl Manage
Bureau/Office
U.S. Geological Survey
Point of Contact Email
[email protected]

Bureau/Office Contact Title
Social Scientist
First Name
Holly

M.I.
M

Last Name
Miller

Phone
(970) 226-9133

Address Line 1
2150 Centre Ave
Address Line 2
Bldg C
City
Fort Collins

State/Territory
Colorado

Zip
80526

A. Is a full PIA required?
Yes
Yes, information is collected from or maintained on
Members of the general public
B. What is the purpose of the system?
The purpose of the system is to store data which will be collected from a mail survey of approximately 1,200 members of
the general public conducted by the Social and Economic Analysis Branch, Fort Collins Science Center, U.S. Geological
Survey. The survey will assess the general public’s awareness and perceptions of waterfowl and wetlands, as well as
measure participation in recreational activities, conservation behaviors, how the public obtains information on naturerelated issues, and demographics. It is being conducted to inform future revisions of the North American Waterfowl
Management Plan (NAWMP), an international agreement signed by the United States Secretary of the Interior, the
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Canadian Minister of the Environment, and the Mexican Secretary of the Environment and Natural Resources. NAWMP
lays out a strategy to restore waterfowl populations through habitat protection, restoration, and enhancement. The 2012
revised goals of NAWMP focused for the first time on people as well as waterfowl and their habitats. Specifically, the plan
states that “The needs and desires of people [as they relate to waterfowl] must be clearly understood and explicitly
addressed” and calls for more human dimensions research with waterfowl hunters, viewers, and the general public. The
plan recognizes the interconnectedness of waterfowl, their habitat, and stakeholders. Without human dimensions
information, NAWMP objectives may not reflect stakeholder and societal values, and management and policy decisions
may lead to actions that could be either irrelevant or counter to stakeholder and societal expectations.
The U.S. Geological Survey (USGS) Ecosystems Mission Area is funding this effort as it aligns with their mission to “work
with others to provide the scientific understanding and technologies needed to support the sound management and
conservation of our Nation's biological resources.” Specifically, the Ecosystems Mission Area “enters into partnerships
with scientific collaborators to produce high-quality scientific information and partnerships with the users of scientific
information to ensure this information's relevance and application to real problems.” The project also supports the
Department of Interior’s mission to “protect and manage the Nation’s natural resources and cultural heritage” and to
“provide scientific and other information about those resources.”
C. What is the legal authority?
The Fish and Wildlife Act of 1956 (16 U.S.C. 742(a)-742d, 742e-742j-2) “authorizes the Secretary of the Interior to take
steps required for the development, management, advancement, conservation, and protection of fisheries and wildlife
resources through research, acquisition of refuge lands, development of existing facilities, and other means.” Additionally,
the Migratory Bird Treaty Act of 1918 (16 U.S.C. 703-711) specifically “establishes Federal responsibility for protection
and management of migratory and nongame birds,” which includes waterfowl. As NAWMP directly impacts the
management and conservation of wildlife, specifically waterfowl, and their habitats, research, including the collection of
data, to support NAWMP objectives is authorized by these acts.
D. Why is this PIA being completed or modified?
New Information System
E. Is this information system registered in CSAM?
No
F. List all minor applications or subsystems that are hosted on this system and covered under this privacy impact
assessment.
Subsystem Name
Purpose
Contains PII
Describe
None
NA
No

G. Does this information system or electronic collection require a published Privacy Act System of Records Notice (SORN)?
Yes
List Privacy Act SORN Identifier(s)
National Water Information System (NWIS)—Interior, GS--1
H. Does this information system or electronic collection require an OMB Control Number?
Yes
Describe
This survey will ask the same set of questions of more than 9 members of the general public and thus requires OMB
clearance.

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A. What PII will be collected? Indicate all that apply.
Name

Religious Preference

Social Security Number (SSN)

