Appendix F: FDP Privacy Threshold Analysis 8-28-20

Privacy Threshold Analysis
Guidance and Template

Policy and Directives

Version: 1.0
Date: May 19, 2020
Prepared for: USDA FNS OIT

Privacy Threshold Analysis – Guidance & Template

DOCUMENT ADMINISTRATION
Document Revision and History

Revision
3.1

Date
August
2013

Author and Title
Staff

Version
3.2

10 FEB
2014

Holly Beckstrom,
IT Specialist

3.2

LaWanda
Burnette
L. Burnette
L. Burnette

3.5
3.6
4.0
5.0

October
2019
June 2,
2020

ITCON Services
OIT

Reviewer

Title

HJ
Beckstrom

ASOC
Section 508
Representative

Office
Comments
USDA OCIODraft Version
Policy and
Directives - Privacy
Office
OCD/ASOC/USDA Brought document into
compliance with the USDA
RMF terms and processes
based on the SP800-37,
Rev.1 specifications; for
example replaced the term
C&A with A&A.
OCIO-P&D –
Edits
Privacy Office
OCIO-PE&F
Add definition
OCIO-PE&F
Factor Extend – A.
Goldshine
OIT
Addition of project-specific
information
OIT
Review of the FDP PTA
with Miguel Marling (FNS
Privacy Officer)

DOCUMENT REVIEW
Date
Update: If systemic, please provide comments
Y/N
Word and PDF versions of this
document are certified Section 508
02/10/2014
Y
Compliant as of February 10, 2014.

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Privacy Threshold Analysis – Guidance & Template

Table of Contents
INTRODUCTION .................................................................................................................... 1
WHAT IS A PTA? ................................................................................................................... 1
THE DIFFERENCE BETWEEN A PTA AND PIA ............................................................. 2
COMPLETING A PTA ........................................................................................................... 2
PTA REVIEW PROCESS ....................................................................................................... 2
APPENDIX A. PRIVACY THRESHOLD ANALYSIS TEMPLATE ............................. 4
AGENCY RESPONSIBLE OFFICIALS ............................................................................. 10
AGENCY APPROVAL SIGNATURE ................................................................................ 10
APPENDIX B.

ACRONYMS ............................................................................................. 11

APPENDIX C. DEFINITIONS: ......................................................................................... 12
APPENDIX D. NIST SP 800-53 REVISION 4 APPENDIX J ......................................... 13

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Privacy Threshold Analysis – Guidance & Template

Introduction
The United States Department of Agriculture (USDA) is committed to preserve and
enhance privacy protections for all individuals, to promote transparency of USDA
operations, and to serve as a leader in the federal privacy community. The Privacy
Threshold Analysis (PTA) is one step in fulfilling this commitment. The purpose of the
PTA is to help program managers and system owners determine whether a Privacy Impact
Assessment (PIA) is required under section 208 of the E-Government Act of 2002. A
properly completed and reviewed PTA provides documentation that a system owner
has assessed whether or not a full PIA is required. To appropriately protect the
confidentiality of PII, organizations should use a risk-based approach, see the National
Institute of Standards and Technology (NIST) Special Publication (SP) 800-122:
Guide to Protecting the Confidentiality of Personally Identifiable Information, (PII):
http://csrc.nist.gov/publications/nistpubs/800-122/sp800-122.pdf
In anticipation of NIST SP 800-53 revision 4, July 2012 or later, this PTA template is
being revised to compliment and incorporate these changes. See NIST SP 800-53 rev 4:
http://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-53r4.pdf
Additional reference material can be found at USDA Privacy Council webpage:
The Privacy Council webpage (edited hypertext)

What is a PTA?
Privacy Threshold Assessments or PTAs are currently incorporated into the security
assessment and authorization (A&A) process, formerly known as certification &
accreditation (C&A) process. A&A is the process by which the Department assures its
systems meet appropriate security and operating standards. Through the A&A process, the
system owner completes the PTA and reviews it with the Agency Official for Privacy
(AOP).
For all systems within USDA, a PTA must be conducted in order to determine if a full
Privacy Impact Assessment (PIA) is necessary. The PTA and PIA are tools used to
identify and qualify the extent of security measures needed to protect privacy and
personally identifiable information (PII). Some information systems will not require a full
PIA. Information owners or stewards can be aided in making the determination of whether
a full PIA is required by work closely with the system owner or program manager to first
conduct the PTA. For example, an agency may submit a PTA on a system that does not
collect PII. The system will have an official PTA on file documenting the
determination that a PIA is not required.
Agencies are required to review their privacy documentation, PTA, PIA, and System
of Record Notice, (SORN), at a minimum, annually. Agencies are required to review

