Noaa4930 Pia

U.S. Department of Commerce
NOAA

Privacy Impact Assessment
For the
NOAA4930 System
National Marine Fisheries Service (NMFS) – Southwest Fisheries
Science Center

Reviewed by:

__ Mark Graff _____________________, Bureau Privacy Officer or Designee

Approved by:

DN: cn=Catrina D. Purvis, o=Office of
_________________________________,
DOC Chief Privacy Officer
the Secretary, Office of Privacy and

Catrina D.
Purvis
_________________________________
Digitally signed by Catrina D. Purvis

Date approved:

Open Government, ou=US
Department of Commerce,
[email protected], c=US
Date: 2016.02.04 10:03:41 -05'00'

U.S. Department of Commerce Privacy Impact Assessment
National Marine Fisheries Service/Southwest Fisheries Science Center
(NOAA4930)
Unique Project Identifier: 006-000351100 00-48-02-00-01-00
Introduction: System Description
NOAA4930 is a General Support System supporting approximately 375 users consisting of
scientific, administrative, and support staff (federal employees and contractors) distributed
among the California cities of La Jolla, Santa Cruz, and Monterey. There are a variety of
hardware platforms and operating systems interconnected on this network system. The systems
are designed and configured to support the staff in meeting the agency mission.
The primary functions provided include:
•
•
•
•
•
•
•
•
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Network File Storage, Sharing, and Printing
Internet Access
NMFS Wide Area Network Connectivity
Administrative Support Systems
Scientific Database Access – contains PII and BII.
Scientific Statistical Data Analysis
Geographic Information Systems
Web Based Information Dissemination
Telecommunications

As a requirement of the Highly Migratory Species (HMS) Fisheries Management Plan (FMP)
implemented in 2005, participants (captains of permitted vessels) in HMS fisheries in the Pacific
are required to submit logbook information on fishing activities. In addition, to monitor these
fisheries and provide accurate catch estimates as required under the FMP and international
obligations, landings information is collected and maintained. Biological and life history data are
also collected and maintained to supplement stock assessment information used to assess and
monitor fish stocks. The logbook and landings data contain information that identifies fishery
participants and contains information related to the business practices of those participants:
Names, contact information including work and home e-mail and mailing addresses and phone
numbers, vessel and processor identifiers and sales information including dates, buyers, sellers,
amounts and prices. These data are submitted to the Southwest Fisheries Science Center
(SWFSC), where the information is entered into a centralized Oracle database, in an encrypted
table space, that is located and maintained at the National Marine Fisheries Service (NMFS)
Office of Science and Technology in Silver Spring, Maryland. The data are maintained by
SWFSC staff and summarized for reporting. Summarization of the data follows established
business rules for maintaining confidentiality of the summaries. Any information obtained from
fewer than three persons is further aggregated and combined with other data.
Authorized users (NMFS employees and contractors) have access to the confidential logbook
and landings information and access is controlled through database roles. All authorized users
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that access confidential information must sign a non-disclosure agreement that certifies that the
user has read and understands NOAA Administrative Order on Confidentiality of Statistics
(NAO 216-100). These non-disclosure agreements are maintained at SWFSC.
The categories of data inputted, stored and processed include administrative, scientific,
statistical, economic, research and development, and technical.
The Southwest Highly Migratory Species database (SWHMS) contains database links to external
systems that contain BII. These external database systems, including Pacific States Marine
Fisheries Commission (PacFIN) – a private interstate commission that warehouses state data and
provides access to authorized users like us – and the U.S. Coast Guard, are accessed through user
accounts. We do not distribute or share this BII from our system. The information we receive
from those databases is summarized to a non-confidential level and shared in non-confidential
data products and reports.
Information collected and managed in the system is mandated under Magnuson-Stevens Fishery
Conservation and Management Act (MSA) re-authorization (H.R. 5946--109th Congress),
Pacific Highly Migratory Species Fisheries Management Plan (50 CFR Parts 223, 224 and 660)
and international reporting obligations. As part of these reporting obligations, information in this
system is shared case by case within NOAA, with state, local and tribal governments which
provide us with logbook and landings data, and with foreign entities such as the Inter-American
Tropical Tuna Commission, who in turn provide us with summaries of catch and effort data from
member countries that fish for HMS in the Pacific. That is, we receive raw data from the state,
local and tribal governments, and summarized data from foreign entities, and then we share the
state, local and tribal summaries with the applicable foreign entities and the foreign entities’
summaries with the state, local and tribal governments.
The impact level of this system is moderate.
Section 1: Information in the System
1.1