Citizenship

Security Clearance

Personal Cell Telephone Number

Gender

Spouse Information

Tribal or Other ID Number

Birth Date

Financial Information

Personal Email Address

Group Affiliation

Medical Information

Mother’s Maiden Name

Marital Status

Disability Information

Home Telephone Number

Biometrics

Credit Card Number

Child or Dependent Information

Other Names Used

Law Enforcement

Employment Information

Truncated SSN

Education Information

Military Status/Service

Legal Status

Emergency Contact

Mailing/Home Address

Place of Birth

Driver’s License

Other

Race/Ethnicity

B. What is the source for the PII collected? Indicate all that apply.
Individual

Tribal agency

DOI records

State agency

Federal agency

Local agency

Third party source

Other

C. How will the information be collected? Indicate all that apply.
Paper Format

Face-to-Face Contact

Fax

Telephone Interview

Email

Web Site

Other

Information Shared Between Systems

D. What is the intended use of the PII collected?
A random list of names and mailing addresses will be obtained from a third party in order to send out surveys to a
representative sample of the general public. Names and addresses will not be used for any other purposes other than
mailing surveys.
The PII collected on the survey will be used to determine if certain groups within the general public differ statistically in
regards to the activities and issues asked about on the survey. Standard demographics such as gender, education level,
income, and race/ethnicity will be asked to enable analysis by group of other variables on the survey, including
awareness and perceptions of waterfowl and wetlands, participation in recreational activities, conservation behaviors, and
how the public obtains information on nature-related issues. For example, one analysis will determine if there is a
statistically significant difference between the percentages of men and women participating in certain recreation activities,
such as hunting, fishing, and wildlife viewing. All analyses will be conducted using aggregated data; at no time will any
analysis be conducted on data from a single individual. These analyses will help NAWMP better understand and meet the
needs of different groups of stakeholders.
E. With whom will the PII be shared, both within DOI and outside DOI? Indicate all that apply.
Within the Bureau/Office
Describe the bureau or office and how the data will be used.
The Social and Economic Analysis Branch, Fort Collins Science Center, U.S. Geological Survey, leads projects that
integrate social, behavioral, economic, and natural science in the context of human–natural resource interactions. Our
research provides scientific understanding and support for the management and conservation of our natural resources
in support of multiple agency missions.The research team for this survey is contained within the Social and Economic
Analysis Branch and the data will not be shared outside of the branch.
The PII collected on the survey will be used to determine if certain groups within the general public differ statistically in
regards to the activities and issues asked about on the survey. Standard demographics such as gender, education
level, income, and race/ethnicity will be asked to enable analysis by group of other variables on the survey, including
awareness and perceptions of waterfowl and wetlands, participation in recreational activities, conservation behaviors,
and how the public obtains information on nature-related issues.
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Other Bureaus/Offices
Other Federal Agencies
Tribal, State or Local Agencies
Contractor
Other Third Party Sources
F. Do individuals have the opportunity to decline to provide information or to consent to the specific uses of their PII?
Yes
Describe the method by which individuals can decline to provide information or how individuals consent to specific uses.
All responses to the survey are voluntary. No individuals are required to answer the questions. A cover letter will be
included with every survey which clearly states there is no requirement to respond to the survey, as well as what the
data collected will be used for. In addition, the survey itself will have a statement on it with the same information. All the
data will be used in the same way; there are no specific uses beyond informing the North American Waterfowl
Management Plan.
G. What information is provided to an individual when asked to provide PII data? Indicate all that apply.
Privacy Act Statement

Privacy Notice

Other

None

Describe each applicable format.
On every survey, we will include this statement:
Privacy Act Statement
AUTHORITY: The Fish and Wildlife Act of 1956 (16 U.S.C. 742(a)-742d, 742e-742j-2)
PRINCIPAL PURPOSE: The survey will assess the general public’s awareness and perceptions of waterfowl and
wetlands, as well as measure participation in recreational activities, conservation behaviors, how the public obtains
information on nature related issues, and demographics. It is being conducted to inform future revisions of the North
American Waterfowl Management Plan (NAWMP), an international agreement signed by the United States Secretary
of the Interior, the Canadian Minister of the Environment, and the Mexican Secretary of the Environment and Natural
Resources.
ROUTINE USE: The PII collected on the survey will be used to determine if certain groups within the general public
differ statistically in regards to the activities and issues asked about on the survey. Standard demographics such as
gender, education level, income, and race/ethnicity will be asked to enable analysis by group of other variables on the
survey, including awareness and perceptions of waterfowl and wetlands, participation in recreational activities,
conservation behaviors, and how the public obtains information on nature-related issues.
DISCLOSURE IS VOLUNTARY: All responses to the survey are voluntary. No individuals are required to answer the
questions.
H. How will data be retrieved? List the identifiers that will be used to retrieve information (e.g., name, case number, etc.).
Data will be retrieved from the system manually through aggregate analyses run in SPSS, a statistical program. Each set
of an individual’s responses to the survey will be identified by an ID number (not by PII) but there will be no retrieval of
individual data, only data in aggregate.
I. Will reports be produced on individuals?
No

A. How will data collected from sources other than DOI records be verified for accuracy?
Since this survey will be confidential, no names or addresses will be associated with the data. As such, verifying
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individual data for accuracy and reliability cannot (and should not) be done if confidentiality is to be maintained. Verifying
the accuracy and reliability of the aggregate data will be done through comparison with U.S. Census data. By statistically
comparing the demographic variables from the survey and the Census, the representativeness of the sample can be
determined.
B. How will data be checked for completeness?
All data will be quality controlled by a project researcher who will look at each record to check for completeness.