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Privacy Threshold Analysis – Guidance & Template
their PIA(s) and SORN(s) posted on the department’s webpage on a reoccurring
basis and immediately notify Privacy Office of any discrepancies.
The department’s PIA(s) and SORN(s) are posted on the following webpages:

PIA:
http://www.usda.gov/wps/portal/usda/usdahome?contentid=Privacy_Impact_Assessment.
xml&contentidonly=true
SORN: http://www.ocio.usda.gov/ocio_sor.html

The USDA Privacy Office can be contacted at [email protected] if there are any
questions or concerns regarding this guidance

The Difference between a PTA and PIA
A PTA is not a PIA. A PTA simply helps determine whether or not a PIA needs to be
completed. A PTA does not fulfill the requirements of the E-Government Act of 2002
which requires USDA to conduct a PIA before developing or procuring IT systems; or
initiating projects that collect, maintain, or disseminate PII from or about members of the
public, or initiating, consistent with the Paperwork Reduction Act, a new electronic
collection of PII.

Completing a PTA
The USDA has developed a PTA template to aid the Information Owner in determining
whether or not a PIA needs to be completed, and for Departmental consistency and ease of
use. The template includes questions to determine whether or not a PIA is required. These
questions also consist of NIST 800-53 rev 4 privacy controls. The template is available as
an appendix to this document and is also posted on the Privacy Council website.
However, if a non-PDF version is needed, contact the USDA Privacy Office at
[email protected].
All PTAs completed after the effective date of this guidance must conform with the
guidance contained herein and in the format provided in the template. All questions in the
PTA template must be completed; please do not delete or modify sections of the template.

PTA Review Process
•

As an initial step, the project manager or system owner should review the PTA with
the Agency Official for Privacy (AOP) to ensure that the PTA was completed
correctly and accurately.

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Privacy Threshold Analysis – Guidance & Template
•

The agency then submits the completed PTA to the USDA Privacy Office via email at
[email protected]. The USDA Privacy Office reviews the completed document
regardless of whether it originated from a component or headquarters.

•

If the USDA Privacy Office is in agreement with the submitted PTA, the next step
would be to complete the PIA if needed. If there is any disagreement, the USDA
Privacy Office will meet with the information owner/steward, project manager, system
owner, and AOP, as necessary to review the PTA and make any appropriate changes.
The agency can provide supplemental information to support their position which may
consist of screen shots, data base field lists, etc.

•

The approved PTA should be submitted during the initiation phase of the security
assessment and authorization process.

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Privacy Threshold Analysis – Guidance & Template

