Official Logbook Privacy Threshold Analysis (PTA)

Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, [email protected]
www.dhs.gov/privacy

PRIVACY THRESHOLD ANALYSIS (PTA)
This form serves as the official determination by the DHS Privacy Office to
identify the privacy compliance requirements for all Departmental uses of
personally identifiable information (PII).
A Privacy Threshold Analysis (PTA) serves as the document used to identify
information technology (IT) systems, information collections/forms, technologies,
rulemakings, programs, information sharing arrangements, or pilot projects that involve
PII and other activities that otherwise impact the privacy of individuals as determined by
the Chief Privacy Officer, pursuant to Section 222 of the Homeland Security Act, and to
assess whether there is a need for additional Privacy Compliance Documentation. A PTA
includes a general description of the IT system, information collection, form, technology,
rulemaking, program, pilot project, information sharing arrangement, or other Department
activity and describes what PII is collected (and from whom) and how that information is
used and managed.
Please complete the attached Privacy Threshold Analysis and submit it to your
component Privacy Office. After review by your component Privacy Officer the PTA is sent
to the Department’s Senior Director for Privacy Compliance for action. If you do not have a
component Privacy Office, please send the PTA to the DHS Privacy Office:
Senior Director, Privacy Compliance
The Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
Tel: 202-343-1717
[email protected]
Upon receipt from your component Privacy Office, the DHS Privacy Office will review this
form and assess whether any privacy compliance documentation is required. If compliance
documentation is required – such as Privacy Impact Assessment (PIA), System of Records
Notice (SORN), Privacy Act Statement, or Computer Matching Agreement (CMA) – the DHS
Privacy Office or component Privacy Office will send you a copy of the relevant compliance
template to complete and return.

Privacy Threshold Analysis – IC/Form

Version number: 04-2016
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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, [email protected]
www.dhs.gov/privacy

Privacy Threshold Analysis (PTA)

Specialized Template for
Information Collections (IC) and Forms
The Forms-PTA is a specialized template for Information Collections and Forms. This
specialized PTA must accompany all Information Collections submitted as part of the
Paperwork Reduction Act process (any instrument for collection (form, survey,
questionnaire, etc.) from ten or more members of the public). Components may use this PTA
to assess internal, component-specific forms as well.
Form Number:

CG-706B

Form Title:

Official Logbook

Component:

U.S. Coast Guard (USCG)

Office:

National Maritime Center
(NMC)

IF COVERED BY THE PAPERWORK REDUCTION ACT:
Official Logbook
Collection Title:
OMB Control
Number:
Collection status:

1625-0018
Revision

OMB Expiration
Date:
Date of last PTA (if
applicable):

October 31, 2018
N/A

PROJECT OR PROGRAM MANAGER
Name:
Office:
Phone:

Michael P. Toth

Title:
Email:

NMC 4-1
304-433-3729

Branch Chief
[email protected]

COMPONENT INFORMATION COLLECTION/FORMS CONTACT
Name:
Office:
Phone:

Anthony Smith

Title:
Email:

CG-612
202-473-3532

Privacy Threshold Analysis – IC/Form

PRA Manager
[email protected]

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, [email protected]
www.dhs.gov/privacy

SPECIFIC IC/Forms PTA QUESTIONS
1. Purpose of the Information Collection or Form
The Official Logbook contains information about the voyage, the vessel’s crew, drills, watches, and
operations conducted during the voyage. The logbook entries identify particulars of the voyage,
including the name of the vessel, the official number, port of registry, tonnage, nature of the voyage,
class of vessel, and the names and merchant mariner reference numbers of the master and the crew. In
addition, it also contains entries for the vessel’s draft, maintenance of water tight integrity of the ship,
drills and inspections, crew list and report of character, a summary of laws applicable to Official
Logbooks, and miscellaneous entries.
The authorities for this collection are Title 46 United States Code (U.S.C.) § 11301, 11302, 11303, and
11304; Title 46 Code of Federal Regulations (CFR) § 42.07-20; 46 CFR Subpart 35.07; 46 CFR
Subpart 78.37; 46 CFR Subpart 97.35; 46 CFR § 109.431-109.433; 46 CFR § 122.280-122.282; 46
CFR § 131.610-131.630; 46 CFR § 169.841; 46 CFR 185.280; 46 CFR Subpart 196.35-3; and 46 CFR
Part 199 Subpart B § 199.60-199.190.

2. Describe the IC/Form
a. Does this form collect any
Personally Identifiable
Information” (PII1)?
b. From which type(s) of
individuals does this form
collect information?
(Check all that apply.)

☒ Yes
☐No
☒ Members of the public
☒ U.S. citizens or lawful permanent
residents
☐Non-U.S. Persons.
☐DHS Employees
☐DHS Contractors
☒ Other federal employees or contractors.

c. Who will complete and
submit this form? (Check
all that apply.)

☐The record subject of the form (e.g., the
individual applicant).
☐Legal Representative (preparer, attorney, etc.).
☐Business entity.

