Privacy impact statement

DI-4001 PIA Nonindigenous Species 2016-08-23.docx

Nonindigenous Aquatic Species Sighting Reporting Form and Alert Registration Form

Privacy impact statement

OMB: 1028-0098

⚠️ Notice: This form may be outdated. More recent filings and information on OMB 1028-0098 can be found here:

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Appendix A: DI-4001 PIA Form

Introduction

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: Nonindigenous Aquatic Species Sighting Reporting Form and Alert Registration Form

Date: 8/23/2016

Bureau/Office: USGS

Bureau/Office Contact Title: Botanist

Point of Contact

Email: [email protected]

First Name: Ian

M.I.: A.

Last Name: Pfingsten

Phone: 352-264-3517

Address Line 1: 7920 NW 71^st Street

Address Line 2:

City: Gainesville

State/Territory: FL

Zip: 32653

Section 1. General System Information

Is a full PIA required?

This is a threshold question. Indicate whether the system collects, maintains, uses or disseminates information about members of the general public, Federal employees, contractors, or volunteers. If the system does not contain any information that is identifiable to individual (e.g., statistical, geographic, financial), complete all questions in this section and obtain approval and required signatures in Section 5. The entire PIA must be completed for systems that contain information identifiable to individuals, including employees, contractors and volunteers.

Yes, information is collected from or maintained on

Members of the general public

Federal personnel and/or Federal contractors

Volunteers

All

No: Information is NOT collected, maintained, or used that is identifiable to the individual in this system. Only sections 1 and 5 of this form are required to be completed.

What is the purpose of the system?

Describe the purpose of the system and how it relates to the program office’s and Department’s mission. Include the context and background necessary to understand the purpose, the name of the program office and the technology, project or collection being assessed.

Through its Invasive Species Program (http://www.usgs.gov/ecosystems/invasive_species/), the USGS plays an important role in federal efforts to combat invasive species in natural and semi-natural areas through early detection and assessment of newly established invaders; monitoring of invading populations; and improving understanding of the ecology of invaders and factors in the resistance of habitats to invasion. The USGS provides the tools, technology, and information supporting efforts to prevent, contain, control, and manage invasive species nationwide. To meet user needs, the USGS also develops methods for compiling and synthesizing accurate and reliable data and information on invasive species for inclusion in a distributed and integrated web-based information system.

As part of the USGS Invasive Species Program, the Nonindigenous Aquatic Species (NAS) database (http://nas.er.usgs.gov/) functions as a repository and clearinghouse for occurrence information on nonindigenous aquatic species from across the United States. It contains locality information on more than 1,900 species of vertebrates, invertebrates, and vascular plants introduced since 1765. Taxa include foreign species as well as those native to North America that have been transported outside of their natural range. The NAS web site provides immediate access to new occurrence records through a real-time interface with the NAS database. Visitors to the web site can use a set of predefined queries to obtain lists of species according to state or hydrologic basin of interest. Fact sheets, distribution maps, and information on new occurrences are continually posted and updated. Dynamically generated species distribution maps show the spatial accuracy of the locations reported, population status, and links to more information about each report.

What is the legal authority?

A Federal law, Executive Order of the President (EO), or DOI requirement must authorize the collection and maintenance of a system of records. For Privacy Act systems, the response should reflect the information provided in the authority section of the Privacy Act system of records notice.

43 U.S.C. 31 et seq. The Organic Act of March 3, 1879, that established the Geological Survey, as amended (1962); and restated in annual appropriation acts. This section provides, among others, that the Geological Survey is directed to classify the public lands and examine the geological structure, mineral resources, and products within and outside the national domain.

Why is this PIA being completed or modified?

Indicate why the PIA is being conducted. For example, the system is being significantly modified or two systems are being merged together.

New Information System

New Electronic Collection

Existing Information System under Periodic Review

Merging of Systems

Significantly Modified Information System

Conversion from Paper to Electronic Records

Retiring or Decommissioning a System

Other: Describe

Is this information system registered in CSAM?

The completed PIA, associated system of records notice(s), and any other supporting artifacts must be entered into the CSAM system for each registered system or application.

Yes: Enter the UII Code and the System Security Plan (SSP) Name

List all minor applications or subsystems that are hosted on this system and covered under this privacy impact assessment.