C. What procedures are taken to ensure the data is current? Identify the process or name the document (e.g., data models).
The data will be collected only once and is only intended to be representative for that point in time. The month and year
the data are collected will be clear in all file names. Reporting on the results of the data will take place within a year’s time
of the collection of the data and further reporting will not be needed. The data are not connected to other data through a
warehouse or other system so how current the data are will not affect other data.
D. What are the retention periods for data in the system? Identify the associated records retention schedule for the records
in this system.
Under the USGS General Records Disposition Schedule 101-02, the retention period for these data is 7 years or when
superseded, obsolete, or no longer needed, whichever is later.
E. What are the procedures for disposition of the data at the end of the retention period? Where are the procedures
documented?
At the end of the retention period, any paper copies of data will be shredded and disposed of by a company certified in
disposing of PII. Because this is research data, all electronic files containing data from the survey will remain stored on
secure servers as reference materials until no longer needed by the researchers. All other electronic files will be deleted.
F. Briefly describe privacy risks and how information handling practices at each stage of the “information lifecycle” (i.e.,
collection, use, retention, processing, disclosure and destruction) affect individual privacy.
During collection, tracking survey completions is necessary when following standard mail survey protocols, since
individuals are sent multiple mailings to give them ample opportunity to complete the survey if they wish. If an individual
has already completed the survey or requests to be taken off the mailing list, no further mailings are sent to them. In order
to track completions and removal requests, each individual’s name and mailing address will be assigned an ID number
and stored in a password-protected file on a USGS secure server. The list of random numbers is then loaded into a
separate password-protected file on a USGS secure server so the completed surveys can be tracked by the number
(names and addresses are not used for tracking). The surveys sent to individuals will have ID numbers on them, but no
other identifying information. Completed surveys are returned to the research team in business reply envelopes so they
do not have names and addresses on them. Once the surveys are returned, the data on the survey is entered into
another password-protected file which does not have the names, addresses, or ID number in it. The paper copies of the
surveys are kept in locked filing cabinets in a locked room in a USGS secure facility (a USGS Federal ID badge is
required to enter the building without an escort) for the duration of the collection. All electronic files will be passwordprotected and stored on USGS secure servers.
During use, only members of the USGS research team will have access to the files and will be conducting analyses on
the data.
During retention, all electronic files will be password-protected and stored on USGS secure servers. Once collection is
finished, all paper copies of data will be moved to a locked storage room in a secure USGS facility, accessible only by the
USGS research team.
Additional processing beyond the analyses of the data will not be done.
During disclosure, the data will only be presented in summaries as results of the analyses done by the research team. A
USGS report and journal articles are planned to report the results of the survey outside of the Department. There are no
risks associated with this reporting as no individual PII will be included. In the event of a Freedom of Information Act
request for the original data, the disclosure of PII gathered on the survey will be evaluated at that time to determine if it
should be included with the data. Names and addresses of the survey respondents would not be included in any FOIA
request in order to maintain confidentiality.

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During destruction, all paper copies of the data will be shredded and disposed of by a company certified in disposing of
PII. All electronic files (copies of files or working files) which are not final versions of the data set or reporting out will be
deleted. All other electronic files will remain password-protected, stored on USGS secure servers, and only accessible to
the USGS research team.

A. Is the use of the data both relevant and necessary to the purpose for which the system is being designed?
Yes
Explanation
The system is designed solely to house the data collected on the survey and the purpose of collecting the data is to
use it to assess the general public’s awareness and perceptions of waterfowl and wetlands, as well as measure
participation in recreational activities, conservation behaviors, how the public obtains information on nature-related
issues, and demographics and to inform future revisions of NAWMP.
This information collection effort is relevant to the U.S. Geological Survey (USGS) Ecosystems Mission Area’s mission
to “work with others to provide the scientific understanding and technologies needed to support the sound
management and conservation of our Nation's biological resources.” Specifically, the Ecosystems Mission Area “enters
into partnerships with scientific collaborators to produce high-quality scientific information and partnerships with the
users of scientific information to ensure this information's relevance and application to real problems.” The project also
supports the Department of Interior’s mission to “protect and manage the Nation’s natural resources and cultural
heritage” and to “provide scientific and other information about those resources.”
B. Does this system or electronic collection derive new data or create previously unavailable data about an individual
through data aggregation?
No
C. Will the new data be placed in the individual’s record?
No
D. Can the system make determinations about individuals that would not be possible without the new data?
No
E. How will the new data be verified for relevance and accuracy?
Since this survey will be confidential, no names or addresses will be associated with the data. As such, verifying
individual data for accuracy cannot (and should not) be done if confidentiality is to be maintained. Verifying the accuracy
of the aggregate data will be done through comparison with U.S. Census data. By statistically comparing the
demographic variables from the survey and the Census, the representativeness of the sample can be determined.
Standard survey practices will be followed to ensure the sample is representative, including beginning with a random
sample of the general public and mailing multiple surveys and reminder postcards to improve the response rate. If the
sample is found to not be representative of the population, the data will be weighted using the U.S. Census data to
ensure the results of the analyses are valid. The data is inherently relevant since the survey is designed to provide
information specific to NAWMP’s objectives.
F. Are the data or the processes being consolidated?
No, data or processes are not being consolidated
G. Who will have access to data in the system or electronic collection? Indicate all that apply.
Users