1

Personally identifiable information means any information that permits the identity of an individual to be directly or indirectly inferred, including
any other information which is linked or linkable to that individual regardless of whether the individual is a U.S. citizen, lawful permanent resident,
visitor to the U.S., or employee or contractor to the Department.
Privacy Threshold Analysis – IC/Form

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, [email protected]
www.dhs.gov/privacy

If a business entity, is the only
information collected business contact
information?
☐Yes
☐No
☐Law enforcement.
☐DHS employee or contractor.
☒ Other individual/entity/organization that is
NOT the record subject. Please describe.
Pursuant to 46 U.S.C. § 11301, the master of the vessel
shall make the entries in the official logbook. Pursuant to
46 U.S.C. § 11302, each entry made in the official
logbook shall be signed by the master, and signed and
witnessed by the chief mate or another mariner aboard the
vessel.

d. How do individuals
complete the form? Check
all that apply.

☒ Paper.
☐Electronic. (ex: fillable PDF)
☐Online web form. (available and submitted via

the internet)
Provide link:
e. What information will DHS collect on the form?
Master’s name, master’s Merchant Mariner Credential (MMC) number, mariners’ name, and the
mariners’ MMC number.

f. Does this form collect Social Security number (SSN) or other element that is
stand-alone Sensitive Personally Identifiable Information (SPII)? No
Check all that apply.
☐ Social Security number
☐ DHS Electronic Data Interchange
Personal Identifier (EDIPI)
☐ Alien Number (A-Number)
☐ Social Media Handle/ID
☐ Tax Identification Number
☐ Known Traveler Number
☐ Visa Number
☐ Trusted Traveler Number (Global
☐ Passport Number
Entry, Pre-Check, etc.)
☐ Bank Account, Credit Card, or other
☐ Driver’s License Number
financial account number
☐ Biometrics
☐ Other. Please list:
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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, [email protected]
www.dhs.gov/privacy

g. List the specific authority to collect SSN or these other SPII elements.
N/A

h. How will this information be used? What is the purpose of the collection?
Describe why this collection of SPII is the minimum amount of information
necessary to accomplish the purpose of the program.
N/A

i.

Are individuals
provided notice at the
time of collection by
DHS (Does the records
subject have notice of
the collection or is
form filled out by
third party)?

☐ Yes. Please describe how notice is provided.
Click here to enter text.
☒ No.

3. How will DHS store the IC/form responses?
a. How will DHS store
☒ Paper. Please describe.
the original,
The Official Logbook is to be sent to the U.S. Coast Guard
Sector Officer In Charge Marine Inspection (OCMI) at the
completed IC/forms?
nearest port to the vessel’s place of discharge. In
accordance with our records retention schedule, the OCMI
shall transfer official logbook records to the nearest
Federal Records Center (FRC) within six months after the
last transaction. Records shall then be transferred to the
National Archives and Records Administration (NARA)
when 30 years old for permanent storage.

☐Electronic. Please describe the IT system that will
store the data from the form.
Click here to enter text.

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, [email protected]
www.dhs.gov/privacy

☐Scanned forms (completed forms are scanned into
an electronic repository). Please describe the
electronic repository.
Click here to enter text.
b. If electronic, how
does DHS input the
responses into the IT
system?

☐ Manually (data elements manually entered). Please
describe.
Click here to enter text.
☐Automatically. Please describe.
Click here to enter text.

c. How would a user
search the
information
submitted on the
forms, i.e., how is the
information
retrieved?
d. What is the records
retention
schedule(s)? Include
the records schedule
number.

e. How do you ensure
that records are
disposed of or deleted
in accordance with
the retention
schedule?

☐By a unique identifier.2 Please describe. If
information is retrieved by personal identifier, please
submit a Privacy Act Statement with this PTA.
Click here to enter text.
☒ By a non-personal identifier. Please describe.
The information is retrieved by vessel name and/or the
vessel’s official number.
Official Logbook records are Permanent. Transfer records to a
Federal Records Center (FRC) within six months after the last
transaction. Records shall then be transferred to the National
Archives and Records Administration (NARA) when 30 years
old for permanent storage.
Records Disposition Authority SF-115 NARA job Number
NC1-26-80-4, item 237.
N/A - Records are permanent.

2

Generally, a unique identifier is considered any type of “personally identifiable information,” meaning any information that permits the identity
of an individual to be directly or indirectly inferred, including any other information which is linked or linkable to that individual regardless of
whether the individual is a U.S. citizen, lawful permanent resident, visitor to the U.S., or employee or contractor to the Department.
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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, [email protected]
www.dhs.gov/privacy

f. Is any of this information shared outside of the original program/office? If yes,
describe where (other offices or DHS components or external entities) and why.
What are the authorities of the receiving party?
☐Yes, information is shared with other DHS components or offices. Please describe.
Click here to enter text.
☐Yes, information is shared external to DHS with other federal agencies, state/local
partners, international partners, or non-governmental entities. Please describe.
Click here to enter text.
☒ No. Information on this form is not shared outside of the collecting office.