Enter “None” if no subsystems or applications are hosted. For General Support Systems (GSS) be sure to include all hosted major applications, minor applications, or other subsystems, and describe the purposes and types of PII if any. Privacy risks must be identified and adequately addressed for each hosted application or subsystem identified in the GSS PIA. A separate PIA should be conducted for each hosted application or subsystem that contains PII to ensure privacy implications are assessed. In any case, the GSS PIA must identify all hosted applications, describe the relationship, and reference or append the PIAs conducted for the hosted applications. The GSS PIA and associated PIAs must be reviewed and approved by all officials as appropriate; and all related PIAs, SORNs and supporting artifacts must be entered into CSAM.

Subsystem Name

Purpose

Contains PII

(Yes/No)

Describe

If Yes, provide a description.

Sighting Reporting form

For USGS to collect reports of potential sightings from the public

Yes

Name, E-mail address, Postal Address, Telephone number

Alert Registration form

For the public to receive e-mail alerts of new sightings from USGS

Yes

Name, E-mail address, Password

Does this information system or electronic collection require a published Privacy Act System of Records Notice (SORN)?

A Privacy Act SORN is required if the information system or electronic collection contains information about individuals that is retrieved by name or other unique identifier. Provide the DOI or Government-wide Privacy Act SORN identifier and ensure it is entered in CSAM for this system. For new SORNS being developed, select "Yes" and provide a detailed explanation. Contact your Bureau Privacy Officer for assistance identifying the appropriate Privacy Act SORN(s).

Yes: List Privacy Act SORN Identifier(s)

National Water Information System (NWIS)—Interior, GS—1

Does this information system or electronic collection require an OMB Control Number?

The Paperwork Reduction Act requires an OMB Control Number for certain collections of information from ten or more members of the public. If information is collected from members of the public, contact your Bureau Information Collection Clearance Officer for assistance to determine whether you need to obtain OMB approval. Please include all OMB Control Numbers and Expiration Dates that are applicable.

Yes: Describe OMB Control Number 1028-0098

Section 2. Summary of System Data

What PII will be collected? Indicate all that apply.

Identify all the categories of PII that will be collected, stored, used, maintained or disseminated. Describe any additional categories of PII not already indicated, as well as any new information that is created (for example, an analysis or report), and describe how this is done and the purpose of that information.

Other: Specify the PII collected.

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

Include all sources of PII collected. For example, information may be collected directly from an individual through a written form, website collection, or through interviews over the phone or in person. Information may also come from agency officials and employees, agency records, from a computer readable extract from another system, or may be created within the system itself. If information is being collected through an interface with other systems, commercial data aggregators, or other agencies, list the source(s) and explain why information from sources other than the individual is required.

Individual

Federal agency

Tribal agency

Local agency

DOI records

Third party source

State agency

Other: Describe

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

Indicate all the formats or methods for collecting PII that will be used. If the system receives information from another system, such as a transfer of financial information or response to a background check, describe the system from which the information originates, how the information is used, and how the systems interface.

Paper Format

Face-to-Face Contact

Web site

Fax

Telephone Interview

Information Shared Between Systems

Other: Describe

What is the intended use of the PII collected?

Describe the intended uses of the PII collected and maintained in the system and provide a detailed explanation on how the data will be used. The intended uses must be relevant to the purpose of the system; for Privacy Act systems, uses must be consistent with the published system of records notice.

The following PII is collected when a sighting report or alert registration is submitted to the USGS NAS Database using the on-line forms:

Contact information: (Name, E-mail, Telephone Number, and Address). The USGS uses this information to identify and communicate with the respondent in the event that more information is needed about the observation for purposes of taxonomic or geographic verification. The USGS also uses the e-mail address to communicate alerts to registered users of the NAS Alert System. An e-mail address is required to login to the NAS Alert System to create custom alerts. No PII is actually required to submit a NAS sighting report.

Security information: (Password). The USGS uses this information to maintain the security of users registered to our Alert System. Passwords are encrypted by USGS staff not associated with the NAS program in order to reduce privacy risks of passwords displayed along with other PII.

PII submitted by respondents (e.g., names, postal addresses, phone numbers, and e-mail addresses) are not made publically available via the website or in related documents or publications. This information may, however, be shared with other government agencies in the local area to further the verification process, but only with the respondent’s permission.