Indicate what personally identifiable information (PII)/business identifiable information
(BII) is collected, maintained, or disseminated. Check all that apply.

Identifying Numbers (IN)
a. Social Security
e.
b. Taxpayer ID
f.
c. Employee ID
g.
d. File/Case ID
h.
m. Other identifying numbers (specify):
Vessel identifier, processor identifier
General Personal Data (GPD)
a. Name
X
b. Maiden Name
c. Alias
d. Gender
e. Age

g.
h.
i.
j.
k.

Alien Registration
Driver’s License
Passport
Credit Card

i.
j.
k.
l.

Financial Account
Financial Transaction
Vehicle Identifier
Employer ID Number

Date of Birth
Place of Birth
Home Address
Telephone Number
Email Address

m.
n.
o.
p.
q.

Religion
Financial Information
Medical Information
Military Service
Physical Characteristics

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X
X
X

f. Race/Ethnicity
l. Education
s. Other general personal data (specify):

r. Mother’s Maiden Name

Work-Related Data (WRD)
a. Occupation
d. Telephone Number
X
g.
b. Job Title
e. Email Address
X
h.
c. Work Address
X
f. Business Associates
i. Other work-related data (specify):
Business sales information including dates, buyers, sellers, amounts, and prices.
Distinguishing Features/Biometrics (DFB)
a. Fingerprints
d. Photographs
b. Palm Prints
e. Scars, Marks, Tattoos
c. Voice
f. Vascular Scan
Recording/Signatures
j. Other distinguishing features/biometrics (specify):

g.
h.
i.

System Administration/Audit Data (SAAD)
a. User ID
c. Date/Time of Access
b. IP Address
d. Queries Run
g. Other system administration/audit data (specify):

Salary
Work History

DNA Profiles
Retina/Iris Scans
Dental Profile

e. ID Files Accessed
f. Contents of Files

Other Information (specify)

1.2

Indicate sources of the PII/BII in the system. Check all that apply.

Directly from Individual about Whom the Information Pertains
In Person
Hard Copy: Mail/Fax
Telephone
X
Email
Other (specify):

Government Sources
Within the Bureau
State, Local, Tribal
Other (specify):

X
X

Other DOC Bureaus
Foreign

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X
X

X

Online

X

Other Federal Agencies

X

Non-government Sources
Public Organizations
Commercial Data Brokers
Other (specify):

Public Media, Internet

Private Sector

X

Section 2: Purpose of the System
2.1

Indicate why the PII/BII in the system is being collected, maintained, or disseminated.
Check all that apply.

Purpose
To determine eligibility
For administrative matters
For litigation
For civil enforcement activities
Other (specify): In compliance with federal and
international mandates

For administering human resources programs
To promote information sharing initiatives
For criminal law enforcement activities
For intelligence activities

X
X
X

Section 3: Use of the System
3.1

Provide an explanation of how the bureau will use the PII/BII to accomplish the checked
purpose(s), e.g., to verify existing data. Describe why the PII/BII that is collected,
maintained, or disseminated is necessary to accomplish the checked purpose(s) and further
the mission of the bureau and/or the Department. Indicate if the PII/BII identified in
Section 1.1 of this document is in reference to a federal employee/contractor, member of
public, foreign national, visitor or other (specify).

