Privacy Act Threshold Assessment (signed)

DI-4012 (9/2018)
U.S. Department of the Interior

U.S. Department of the Interior
PRIVACY THRESHOLD ANALYSIS

The DI-4012 Privacy Threshold Analysis (PTA) form helps Department of the Interior (DOI) Privacy
Officials determine whether a new or revised Privacy Impact Assessment (PIA) is required in
accordance with the E-Government Act, OMB policy, and the DOI PIA Guide, and identify other related
compliance requirements for the collection, maintenance, storage, use, processing, sharing or disposal of
personally identifiable information (PII) and any activities that may have privacy implications or
otherwise impact individual privacy. See the DOI PTA Guide for guidance on completing the PTA.
PTAs must be completed and submitted to the appropriate Bureau/Office Associate Privacy Officer for
review and compliance determination. Bureau/Office Associate Privacy Officers are responsible for
overseeing and managing PTAs for their organizations.

Section 1. General Information
Question

Response

A. Project, Program or System Name:

Regional Watercraft Inspection Decontamination Data
Sharing System – NPS

Provide the name for the project, program or system for
the PTA, which may be an IT system, a project title,
program area, information collection, or other
technology.

B. Bureau or Office:

National Park Service

Enter the bureau or office for the project, program or
system.

C. Program or Office:

Natural Resource Stewardship and Science

Provide the name of the program or office within the
bureau/office.

D. Project/Program Manager or System
Owner:
Name: John Wullschleger
Title: Fish Program and AIS Lead
Phone: 970.225.3572
E-mail: [email protected]

POC National Park Service
Name: John Wullschleger
Title: Fish Program Lead
Water Resources Division
Natural Resources Stewardship and Science
Phone: 970.225.3572
E-mail: [email protected]
POC State of Colorado
Name: Elizabeth Brown
Title: Aquatic Invasive Species Coordinator
Phone: 303.291.7362
E-mail: [email protected]

E. Routing Information:

_X_ New PTA

Indicate whether this is a new or updated PTA and enter
the date the PTA was completed and submitted to the
APO for privacy determination.

___ Updated PTA
Date of Submission: 4/17/2019
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DI-4012 (9/2018)
U.S. Department of the Interior

Regional Watercraft Inspection Decontamination Data Sharing System
Privacy Threshold Analysis

Question

Response

Section 2. Project, Program or System Summary
Question

Response

The Regional Watercraft Inspection Decontamination
Data Sharing System is a database that was developed
Please provide a description of the project or program, by the State of Colorado and has been made available to
including any background information to help
partners in the western United States who are
understand the project, program or system. If this is an conducting watercraft inspection / decontamination
updated PTA, please describe the changes that
programs.
A. General description of the project, program
or system.

triggered the update to this PTA. Please also indicate
if the PTA is being updated as part of its annual
review.

The database was designed to share information on the
origins and destinations of trailered watercraft, the
presence of aquatic invasive species (AIS) and AIS risk
factors, and decontamination measures and results.
Information entered by watercraft inspection /
decontamination (WID) crews at in one location is
quickly available to WID crews in other locations
allowing them to assess the risk associated with
watercraft and treat them accordingly. The database
was developed in response to quagga and zebra mussels
but the actions taken to address these two species are
effective for other AIS as well.
Information is entered into and extracted from the
database via a mobile application on a smartphone or
tablet. The mobile application was developed by the
Colorado for Colorado and it is the owner of the
information collected by the users of the application.
The mobile application is only uploaded and utilized on
government issued mobile devices (cellphone, tablets,
etc.) These devices meet DOI requirements for IT
security protection.

B. What is the technology or format used for
the Project, Program or System?
Select all types of technology or sources that apply for
the PII that will be collected from or maintained on
individuals, including methods such as a paper or
electronic form or survey, website collection, social
media, or interviews over the phone or in person.

___ IT System
___ New Project or Program
___ Website
_X_ Web Form, Survey or Information Collection
___ Third-Party Website
___ Social Media Application
___ SharePoint
_X_ Mobile Application
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DI-4012 (9/2018)
U.S. Department of the Interior

Regional Watercraft Inspection Decontamination Data Sharing System
Privacy Threshold Analysis

___ Closed Circuit Television (CCTV)
___ Paper-based Collection
___ Other: Describe.
C. Does this project, program or system
involve a form, survey or information
collection?
If this project, program or system uses a form, survey,
or other information collection, select “Yes” and
describe the specific method or format used. Include
titles and numbers or other identifying information.