Developers

Contractors

Other

System Administrator

H. How is user access to data determined? Will users have access to all data or will access be restricted?
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All access to the data will be restricted to the USGS research team, a group of 7-8 users. Of the research team, two will
be undergraduate students, responsible for tracking survey completions and entering survey data. Neither will have
access to the data, only to forms where the data is entered. Once survey administration is finished, they will no longer
have access to any of the data. At that point, the rest of the team will be analyzing the survey data as needed. Only the
research project leader will have access to the files which contain names and addresses; the other researchers will have
access to only the data collected on the survey.
The local system administrator at the Fort Collins Science Center would have access to any files which are not passwordprotected but all files containing PII will be password-protected.
I. Are contractors involved with the design and/or development of the system, or will they be involved with the maintenance
of the system?
No
J. Is the system using technologies in ways that the DOI has not previously employed (e.g., monitoring software,
SmartCards or Caller ID)?
No
K. Will this system provide the capability to identify, locate and monitor individuals?
Yes
Explanation
The system has the ability to identify and monitor individual’s actions in a system through server logs which record log
on attempts, user names, files accessed, dates and times of access, and success or failure of actions taken. For
example, if an individual attempts to access a password-protected file and fails, that action is logged. The system will
only track the USGS researchers using the data. There is no public access.
L. What kinds of information are collected as a function of the monitoring of individuals?
Log on attempts, user names, files accessed, dates and times of access, and success or failing of actions taken are all
collected.
M. What controls will be used to prevent unauthorized monitoring?
Business rules, internal instructions, Privacy Act Warning notices, audit logs, and least privileges are all in place. For
example, all users see a banner when they log in consenting to monitoring and warning of unauthorized access. Users
also do not have administrative privileges, though the system administrator does. Additionally, as described previously,
server logs are kept but are only accessible by the system administrator.
N. How will the PII be secured?

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(1) Physical Controls. Indicate all that apply.
Security Guards
Secured Facility

Identification Badges

Combination Locks
Locked Offices

Key Cards

Closed Circuit Television

Safes

Locked File Cabinets

Cipher Locks

Other

(2) Technical Controls. Indicate all that apply.
Password
Intrusion Detection System (IDS)
Firewall

Virtual Private Network (VPN)

Encryption

Public Key Infrastructure (PKI) Certificates

User Identification

Personal Identity Verification (PIV) Card

Biometrics
Other
(3) Administrative Controls. Indicate all that apply.
Periodic Security Audits
Regular Monitoring of Users’ Security Practices
Backups Secured Off-site

Methods to Ensure Only Authorized Personnel Have Access to PII

Rules of Behavior

Encryption of Backups Containing Sensitive Data

Role-Based Training

Mandatory Security, Privacy and Records Management Training

Other
O. Who will be responsible for protecting the privacy rights of the public and employees? This includes officials responsible
for addressing Privacy Act complaints and requests for redress or amendment of records.
Holly Miller, the project leader and system owner, will be responsible for protecting the privacy rights of the public. The
USGS Privacy Act Officer will be responsible for addressing complaints and requests for redress of amendment of
records according to the processes outlined in the USGS Guide for Handling Privacy Act Records. Privacy complaints
and requests for redress or amendment of records should be addressed to:
USGS Privacy Officer
Mail Stop 159, National Center
Reston, VA 20192,
or emailed to: [email protected].
P. Who is responsible for assuring proper use of the data and for reporting the loss, compromise, unauthorized disclosure, or
unauthorized access of privacy protected information?
Holly Miller, the project leader, will be responsible for assuring proper use of the data and for reporting the loss,
compromise, unauthorized disclosure, or unauthorized access of privacy protected information to the USGS Privacy Act
Officer.

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Information System Owner
Email
[email protected]
First Name
Holly

M.I.
M

Last Name
Miller

Bureau/Agency
U.S. Geological Survey

Title
Social Scientist
Phone
(970) 226-9133

Electronically signed by: Holly M Miller
Date: Tue May 03 2016 11:52:49 GMT-0600
Reference number: DI-4001-ba6bb56bHM
U.S. Department of the Interior | Enterprise Forms System

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