The information collected under the authority of the HMS FMP and international treaty
requirements is used to monitor compliance with federal mandates and international reporting
requirements (civil enforcement). Contact information is used to contact the submitter when
insufficient or erroneous data are submitted. Information is collected from members of the
public.
Under requirements of the Western and Central Pacific Commission (WCPF), vessel
identifiers are required to be submitted with individual fishing set information. Logbook and
landings information, collected from NMFS permit holders and from state, local and tribal
entities, are required to be submitted under FMPs and international reporting obligations. This
information is used to ensure that all vessel owners that catch or sell HMS have a valid permit.
Information is collected from members of the public.

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Section 4: Information Sharing
4.1

Indicate with whom the bureau intends to share the PII/BII in the system and how the
PII/BII will be shared.

Recipient
Within the bureau
DOC bureaus
Federal agencies
State, local, tribal gov’t agencies
Public
Private sector
Foreign governments
Foreign entities
Other (specify):

Caseby-Case
X

Bulk
Transfer

How Information will be Shared
Direct
Other (specify)
Access

X

X

The PII/BII in the system will not be shared.

Section 5: Notice and Consent
5.1

Indicate whether individuals will be notified if their PII/BII is collected, maintained, or
disseminated by the system. Check all that apply.
Yes, notice is provided pursuant to a system of records notice published in the Federal Register and
discussed in Section 6.

X

Yes, notice is provided by other means.

No, notice is not provided.

5.2
X

Indicate whether and how individuals have an opportunity to decline to provide PII/BII.
Yes, individuals have an opportunity to
decline to provide PII/BII.
No, individuals do not have an
opportunity to decline to provide
PII/BII.

5.3

X

Specify how: Notice is provided by language in the logbooks,
sent to the fishermen, stating that the information must be
submitted in order to maintain a Federal permit, per cited
regulations.
Specify why not:

Specify how: Individuals may decline to provide the
information by not submitting the logbook, but in order to
maintain a Federal fishing permit, it must be provided.
Specify why not:

Indicate whether and how individuals have an opportunity to consent to particular uses of
their PII/BII.
Yes, individuals have an opportunity to
consent to particular uses of their
PII/BII.

Specify how: The information collected is only used for the
stated purposes of monitoring and reporting at the level required
under federal and international requirements. Individuals
provide consent by completing and submitting the logbook.

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No, individuals do not have an
opportunity to consent to particular
uses of their PII/BII.

5.4

X

Specify why not:

Indicate whether and how individuals have an opportunity to review/update PII/BII
pertaining to them.
Yes, individuals have an opportunity to
review/update PII/BII pertaining to
them.

No, individuals do not have an
opportunity to review/update PII/BII
pertaining to them.

Specify how:
Periodic renewal notices are sent to permit holders, which give
them the opportunity to update their information collected.
Vessel name changes and other updates can be provided on the
permit renewal forms that are collected and maintained.
Fishermen can also call the Permits Program Office to provide
updates.
Specify why not:

Section 6: Administrative and Technological Controls
6.1 Indicate the administrative and technological controls for the system. Check all that
apply.
X
X
X
X
X
X
X
X

All users signed a confidentiality agreement.
All users are subject to a Code of Conduct that includes the requirement for confidentiality.
Staff received training on privacy and confidentiality policies and practices.
Access to PII/BII is restricted to authorized personnel only.
The information is secured in accordance with FISMA requirements. Provide date of most recent
Assessment and Authorization: _____8/26/2015____________
The Federal Information Processing Standard (FIPS) 199 security impact category for this system is a
moderate or higher.
NIST 800-122 recommended security controls for protecting PII/BII are in place and functioning as
intended; or have an approved Plan of Action and Milestones (POAM).
Contractors that have access to the system are subject to information security provisions in their contracts
required by DOC policy.
Other (specify):

Section 7: Privacy Act
7.1

Indicate whether a system of records is being created under the Privacy Act, 5 U.S.C.
§ 552a. (A new system of records notice (SORN) is required if the system is not covered by
an existing SORN).
As per the Privacy Act of 1974, “the term ‘system of records’ means a group of any records under the control of any agency from which
information is retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to
the individual.”