With whom will the PII be shared, both within DOI and outside DOI? Indicate all that apply.

Indicate all the parties, both internal and external to DOI, with whom PII will be shared. Identify other DOI offices with assigned roles and responsibilities within the system, or with whom information is shared, and describe how and why information is shared. Also, identify other federal, state and local government agencies, private sector entities, contractors or other external third parties with whom information is shared; and describe any routine information sharing conducted with these external agencies or parties, and how such external sharing is compatible with the original purpose of the collection of the information. If sharing is pursuant to a Computer Matching Agreement, provide an explanation. For Privacy Act systems, describe how an accounting for the disclosure is maintained.

Within the Bureau/Office: Describe the bureau/office and how the data will be used. USGS/Wetlands and Aquatic Research Center houses the NAS Program of both federal and contract staff

Other Bureaus/Offices: Describe the bureau/office and how the data will be used.

Other Federal Agencies: Describe the federal agency and how the data will be used.

Tribal, State or Local Agencies: Describe the Tribal, state or local agencies and how the data will be used.

Contractor: Describe the contractor and how the data will be used.

NAS Program staff include Cherokee Nation Technologies contractors who validate the sighting reports submitted.

Other Third Party Sources: Describe the third party source and how the data will be used.

Do individuals have the opportunity to decline to provide information or to consent to the specific uses of their PII?

If “Yes,” describe the method by which individuals can decline to provide information or how individuals consent to specific uses. If “No,” state the reason why individuals cannot object or why individuals cannot give or withhold their consent.

Yes: Describe the method by which individuals can decline to provide information or how individuals consent to specific uses.

Submission of the online NAS Sighting Reporting form does not require users to provide PII, but the option to provide PII is available for users that want attribution and/or wish to be contacted by NAS program staff.

No: State the reason why individuals cannot object or why individuals cannot give or withhold their consent.

The NAS Alert Registration form does require a valid e-mail address and a user-generated password. This requirement is to be able to send electronic NAS sighitng alerts via e-mail to users of our Alert System. The Alert Registration requires a password for users' security from individuals, including NAS program staff, viewing their Alert System custom alerts.

What information is provided to an individual when asked to provide PII data? Indicate all that apply.

Describe how notice is provided to the individual about the information collected, the right to consent to uses of the information, and the right to decline to provide information. For example, privacy notice to individuals may include Privacy Act Statements, posted Privacy Notices, privacy policy, and published SORNs and PIAs. Describe each format used and, if possible, provide a copy of the Privacy Act Statement, Privacy Notice, or a link to the applicable privacy policy, procedure, PIA or referenced SORN Federal Register citation (e.g., XX FR XXXX, Date) for review. Also describe any Privacy Act exemptions that may apply and reference the Final Rule published in the Code of Federal Regulations (43 CFR Part 2).

Privacy Act Statement: Describe each applicable format.

The following statements are presented as pop-up windows with accept/decline options upon loading the form web pages:

Sighting Reporting Form Privacy Act Statement:

Authority: Nonindigenous Aquatic Nuisance Control and Prevention Act of 1990 - Public Law 101-646 [Nov 29, 1990]

System of Records: Computer Registration System (Interior/USGS-20) published at 74 FR 23430 [May 19, 2009].

Principal purpose: The principal purpose for collecting this information is to track nonindigenous aquatic species in the U.S. We estimate it will take 3 minutes to complete the observation form.

Routine use: This information will be used by the U.S. Geological Survey to monitor and provide information concerning the status, distribution, and potential impacts of nonnative aquatic organisms.

Disclosure is voluntary: You are not required to provide your personal contact information in order to submit a sighting. However, if you do not provide contact information, we may be unable to contact you for additional information to confirm and verify your sighting.

Alert Registration Form Privacy Act Statement:

Authority: Nonindigenous Aquatic Nuisance Control and Prevention Act of 1990 - Public Law 101-646 [Nov 29, 1990]

System of Records: Computer Registration System (Interior/USGS-20) published at 74 FR 23430 [May 19, 2009].

Principal purpose: The principal purpose for collecting this information is to alert users to new occurrences of nonindigenous aquatic species in the U.S. We expect this form requires 1 minute to complete the registration.

