Privacy Threshold Analysis (PTA)

U.S. DEPARTMENT OF
HOUSING Ai\D URBANT DEVELOPMENT

PRIVACY THRE SHOLD ANALYSIS (PrA)

operational and capacity Assessment Survey
of HCAs after a Disaster
Office of Housing Counseling
Instruction & Template

October 5, 2017

Iinitcd Statcs

[)e

partntcnt of'Ilousing and Urban Development
October 16,20t7

PRIVACY'fI,IRIiSI IOI,D ANAI,YSIS (PI'A)
The PTA is a cornpliance
form developed by thc Privacy
lJranch to identify trre use of personary
Identifiable Information (PII) across
the Deparlrnent. The prA is the
first step in the p, verificatio'
process, which focuses on these
areas of inquirv:

.
.
.
'
.

purpose for the
irrfbrmation.

Type of infornration,
Sensitivity of the infonnatron.
Use of the inforrnation,

And the risk to the inforrnation.

Please use the attached form to determine
whether a privacy and

civil l,iberties Irnpact Assessment
(PCLIA) is required under the E-Government
Act of 2002or a System of Record Notice (SoRN)
is
required under the privacy Act of 19J4,
asanrended.

Please complete this forrn and send it to your
program privacy Liaison

program Privacy Liaison officer, prease
send the

officer

prA to the HUD privacy

(plo),

If you have no

Branch:

Marcus Smallwood, Acting, Chief privacy Officer
privacy Branclr
U.S, Department of HoLrsing and Urban Development

[email protected]

upon receipt from your program PLo, the HUD Privacy
Branch will review this form. If a pcLIA or
soRN is required, the HUD Privacy Branch will send yolra
copy of the pcLIA and soRN templates to
cornplete and return.

United States Deparlment of Housing and Urban Development

ocrober

16,20li

2

PRIVACY THRESHOLD ANALYSIS
(PTA)
SUMMAITY INF'ORMATION
operational and capacity Assessment
Survey of HCAs

Program Name:

urt.*

CSAM Nu:mber
(if applicabto)::

Form or other Information
Collection

Project or
program
status:

August 16,2017
Date of ias.tpTA

ATO Status

Click here to enter a date.

October 4,2017

(if

Click here to enter a dare.

ATO
expiration date
if applicable):

Choose an itenr.

applicable)

Click here to enter a date.

PROJECT OR PROGRAM MANAGER
Name:

Officer
Phone:

Virginia F. Holman
%

f|fffno

nf If^"^:-^ r.5

6uq-6zz-+el
7790

I-

usrttttB

(c) 540_894_

r tue:

Housing Specialist

Email:

V irgin ia. f. hol [email protected]

INFORMATION SYSTEM SECURITY OFFICER (ISSO) (IF
APPLICABLE)
Click here to enter texr.
Click here to enter text.

Click here to enter text.

[Jnited States Department of Housing and Urban Development

ocrober 16,2017

SPECIF'IC PTA QUESTIONS

l. Reason for submitting rii. pT,{.: Nr* pft-A wide spread disaster makes ir crirical th;i th; ijlT;
ol' rhe disasrer on r'{U D- parti ci paring housi
ng counse l ins as
:]?"n:|i||
quickry
and .il.lh:|llct
with.";,ffi;;,#;,::H;:;'1"'''iJJ;iiii:'BX'.lli,:H';,?r'1il::[t;:,.*.:::
Housing counseling Agencicsalicr a I)isastcr'"'nrorc
accLrit.,lr, arsesscs the operati^g status and
capacity of agencies ol'housi'g cottnseli,g agcrcics
i,'pactcd by i)resiclcntially l)cclarcc.l
Disasters and/or FEMA limergency Declaiatio'
to provicle their approved counseling services
This Assessment Survey ptouid., ihe post-disaster
infbnnation needecl fbr the ott .. of i{ousing
counseling to determine the ability oljthe hor,rsing
counseling agencies to perform their required
functions in the disaster recovery period. 'fhe infbrmation
coirected will be useci to identify a'd
provide recovery support and assistancc to
the agcncics ancl their clie'ts. It also provides
informationthatallowsthcofliceof llor-rsirgcoursclirrgclclclop.it
r,r*,*"rystoproviciethe

services to people impactecl by a disastcr.
The "Survey to Assess the operational and Capacity
status of l-lousing counseling Agencies
after a Disaster" would be-conducted by a survey instrument
such as SurveyMonkey, email and
phone' More advanced technology often could
not be used as the communilation systems of
impacted agencies would be limited clue to the likely
destruction

of communication
infrastructure' The survey wor-rld be launchecl imnreiiately
after the Declaralion. I'his collectio.
requests infbrmation llecessary to cictermine the cxtent
o1'pliysical dalrage ancl curtailrnent of
services to housir-rg oounscling agcrtcics ancl cirrlailrncnt
ol'scniccs pror.,iclecl to clients. il'any,
caused by a declared disaster. 'l'he inlbrrnalion collcctccl
will be ur".] tu rdcntify a'd provide
recovery suppoft and assistance to the agencies and their
clients. It also provicles i.fb.nation that
allows the office of Ho.using counseling develop alternates
ways to provide the services to
pgqple impacted by a disaster.