Please include a copy of the referenced form and Privacy Act Statement (if
applicable) with this PTA upon submission.

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, [email protected]
www.dhs.gov/privacy

PRIVACY THRESHOLD REVIEW
(TO BE COMPLETED BY COMPONENT PRIVACY OFFICE)
Component Privacy Office Reviewer:

Robert Herrick

Date submitted to component Privacy
Office:
Date submitted to DHS Privacy Office:

July 11, 2018

Have you approved a Privacy Act
Statement for this form? (Only
applicable if you have received a
waiver from the DHS Chief Privacy
Officer to approve component Privacy
Act Statements.)

August 30, 2018

☐ Yes. Please include it with this PTA
submission.
☒ No. Please describe why not.
The information is not retrieved by a personal
identifier.

Component Privacy Office Recommendation:
The Official Logbook form contains information about the voyage, the vessel’s crew, drills, watches, and
operations conducted during the voyage. The logbook entries identify particulars of the voyage, including
the name of the vessel, the official number, port of registry, tonnage, nature of the voyage, class of vessel,
and the names and merchant mariner reference numbers of the master and the crew. In addition, it also
contains entries for the vessel’s draft, maintenance of water tight integrity of the ship, drills and
inspections, crew list and report of character, a summary of laws applicable to Official Logbooks, and
miscellaneous entries.
The form collects the following information: master’s name, master’s Merchant Mariner Credential
(MMC) number, mariners’ name, and the mariners’ MMC number.

DHS/USCG/PIA-015 Merchant Mariner Licensing and Documentation System and DHS/USCG030 Merchant Seamen’s Records provide coverage for this collection.

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, [email protected]
www.dhs.gov/privacy

PRIVACY THRESHOLD ADJUDICATION
(TO BE COMPLETED BY THE DHS PRIVACY OFFICE)
DHS Privacy Office Reviewer:

Riley Dean

PCTS Workflow Number:
Date approved by DHS Privacy Office:
PTA Expiration Date

Click here to enter text.
August 31, 2018
August 31, 2021

DESIGNATION
Privacy Sensitive IC or
Form:

Yes If “no” PTA adjudication is complete.

Determination:

☐PTA sufficient at this time.
☐Privacy compliance documentation determination in progress.
☐New information sharing arrangement is required.
☐DHS Policy for Computer-Readable Extracts Containing SPII
applies.
☐Privacy Act Statement required.
☒ Privacy Impact Assessment (PIA) required.
☐System of Records Notice (SORN) required.
☐Specialized training required.
☐Other. Click here to enter text.

DHS IC/Forms Review:

Choose an item.

Date IC/Form Approved Click here to enter a date.
by PRIV:
IC/Form PCTS Number: Click here to enter text.
Privacy Act
e(3) statement not required.
Statement:
Click here to enter text.
PTA:
Choose an item.
Click here to enter text.
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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, [email protected]
www.dhs.gov/privacy

PIA:

System covered by existing PIA
If covered by existing PIA, please list: DHS/USCG/PIA-015 Merchant
Mariner Licensing and Documentation System
If a PIA update is required, please list: Click here to enter text.
SORN:
Choose an item.
If covered by existing SORN, please list: Click here to enter text.
If a SORN update is required, please list: Click here to enter text.
DHS Privacy Office Comments:
Please describe rationale for privacy compliance determination above.
USCG is submitting this PTA to discuss the Official Logbook, Form CG 706B, which is
associated with OMB Control Number 1625-0018. USCG is tasked with the
commercial vessel safety program. As part of this tasking, USCG requires applicable
merchant vessels to maintain an Official Logbook which provides a vehicle through
which many statutory and regulatory record keeping requirements are maintained.
The Official Logbook contains information about the voyage, the vessel’s crew, drills,
watches, and operations conducted during the voyage. The logbook entries identify
particulars of the voyage, including the name of the vessel, the official number, port
of registry, tonnage, nature of the voyage, class of vessel, and the names and
merchant mariner reference numbers of the master and the crew. In addition, it also
contains entries for the vessel’s draft, maintenance of water tight integrity of the
ship, drills and inspections, crew list and report of character, a summary of laws
applicable to Official Logbooks, and miscellaneous entries.
The Official Logbook is signed by the master of the vessel and then signed by a
witness on board. It is then sent to the USCG Sector Officer In Charge Marine
Inspection (OCMI) at the nearest port to the vessel’s place of discharge. The form
collects the following information: master’s name, master’s Merchant Mariner
Credential (MMC) number, mariners’ name, and the mariners’ MMC number.
The DHS Privacy Office finds that this form is privacy-sensitive, requiring PIA
coverage.
PIA coverage is provided by DHS/USCG/PIA-015 Merchant Mariner Licensing and
Documentation System. SORN coverage is not technically required as the
information is collected and therefore not retrieved by a unique identifier. However,

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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, [email protected]
www.dhs.gov/privacy

DHS/USCG-030 Merchant Seamen’s Records does provide notice of this type of
information collection. Additionally, a Privacy Act Statement is not required.

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