Routine use: This information will be used by the U.S. Geological Survey to provide information concerning the status, distribution, and potential impacts of nonnative aquatic organisms to users who registered with our alert system.

Disclosure is voluntary: You are not required to provide your personal contact information in order to view alerts on our NAS Alert System website. However, if you do not provide contact information, we will be unable to notify you of alerts via e-mail.

Privacy Notice: Describe each applicable format.

Other: Describe each applicable format.

Paperwork Reduction Act Statements are also presented in the same pop-window with the Privacy Act Statements

None

How will the data be retrieved? List the identifiers that will be used to retrieve information (e.g., name, case number, etc.).

Describe how data is retrieved from the system. For example, is data retrieved manually or via reports generated automatically? Are specific retrieval identifiers used or does the system use key word searches? Be sure to list the identifiers that will be used to retrieve data (e.g., name, case number, Tribal Identification Number, subject matter, date, etc.).

The data is automatically retrieved when users submit the online forms. The form submissions are given ID numbers in our internal database to identify unique submissions.

Will reports be produced on individuals?

Indicate whether reports will be produced on individuals. Provide an explanation on the purpose of the reports generated, how the reports will be used, what data will be included in the reports, who the reports will be shared with, and who will have access to the reports. Many systems have features that allow reports to be generated on data in the system or on user actions within the system.

Yes: What will be the use of these reports? Who will have access to them?

Section 3. Attributes of System Data

How will data collected from sources other than DOI records be verified for accuracy?

Data accuracy and reliability are important requirements in implementing the Privacy Act which requires that agencies only maintain data that is accurate, relevant, timely, and complete about individuals. The information has to have some form of verification for accuracy due to the Privacy Act provisions that require that only relevant and accurate records should be collected and maintained about individuals.

Upon submission of a sighting report form, any submitted PII is reported as e-mails to USGS NAS staff experts and stored internally on our database. NAS staff will contact the repondent only if there are inconsistencies or ambiguities with the report submission.

Upon submission of an alert registration form, the user is contacted by e-mail to verify their e-mail address in order to receive NAS alerts.

How will data be checked for completeness?

Describe the procedures to ensure data is checked for completeness. To the extent practical, PII should be checked for completeness to ensure accuracy within the context of the use of the data.

The only required PII for form submission completeness is a valid e-mail address and a password in the alert registration form. Respondents will be notified on our form if they did not complete these fields.

What procedures are taken to ensure the data is current? Identify the process or name the document (e.g., data models).

Describe the steps or procedures taken to ensure the data is current and not out-of-date. Where are they documented? For example, are they outlined in standard operating procedures or data models? Data that is not current also affects the relevancy and accuracy of the data. This is particularly true with data warehousing. A data warehouse is a repository of an organization's electronically stored data and is designed to facilitate reporting and analysis. A data warehouse may contain data that is not current which would cause a domino effect throughout the data stores.

Contact information is assumed current at the time of form submission due to self-reporting by the individual. Generally, no further update or modification to PII data is performed; however, we research current contact information including affiliations of federal, state, and local government employees as required.

What are the retention periods for data in the system? Identify the associated records retention schedule for the records in this system.

Identify all applicable records retention schedules or explain at what development stage the proposed records retention schedule is in. Information system owners must consult with Bureau/Office Records Officers early in the development process to ensure that appropriate retention and destruction schedules are identified, or to develop a records retention schedule for the records contained in the information system. Be sure to include applicable records retention schedules for different types of information or subsets of information and describe if subsets of information are deleted and how they are deleted.

All records are retained indefinitely on our internal database.

What are the procedures for disposition of the data at the end of the retention period? Where are the procedures documented?

Describe policies and procedures for how PII that is no longer relevant and necessary is purged. This may be obtained from records retention schedules, the Departmental Manual, bureau/office records management policies, or standard operating procedures.

Hardcopy records will be shredded or pulped. Electronic records will be deleted. Backup tapes are reinitialized and reused. Procedures are documented in section MP-06 of the Standard Operating Procedures for Media Protection (MP) document.

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.

Describe and analyze the major potential privacy risks identified and discuss the overall impact on the privacy of employees or individuals. Include a description of how the program office has taken steps to protect individual privacy and mitigate the privacy risks. Provide an example of how information is handled at each stage of the information life cycle. Also discuss privacy risks associated with the sharing of information outside of the Department and how those risks were mitigated. Discuss whether access controls have been implemented and whether audit logs are regularly reviewed to ensure appropriate sharing outside of the Department.