2.

Does this system emplny the tbllorvine
technologies?
IJ you are using the,se technologies and want

coverage under the respective pIAfor that
technology, please stop here and contact the HUD
P rivacy Branc h
for fu rt her gu idan c e.

I
I
!
f
HU

Social Mcclia
Wen porrali (c.g.. Sharepoint)
Contact Lists
RLrUtic website (e.g. A website operated by
D, contractor. or other organ i zatior"r on behalf

of

the I itJI)

I Inlbrmational
and collaboration-basod portals in opcration at IlUl) .urrl its plogranrs tlrat collcct.
personally identifiable information (pll) about inclividuals rvlro are rnenrbers"
o1'th0 portal

gain access to the portal.

Lrsc.

rraintain. ancj sharc Iintitccl

or.'-potcntial nterrb0rs" rvho scel<

tcr

United States Deparlment of Housing and Urban Developrnent
October t6.2017 4

I

fnls

program collects no personally iclentifiable

infbrmationl

3.

From whom does the project or
Program collect, maintain, use. or
disseminate in formation ?
Please check

l*J

Merrber"s of the pLrblic

XXn HIJD employees/contractors 0ist
programs):

all that appty.

!
f

Contractors working on behalf of HUD

Enployees of other federal agencies

!_9_tgL (..g.

4'

what specific information about individuals ir

"ollu"tua,
NoinformationspecifictoindividLraIsisr.equestec|.Theon|rinio

3:ffii::i?":f:':,::::::lli.::-1l::l'l'q?g;1":e'
4(a) Does the project, program, or system
retrieve information from the system about
a U.S. Citizen or lawfully admitted

permanent resident aliens by a personal
identifier?
4(b) Does the project, program, or system
have an existing System of Records Notice
(SORN) that has already been published in
the Federal Register that covers the
information collected ?

4(c)Has the projecto program, or system
undergone any significant changes since the
SORN?
4(d) Does the project, progr&ffi, or system
use Social Security Numbers (SSNX
4(e)

If

yes, please provide the specific legal

authority and purpose for the collection of

in a''eus

busi ness entity)

g"rr**t"o o"..tui,r"ar

i'"'p,"'.,r bv clecrared disasrers rhe
r" t.il""Lrr*"tt

survev

x}[ No. Please continue to next question.
I Ves. lf 1es. please
personal iderrtifiers
irse

d:

n * -Fr;;.*tl;;;;;iil,,.*

xx

[J

Yes, I1'yes, provide the system name

and

number, and tlre Federal Resister
citation(s) for the most recent complete notice and
any subseqLrent notices
refl eclirrg arnendment to the systern

;-,;

Please continue to ltext question.

I

Yes. II' yes, please describe.

XX

I

I

xo.

Yes.

Click hcre to enter texl

SSNs:

'

HUD defines personal inlbnrration as "Personally lilentiliable Inlbrmation" or pll" which
is any infbrmation that penrits the
identity of an individual to be directly or inciirectlv inf'errecl. including anf irrfilrnration
that is linked or linkable to that individual"
regardless ofwhether the individual is a tJ.S. citizcn. lau'tirl p.rn,nnint icsident.
visrtor to the 1.S.. or cnrpl.yee or contractor to

United States Department of Housing and Urban Development
Ocrober 16,2017 5

If ;es, please describe the uses ol'the
SSNs within the project, program,
or
-1(t)

Click here to enter tcxr.

system!

4(e)Ijthisp."olecffi
Intormation fechnology/system,
does it
relate solely to infrastructure?
an.

XX

I

No.

please continue
to next question.

l_i y cs. il lr log kcpt of corrrrrrrrrr
plcasc answcr this queslron.

is the.systern ct Local Aretr Ne/tttrtrk
l:r,:!*rp!!,
(LAN) or Lttide Area Nehttork (WAA/).?

ie

atiorr tra lfic

4(h) If header or paytoad data{s
iioreO in ite communication

etements stored.

5. Does this project,

programi or system
.?.on"lj:.Tceive, or share pIl with any
other HUD programs or systems?

6,

XX

f

I

ves.

No.
I

please

Click here to enter texr.

Does this project, program, or system

connect, receive, or share pII with anv
external (non-HUD) partners or

systems?