X

Yes, this system is covered by an existing system of records notice.
Provide the system name and number: Fishermen's Statistical Data--COMMERCE/NOAA-6.

6

Yes, a system of records notice has been submitted to the Department for approval on (date).
No, a system of records is not being created.

Section 8: Retention of Information
8.1

Indicate whether these records are covered by an approved records control schedule and
monitored for compliance. Check all that apply.

X

There is an approved record control schedule.
Provide the name of the record control schedule:
NOAA records schedule chapter 1505-11 and 1507-11
No, there is not an approved record control schedule.
Provide the stage in which the project is in developing and submitting a records control schedule:

X

Yes, retention is monitored for compliance to the schedule.
No, retention is not monitored for compliance to the schedule. Provide explanation:

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Appendix A
In the first column, please complete as “in place,” “POAM ID # ____,” “N/A,” or “RA (Risk
Accepted.”
In Place
In Place
In Place

In Place
N/A

In Place

In Place

In Place

In Place
In Place

In Place
In Place

In Place

In Place
In Place
In Place

In Place

Access Enforcement (AC-3). Organizations can control access to PII through access
control policies and access enforcement mechanisms (e.g., access control lists).
Separation of Duties (AC-5). Organizations can enforce separation of duties for
duties involving access to PII.
Least Privilege (AC-6). Organizations can enforce the most restrictive set of
rights/privileges or accesses needed by users (or processes acting on behalf of users)
for the performance of specified tasks.
Remote Access (AC-17). Organizations can choose to prohibit or strictly limit remote
access to PII.
User-Based Collaboration and Information Sharing (AC-21). Organizations can
provide automated mechanisms to assist users in determining whether access
authorizations match access restrictions, such as contractually-based restrictions, for
PII.
Access Control for Mobile Devices (AC-19). Organizations can choose to prohibit
or strictly limit access to PII from portable and mobile devices, such as laptops, cell
phones, and personal digital assistants (PDA), which are generally higher-risk than
non-portable devices (e.g., desktop computers at the organization‘s facilities).
Auditable Events (AU-2). Organizations can monitor events that affect the
confidentiality of PII, such as unauthorized access to PII.
Audit Review, Analysis, and Reporting (AU-6). Organizations can regularly review
and analyze information system audit records for indications of inappropriate or
unusual activity affecting PII, investigate suspicious activity or suspected violations,
report findings to appropriate officials, and take necessary actions.
Identification and Authentication (Organizational Users) (IA-2). Users can be
uniquely identified and authenticated before accessing PII.
Media Access (MP-2). Organizations can restrict access to information system media
containing PII, including digital media (e.g., CDs, USB flash drives, backup tapes)
and non-digital media (e.g., paper, microfilm).
Media Marking (MP-3). Organizations can label information system media and
output containing PII to indicate how it should be distributed and handled.
Media Storage (MP-4). Organizations can securely store PII, both in paper and
digital forms, until the media are destroyed or sanitized using approved equipment,
techniques, and procedures.
Media Transport (MP-5). Organizations can protect digital and non-digital media
and mobile devices containing PII that is transported outside the organization‘s
controlled areas.
Media Sanitization (MP-6). Organizations can sanitize digital and non-digital media
containing PII before it is disposed or released for reuse.
Transmission Confidentiality (SC-9). Organizations can protect the confidentiality
of transmitted PII.
Protection of Information at Rest (SC-28). Organizations can protect the
confidentiality of PII at rest, which refers to information stored on a secondary
storage device, such as a hard drive or backup tape.
Information System Monitoring (SI-4). Organizations can employ automated tools
to monitor PII internally or at network boundaries for unusual or suspicious transfers
or events.