Personally identifiable information submitted by respondents (e.g., names, postal addresses, phone numbers, and e-mail addresses) are not made publically available via the website or in related documents or publications. This information may, however, be shared with other government agencies in the local area to further the verification process, but only with the respondent’s permission. The only individuals with access to PII from our web forms are NAS program staff.

Users must enter their passwords along with their registered e-mail address to create custom e-mail alerts. User passwords are kept encrypted on our internal database to protect the user from the security risk of NAS program staff obtaining their personal password or associating their password with other PII.

Section 4. PIA Risk Review

Is the use of the data both relevant and necessary to the purpose for which the system is being designed?

Describe how the use of the system or information collection relates to the purpose of the underlying mission of the organization. Is the information directly relevant and necessary to accomplish the specific purposes of the system? For Privacy Act systems, the Privacy Act at 5 U.S.C. 552a(e)(1) requires that each agency shall maintain in its records only such information about an individual that is relevant and necessary to accomplish an agency purpose required by statute or by executive order of the President.

Yes: Explanation The NAS program utilizes non-native aquatic species sightings from public and private citizens to publically provide current distribution maps and data of NAS. If it did not have this information via sighting reports, the USGS could not as effectively or efficiently carry out the mandate of the National Invasive Species Act of 1996. Specifically the USGS would not be able to:

• provide comprehensive information that could be used to prevent the introduction of invasive species;

• detect, respond rapidly to, and control populations of such species in a cost-effective and environmentally sound manner;

• assist in monitoring invasive species populations accurately and reliably;

• provide for restoration of native species and habitat conditions in ecosystems that have been invaded;

• conduct research on invasive species and develop technologies to prevent introduction and provide for environmentally sound control of invasive species; and

• promote public education on invasive species and the means to address them.

The NAS program utilizes custom alerts by individuals in order to provide individuals with timely alerts for early detection and rapid response purposes. Our NAS Alert System creates an efficient means to assist those interested in management of invasive species per the Executive Order 13112 on Invasive Species (Feb 3, 1999).

Does this system or electronic collection derive new data or create previously unavailable data about an individual through data aggregation?

Does the technology create new data or conduct electronic searches, queries, or analysis in an electronic database to discover or locate a predictive pattern or anomaly? Is data aggregated in a way that will permit system users to easily draw new conclusions or inferences about an individual? Electronic systems can sift through large amounts of information in response to user inquiry or programmed functions, or perform complex analytical tasks resulting in other types of data, matching, relational or pattern analysis, or reporting. Discuss the results generated by these uses and include an explanation on how the results are generated, whether by the information system or manually by authorized personnel. Explain the purpose and what will be done with the newly derived data. Derived data is obtained from a source for one purpose and then used to deduce/infer a separate and distinct bit of information to form additional information that is usually different from the original source information. Aggregation of data is the taking of various data elements and turning it into a composite of all the data to form another type of data, e.g., tables or data arrays.

Yes: Explain what risks are introduced by this data aggregation and how these risks will be mitigated.

Will the new data be placed in the individual’s record?

Will the results or new data be placed in individuals’ records? Explain in detail the purpose of creating the new data, how it will be used, by whom it will be used, with whom it will be shared, and any resulting effect on individuals.

Yes: Explanation

Can the system make determinations about individuals that would not be possible without the new data?

Will the new data be used to make determinations about individuals or will it have any other effect on the subject individuals? Explain in detail the purpose of creating the new data, how it will be used, by whom it will be used, with whom it will be shared, and any resulting effect on individuals.

Yes: Explanation

How will the new data be verified for relevance and accuracy?

Explain how accuracy of the new data is ensured. Describe the process used for checking accuracy. Also explain why the system does not check for accuracy. Describe any technical solutions, policies, or procedures focused on improving data accuracy and integrity of the project.

Are the data or the processes being consolidated?