XX

I

I

Ves. tf yes, please

No.
lisr:

Click here to enter texr.
6(a) Is this external sharing pursuant to

new or existing information sharing
access agreement (MOU, MOA, etc.)?

Choose an iterr.
Plcase describe appl icable informatiorr sharing
govefnaltce
place:

7, Does the project, program,

8.

or system
provide role-based training for
personnel who have access in addition
to annual privacy training required of
all HUD personnel?

!

Ves.

Per NIST SP 800-53 psy.Z Appendi*
does the project: progrnme oi system
maintain an accounting of disclosures

I

Xo. What steps will be taken to develop and

I

No
I1'yes, please list;

the accounting:

3

Header: Information that is placed befbre the actLial
data. 'fhe header norrnally contains a small nunrber of
bytes of
control inforrnation' which is Ltsed to colntrunicate irnportant
tacts aboLrt trrc dita that the message contains ancJ
how
itistobeinterpretedandused ltservesasthecornrnunicationancicontrol
rinkbetweenprotocoi erementsondifferent
devices.
Payload data: The actual data to be transmitted, often
called the payload of the rressage (rnetaphorically borrowing
a
tertn from the space industlyl) Most ntessages contain
some cjata of onc fbrm or. unoit.1.i, but some actually
contain
none: they are used only fbr control and conrnrunication
purposes. I:or exarnpJe, these may De used to
set up or
terminate a logical connection befbr.e data is sent.
l.Jnited States I)cpartment of lloLrsing and [.Jrban
Development

Ocrober

16.20t7

6

Ptltoindividuaffi

of
requested access to their

l_J Yes. In what format is the accountins

pII?

nraintained:

Is there a FIPS tqg det*.mination?o

[

[.]nknown.

XX

I

No.

! Yes. Please indicate the determinations for each
of the following:
Confidentiality:
I Low I Haoo"rute
ilt

'

In

n

tegrity:
Low !

Moderate

f]

High

f,

uigtr

X

High

Availability:

I

Low

I

Moderare

PRIVACY THRESHOLD ANALYSIS REVIEW
(TO BE COMPLETED BY PROGRAM PLO)
Program Privacy Liaison Revie.rven

Virginia Holman
October 6,2017

to HUD Privacy Branch:

Click here to enter a date.

Program

Privacy l,iai.on Omce. Recorn.en datio n :
P,leqaq inqlude req,o:trvnendation below, including what
new
Click here to enter text.

iance documentation is needed.

(TO BE COMPLETED BY THE HUD PRIVACY BRANCH)
HUD Privacy Branch Reviewei:

Cindy Etheridge

Date approved by HUD Privacy Branctr:

October 6,2011

'FIPS

199 is the Federal Information Processing
Sta.qdald. Publication 199, Stanclards fbr Security categorization of Federal
Information and Information Systems and is used to .rtut tirt'r
security categories of infbrmation systems.

United States Department of Housing and Urban Development
October t6.2017 7

l'his PTA wiil suf

PTA Expiration Date;

rnodifications it woutd ;;;
lll:lfl:Tanl
will require an update.

and

.

be revised

DBSIGNATION
Privacy S*nsitive SysGn

anoor. un

:

,r.r.

Category of System:

XX

!
f

If "other" is selected, please describe:
CIick here to enter text.

PTA sufficient at this time.
Privacy compliance documentation

determination in progress.

New information sharing arrangement
is required.
Policy
U TUD
for Computer_Readable E;Ktracts
containing Sensitive PII
applies.

[';;;*, Ac statement required.
I Privacy and Civir Liberties Impact Assessmenr (pcLtA) required.
! System of Records Notice (SORN) required.
I Faperwork Reduction Act (pRA) crearanc,e may be required. contact

your program pRA Officer.

H;|*.;rO,

S.n"arf"

**

O. required. Conracr your program
Records

Choose an item.

If covered by existing pCLlA, please lisr:
Click here to enter texr.

Choose an item.

If gjvered by existing SORN,
IfUD Privacy granct C;rn,rrents,
Please describe rationale
for privac
Click here to enter text.

please

Click here to enter text.

ianc e de t ertn inat i on ab ov e.

tJnited States Department of Housing and Urban Development
Ocrober t6" 2017

B

DOCUMENT ENDORSMENT

DATE REVIEWED: October 6:i0n
PRIVACY REVIEWTNG OFF

*

By signing below, you attest that the content captured
in this clocument is accurate and complete
and meet the requirements of applicable federal
regutations and H{;D internal policies,

10-16-

20t7
Date

SYSTEM OWNER

Virginia F. Holman
Office of Housing Counseling

Date

CHIEF PRIVACY OFFICER
<>
OFFICE OF ADMINISTRATION

United States Department of Housing and Urban Development
October 16,2017 9