This page is a supplement for item 6.1. Upon final approval, this page must be removed
prior to publication of the PIA.
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Points of Contact and Signatures

Information Technology Security Officer

System Owner

Name: Bill Stearn
Office: NOAA/NMFS OCIO
Phone: 301-427-8813
Email: [email protected]

Name:
Office:
Phone:
Email:

I certify that this PIA is an accurate representation of the security
controls in place to protect PII/BII processed on this system.

I certify that this PIA is an accurate representation of the security
controls in place to protect PII/BII processed on this system.

Digitally signed by
STEARN.WILLIAM.IVAN.1384494222
Signature: Reason: As the NMFS IT Security Program
Manager, I have reviewed this document.
Date signed: Date: 2015.10.23 07:09:19 -04'00'

Samer Tominna
NOAA Southwest Fisheries Science Center
858-546-7055
[email protected]

TOMINNA.SAMER.F
AWZI.1231763593
Signature:

Digitally signed by
TOMINNA.SAMER.FAWZI.1231763593
DN: c=US, o=U.S. Government, ou=DoD, ou=PKI,
ou=OTHER, cn=TOMINNA.SAMER.FAWZI.1231763593
Date: 2015.10.22 17:26:13 -07'00'

Date signed:

Information System Security Officer

Data Owner

Name: Rich Cosgrove
Office: NOAA Southwest Fisheries Science Center
Phone: 858-546-7057
Email: [email protected]

Name:
Office:
Phone:
Email:

I certify that this PIA is an accurate representation of the security
controls in place to protect PII/BII processed on this system.

I certify that this PIA is an accurate representation of the security
controls in place to protect PII/BII processed on this system.

John Childers
NOAA Southwest Fisheries Science Center
858-546-7192
[email protected]

COSGROVE.RICHAR

Signature: D.E.III.1365890672

Digitally signed by
COSGROVE.RICHARD.E.III.1365890672
DN: c=US, o=U.S. Government, ou=DoD, ou=PKI,
2015.10.13 13:06:47 -07'00'
ou=OTHER, cn=COSGROVE.RICHARD.E.III.1365890672
Date:

Signature:

John Childers

Digitally signed by John Childers
DN: cn=John Childers, o=Southwest
Fisheries Science Center, ou=SWFSC,
[email protected], c=US
Date: 2015.10.13 13:13:20 -07'00'

Date signed:

10/13/2015
NOAA Privacy Officer or Designee

Date signed:

Name: Sarah Brabson
Office: NOAA Office of the Chief Information Officer
Phone: 301-628-5751
Email: [email protected]

Name:
Office:
Phone:
Email:

I certify that the PII/BII processed in this system is necessary and this
PIA ensures compliance with DOC policy to protect privacy.

I certify that I have reviewed this PIA for compliance with DOC policy
to protect privacy and authorize for this PIA to be published on DOC
websites.

10/13/2015
DOC Chief Privacy Officer
Catrina Purvis
Office of Privacy and Open Government
202-482-1190
[email protected]

Digitally signed by

Signature:

GRAFF.MARK.HYR
UM.1514447892

GRAFF.MARK.HYRUM.1514447892
DN: c=US, o=U.S. Government, ou=DoD,
ou=PKI, ou=OTHER,

Signature:

cn=GRAFF.MARK.HYRUM.1514447892
Date: 2015.10.26 11:17:35 -04'00'

Date signed:

Date signed:

Catrina D.
Purvis

Digitally signed by Catrina D. Purvis
DN: cn=Catrina D. Purvis, o=Office of
the Secretary, Office of Privacy and
Open Government, ou=US
Department of Commerce,
[email protected], c=US
Date: 2016.02.04 10:03:06 -05'00'

This page is for internal routing purposes and documentation of approvals. Upon
final approval, this page must be removed prior to publication of the PIA.

9