If the data is being consolidated, that is, combined or united into one system, application, or process, then the existing controls should remain to protect the data. If needed, strengthen the control(s) to ensure that the data is not inappropriately accessed or used by unauthorized individuals. Minimum sets of controls are outlined in OMB Circular A-130, Appendix III. The DOI Security Control Standards (based on NIST SP 800-53 and FedRAMP) describe the practice of identification and authentication that is a technical measure that prevents unauthorized people or processes from accessing data. The IT Security A&A process requires a system security plan outlining the implementation of the technical controls associated with identification and authentication.

Yes, data is being consolidated. Describe the controls that are in place to protect the data from unauthorized access or use.

Yes, processes are being consolidated. Describe the controls that are in place to protect the data from unauthorized access or use.

No, data or processes are not being consolidated.

Who will have access to data in the system or electronic collection? Indicate all that apply.

Describe the process by which an individual receives access to the information within the system. Explain what roles these individuals have and their level of access. If remote access to the system is allowed or external storage or communication devices interact with the system, describe any measures in place to secure the transmission and storage of data (e.g., encryption and/or two-factor authentication). Do users have “read-only” access or are they authorized to make changes in the system? Also consider “other” users who may not be as obvious, such as the GAO or the Inspector General, database administrators, website administrators or system administrators. Also include those listed in the Privacy Act system of records notice under the “Routine Uses” section when a Privacy Act system of records notice is required.

Users

Contractors

Developers

System Administrator

Other: Describe 

How is user access to data determined? Will users have access to all data or will access be restricted?

Users are normally only given access to certain data on a “need-to-know” basis for information that is needed to perform an official function. Care should be given to avoid “open systems” where all information can be viewed by all users. System administrators may be afforded access to all of the data depending upon the system or application. However, access should be restricted when users may not need to have access to all the data. For more guidance on this, refer to the Federal Information Processing Standards [FIPS] Publications in the authorities section. The DOI Security Control Standards (based on NIST SP 800-53 and FedRAMP) describe the practice of applying logical access controls, which are system-based means by which the ability is explicitly enabled or restricted. It is the responsibility of information system owners to ensure no unauthorized access is occurring.

Users will have access only to their PII entered on our forms. NAS program staff (federal and contract) whom have successfully completed FISSA training will have access to users' PII, with the exception of users' passwords, which are encrypted by USGS staff unaffiliated with the NAS program.

Are contractors involved with the design and/or development of the system, or will they be involved with the maintenance of the system?

Yes. Were Privacy Act contract clauses included in their contracts and other regulatory measures addressed?

Contractors are required to undergo FISSA training and certification.

Is the system using technologies in ways that the DOI has not previously employed (e.g., monitoring software, SmartCards or Caller ID)?

Are there new technologies used to monitor activities of the individual in any way? Access logs may already be used to track the actions of users of a system. Describe any new software being used, such as keystroke monitoring.

Yes. Explanation

Will this system provide the capability to identify, locate and monitor individuals?

Most systems now provide the capability to identify and monitor individual’s actions in a system (e.g., audit trail systems/ applications). For example, audit logs may record username, time and date of logon, files accessed, or other user actions. Check system security procedures for information to respond to this question.

Yes. Explanation

What kinds of information are collected as a function of the monitoring of individuals?

The DOI Security Control Standards (based on NIST SP 800-53 and FedRAMP) detail how audit logs should be used for DOI systems. Provide what audit activities are maintained to record system and user activity including invalid logon attempts and access to data. The IT Security A&A process requires a system security plan outlining the implementation of the technical controls associated with identification and authentication of users to the system. Examples of information collected may include username, logon date, number of failed logon attempts, files accessed, and other user actions on the system.

None.

What controls will be used to prevent unauthorized monitoring?

Certain laws and regulations require monitoring for authorized reasons by authorized employees. Describe the controls in place to ensure that only authorized personnel can monitor use of the system. For example, business rules, internal instructions, posting Privacy Act Warning Notices address access controls, in addition to audit logs and least privileges. It is the responsibility of information system owners and system managers to ensure no unauthorized monitoring is occurring.

N/A

How will the PII be secured?

Discuss how each privacy risk identified was mitigated. Specific risks may be inherent in the sources or methods of collection, or the quality or quantity of information included. Describe auditing features, access controls, and other possible technical and policy safeguards such as information sharing protocols, or special access restrictions. Do the audit features include the ability to identify specific records each user can access? How is the system audited? For example, does the system perform self audits, or is the system subject to third party audits or reviews by the Office of Inspector General or Government Accountability Office (GAO). Does the IT system have automated tools to indicate when information is inappropriately accessed, retrieved or misused? Describe what privacy and security training is provided to system users. Examples of controls include rules of behavior, encryption, secured facilities, firewalls, etc.