_X_ Yes: Please describe.
NPS collects information by asking four questions of
boat owners, which vary depending on whether they are
entering or leaving a water; other information is the
result of the observations of NPS boat ramp staff as they
inspect and/or decontaminate a boat.
No information is stored in any NPS database. Two of
the questions vary depending on whether a boater is
entering or leaving an NPS area; two of the questions
remain the same whether the boater is entering or
leaving.
Fields for all boats: 1) Does the boater have any live
aquatic bait? 2) What compartments or containers on the
boat, including ballast tanks, hold water
Fields for incoming boats: 1) Has the boat been out of
the state in the last 30 days (and where)? 2) Has the boat
been in any other waters in the last 30 days (and if so, in
which waters)?
Fields for departing boats: 1) What is the destination for
the boat? 2) Where and when will the boat be launched
next?
___ No

D. Is Office of Management and Budget
(OMB) approval required for the collection?
OMB approval is required for certain collections of
information from ten or more members of the public
under the Paperwork Reduction Act.

_X_ Yes: Please provide the status of any information
collection clearance request related to this project, program
or system, and include all OMB Control Numbers and
Expiration Dates that are applicable.

NPS is seeking OMB approval to ask four questions of
boaters and enter the answers into the database.
___ No

Section 3. Personally Identifiable Information

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DI-4012 (9/2018)
U.S. Department of the Interior

Regional Watercraft Inspection Decontamination Data Sharing System
Privacy Threshold Analysis

Question

Response

A. What categories of individuals does the
Project, Program or System collect, maintain,
store, use, process, disseminate or dispose of
PII? Please select all that apply.

___ Federal employees

Indicate whether the project, program or system
collects, contains, uses or disseminates PII
information about members of the general public,
Federal employees, contractors, or volunteers; or if
the system does not contain any information that is
identifiable to individuals (e.g., statistical,
geographic, financial).

B. What specific information about
individuals will be created, collected, used,
processed, maintained or disseminated?
Describe all the types of information about
individuals that will be created, collected, used,
processed, maintained, or disseminated. Include any
new information that may be created, such as an
analysis or report. Describe the purpose of that
collection or use of information.

C. Is information retrieved by a unique
identifier assigned to the individual?
Describe how information is retrieved for the
project, program or system.

___ Contractors
_X_ Members of the public
_X_ Other: Describe. Commercial boat haulers.
___ This project, program or system does not collect,
maintain or process PII.
The system links information about specific watercraft to
a boat registration number or boat trailer license plate
number. The boat registration number or boat trailer
license plate number may be linkable to and individual or
a corporation and other business entities, which are not
subject to the Privacy Act. However, records pertaining
to individuals acting on behalf of corporations and other
business entities may reflect personal information.

The only information that is collected that may be
linkable to an individual or a corporation and other
business entities is the boat registration number or boat
trailer license plate number.
NPS is a system user but not the system manager or the
system owner. In addition, the NPS will not be
distributing or processing the information. The database
is owed by the State of Colorado and is maintained by a
contractor to the State of Colorado.
X Yes: Please describe.
The system links information about specific watercraft to
boat registration number or boat trailer license plate
number. When a boat is inspected and decontaminated,
and leaves a particular inspection station, that
information is entered into the database. This makes
possible for another inspection station, somewhere else,
to enter the registration number at that station and see
where the boat came from and how it was handled.
___ No

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DI-4012 (9/2018)
U.S. Department of the Interior

Regional Watercraft Inspection Decontamination Data Sharing System
Privacy Threshold Analysis

Question

Response

D. Is the information covered by a System of
Records Notice (SORN)?

___ Yes: Please provide the title, date, and Federal
Register citation.

The Privacy Act requires that agencies publish a
SORN in the Federal Register upon the establishment
of a new, or modification of an existing, system of
records. For new SORNS being developed, select
“Yes” and provide a detailed explanation. For
existing systems of records, identify the applicable
government-wide, DOI, or bureau SORN(s) that
covers the system of records with the SORN identifier
and Federal Register citation.