Physical Controls. Indicate all that apply.

Security Guards

Key Guards

Locked File Cabinets

Secured Facility

Closed Circuit Television

Cipher Locks

Identification Badges

Safes

Combination Locks

Locked Offices

Other. Describe 

Technical Controls. Indicate all that apply.

Password

Firewall

Encryption

User Identification

Biometrics

Intrusion Detection System (IDS)

Virtual Private Network (VPN)

Public Key Infrastructure (PKI) Certificates

Personal Identity Verification (PIV) Card

Other. Describe 

Administrative Controls. Indicate all that apply.

Periodic Security Audits

Backups Secured Off-site

Rules of Behavior

Role-Based Training

Regular Monitoring of Users’ Security Practices

Methods to Ensure Only Authorized Personnel Have Access to PII

Encryption of Backups Containing Sensitive Data

Mandatory Security, Privacy and Records Management Training

Other. Describe 

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.

Although all employees who have access to information in a Privacy Act system have responsibility for protecting and safeguarding that information, often the information system owner and Privacy Act system manager share the responsibility for protecting the privacy rights of employees and the public. For Privacy Act responsibilities refer to 383 Department Manual Chapters 1-13 and DOI Privacy Act regulations at 43 CFR Part 2. Also, describe how Privacy Act complaints and requests for redress or amendment of records are addressed.

The USGS, Nonindigenous Aquatic Species Database System Owner and the official responsible for oversight and management of the NWIS security controls and the protection of agency information processed and stored by the NWIS program. The Information System Owner and the Nonindigenous Aquatic Species Database Privacy Act System Manager are responsible for ensuring adequate safeguards are implemented to protect individual privacy in compliance with Federal laws and policies for the data managed and stored in Nonindigenous Aquatic Species Database. Agency data in the Nonindigenous Aquatic Species Database is under the control of the agency and is responsible for protecting the privacy rights of the public and employees for the information they collect, maintain, and use in the system, and for meeting the requirements of the Privacy Act, including providing adequate notice, making decisions on Privacy Act requests for notification, access, and amendments, as well as processing complaints.

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?

This may be the information system owner and Privacy Act system manager, or may be another individual with designated responsibility, or otherwise stipulated by contract or in language contained in an agreement (e.g., Head of the Bureau or Program Manager). There may be multiple responsible officials. Consider a system that contains several databases from different program offices; there may be one information system owner and several Privacy Act system managers. Also, describe who is responsible for reporting the loss, compromise, unauthorized disclosure, or unauthorized access of privacy protected information.

The Nonindigenous Aquatic Species Database Information System Owner is responsible for oversight and management of the Nonindigenous Aquatic Species Database security and privacy controls, and for ensuring to the greatest possible extent that Nonindigenous Aquatic Species Database agency data is properly managed and that all access to agency data has been granted in a secure and auditable manner. The Information System Owner is also responsible for ensuring that any loss, compromise, unauthorized access or disclosure of customer agency and agency PII is reported to the customer agency and US-CERT within 1-hour of discovery in accordance with Federal policy and established procedures

Section 5. Review and Approval

PIAs for Bureau or Office level systems must be signed by the designated Information System Owner, Information System Security Officer, and Bureau Privacy Officer, and approved by the Bureau Assistant Director for Information Resources as the Reviewing Official. Department-wide PIAs must be signed by the designated Information System Owner, Information System Security Officer, and Departmental Privacy Officer, and approved by the DOI Chief Information Officer/Senior Agency Official for Privacy as the Reviewing Official.

Information System Owner

Email: [email protected]

First Name: Pam M.I.: L. Last Name: Fuller Title:

Bureau/Agency: USGS/WARC Phone: 352-264-3481 Date:

Signature:

Information System Security Officer

Email: [email protected]

First Name: Ian M.I.: A. Last Name: Pfingsten Title:

Bureau/Agency: Cherokee Nation Technologies Phone: 352-264-3517 Date:

Signature:

Privacy Officer

Email: [email protected]