_X_ No

E. Does the Project, Program or System
collect or use Social Security Numbers
(SSNs)?

___ Yes: Please provide the legal authority for the
collection of SSNs and describe the uses of the SSNs
within the Project, Program or System.

List the statutory and regulatory authority and
Executive Orders that authorizes the collection or
use of SSNs to meet an official program mission or
goal.

_X_ No

Does this Project, Program or System receive
or share PII with any other internal DOI
programs or systems?

___ Yes: Please describe the PII shared and purpose of
the sharing.

Indicate whether PII will be shared with or from
internal organizations within DOI.

_X_ No

G. Does this Project, Program or System
receive or share PII with any external (nonDOI) partners or systems?

__ Yes: Please describe the PII shared and purpose of
the sharing.

Indicate whether PII will be shared with agencies or
organizations external to DOI. This could be other
federal, state and local government agencies, private
sector entities, contractors or other external third
parties. For Privacy Act systems, identify the
applicable SORN and describe how an accounting of
the disclosure is maintained.

_X__ No

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DI-4012 (9/2018)
U.S. Department of the Interior

Regional Watercraft Inspection Decontamination Data Sharing System
Privacy Threshold Analysis

Question

Response

H. Is this external sharing pursuant to new
or existing information sharing agreement
(Memorandum of Understanding,
Memorandum of Agreement, Letters of
Intent, etc.)?

___ Yes: Please describe applicable information
sharing agreement(s) in place.

_X_ No

Information sharing agreements are generally
documented in Memorandums of Understanding,
Memorandums of Agreement, Letters of Intent, or
other documents, and outline the purpose, roles of
the parties, data ownership, authorized uses, policy,
scope, standards, procedures, practices, limitations
on re-dissemination, and safeguard requirements for
the transfer, maintenance and disposal of PII to
ensure all parties understand and adhere to the
mutually established terms of the agreement.

Section 4. PTA Review and Recommendation
Question

Response

Privacy Compliance Determination:

_X_ PTA is sufficient at this time
___ Privacy Impact Assessment (PIA) required
___ Adapted PIA required
___ System of Records Notice (SORN) required
___ Notice of Proposed Rulemaking/Final Rule required
___ Computer Matching Notice required
___ Computer Matching Agreement required
___ Privacy Act Statement required
___ Privacy Notice required
___ Specialized role-based training required
___ Information sharing agreement required
___ Further privacy compliance review is required
___ Refer for Security Compliance Assessment
_X_ Refer for Information Collection Clearance Review
___ Refer for Records Review
___ Other: Describe.

This determination is to be completed by the
Associate Privacy Officer (APO). See DOI PTA
Guide, DOI PIA Guide, related Federal laws and
policies, and Departmental guidance on privacy
requirements.

Bureau Associate Privacy Officer Comments:
Provide comments or additional guidance on privacy
compliance requirements.

PTA is sufficient at this time. NPS is a system user but
not the system manager or the system owner. In addition,
the NPS will not be distributing or processing the
information. The State of Colorado owns the database
and maintained by a contractor to the State of Colorado.
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DI-4012 (9/2018)
U.S. Department of the Interior

Regional Watercraft Inspection Decontamination Data Sharing System
Privacy Threshold Analysis

The State of Colorado is the owner of the Mobile
application used to enter the information is not a DOI
Mobile Application. It was not developed by, on behalf
of, or in coordination with DOI or NPS. The mobile
application should only be installed and utilized on
government issued smartphones. These devices meet
DOI requirements for IT security and privacy protection.
The state is the owner of the information collected. The
mobile application should only be installed and utilized
on government issued mobile devices (cellphone, tablets,
etc.) These devices meet DOI requirements for IT
security and privacy protection.
Associate Privacy Officer Name:

FELIX URIBE

FELIX
URIBE
Bureau/Office:
Date:

Digitally signed by
FELIX URIBE
Date: 2019.09.13
16:52:15 -04'00'

NATIONAL PARK SERVICE
9-13-19
DOI Privacy Office Comments

N/A

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