Appendix A. Privacy Threshold Analysis Template
SUMMARY INFORMATION
June 22, 2020
Date
Women, Infants, and Children Food Delivery
Name of Project
Portal
USDA FNS
Name of Component:
Name of Information Owner/Steward: Amy Herring
703-305-2376
Phone of Information
Owner/Steward:
[email protected]
Email of Information
Owner/Steward:
Marci Giordano
Name of Project Manager:
703-605-0495
Phone for Project Manager:
[email protected]
Email for Project Manager:
Amy Herring
Name of System Owner:
703-305-2376
Phone for System Owner:
[email protected]
Email for System Owner:
1. Describe the project and its purpose:
Food Delivery Portal (FDP) will replace the current The Integrity Profile (TIP) system, which
was developed in fiscal year (FY) 2005, and has had no major upgrades since FY 2009.
Although the system exceeds industry standards for the software development life cycle
(SDLC), the current data structure and reporting interface make it difficult to conduct
meaningful data analysis necessary for Federal oversight of the Special Supplemental Nutrition
Program for Women, Infants, and Children (WIC).
The data collected in TIP are critical to effective WIC oversight at the Federal level, because
the information informs the Food and Nutrition Service (FNS) on WIC State Agency (SA)
performance regarding vendor training, compliance, monitoring, and sanctions. TIP data may
also be used by WIC SAs to assess trends in vendor compliance to identify areas for additional
training and oversight.
FDP will include functionality that will improve program oversight and integrity in all areas of
WIC vendor management, as well as address gaps found in the 2013 Office of Inspector
General (OIG) audit. OIG found that two of the three SAs that OIG visited were not properly
monitoring and sanctioning vendors. FDP will collect monitoring and sanctioning information
to enable FNS oversight of those activities.
FDP will reduce security risks, facilitate streamlined data collection methods, and facilitate
better use of data analytics for early detection of fraudulent activities, or SA noncompliance.
2. Status of Project:
This is a new development effort.
This is an existing project.
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Privacy Threshold Analysis – Guidance & Template
Date first developed: Scheduled Release Nov. 2020
Date last updated:
System in development currently is migrating the TIP application to Salesforce
and building out a modernized system on the SNCS Salesforce Org.
3. Is the system in Cyber Security Assessment and Management (CSAM) C&A web?
Unknown. (Please explain, in question 12)
No.
Yes.
Please list the system name and system identification number (must be the same
as the system name/number in CSAM C&A web): WIC TIP was identification
number 2391. Salesforce is 2497. A system identification number for FDP has
not been designated.
4. Is this system classified in CSAM as: (please select one)
Parent
( __________________________)
Subordinate
(Please attach a copy of the data flow diagram or database schema)

5. Is this a cloud system?
No.
Yes.
6. Is this a contractor system?
No.
Yes.

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Privacy Threshold Analysis – Guidance & Template
If yes, to questions 5 or 6, please select appropriate box:
Contractor (internal)
Contractor (external)
Federal providing contracted services
If any of the boxes are checked, please provide name of vendor and URL if
applicable: Vendor: ITCON Services; URL: On FNS Salesforce cloud; Domain Name
ending in .usda.gov and Name is pending.
7. Does the system collect, process, generate or store PII information on: (Please check
all that apply)
USDA employees.
Contractors or other entities working on behalf of USDA.
Non-USDA Federal Government employees.
USDA Partner.
The general public.
Other. (Benefactors, program participants, stakeholders, i.e. farmers, ranchers,
producers, etc., these are still members of the public however, they have a degree of
specific interest).
If others, please list: State Agency users

8. Does the system collect, process, generate or store any of the following information
(that may be considered PII) on individuals: (Please check all that apply)
Name (full name, mother’s maiden name, maiden name of the individual, nickname, or
alias).
Date and/or place of birth.
Address Information (street or email address).
Personal identification number (e.g. social security number, tax identification number,
passport number, driver’s license number or a unique identification number, etc)
Financial data (credit card numbers, bank account numbers, etc.).
Health data (including height, weight, blood pressure, etc.).
Biometric data (fingerprints, iris scans, voice signature, facial geometry, DNA, etc.).
Criminal history.
Employment history.

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Privacy Threshold Analysis – Guidance & Template
Miscellaneous identification numbers (agency assigned number, case number,
accounts, permits, etc.).
Photographic image/identifying characteristics.
Handwriting or an image of the signature.
Other information that may be seen as personal (personal characteristics, etc.).
If so, please list: It is a store number identifier
9. Does the system use or collect Social Security Numbers (SSNs) or Tax Identification
Numbers, (TINs)? (This includes truncated SSNs/TINs e.g. last 4 digits)?
No.
Yes.
If yes, why does the project collect SSNs or TINs? Provide the function of the
SSN/TIN and the legal authority to do so:
Does the system utilize the following security controls?

9a.

Encryption.
Masking of PII data.
Controlled access.
Timeout for remote access.
System audit logs.
10. Does the system require the user to enter a user name and password in order to gain
access to the system (e.g. e-Authentication)?
No. (Please explain.)
Yes.
If yes, please describe the authentication process: e-Auth and a 674 process
11. Does the system connect, receive, or share PII 1 with any other USDA systems?
No.
Yes.
If yes, please list the other USDA systems:
12. Does the system connect, receive, or share PII with any non-USDA systems?
Personally Identifiable Information (PII) is information that can identify a person. This may include:
name, address, phone number, social security number, image, as well as health information or a physical
description.

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Privacy Threshold Analysis – Guidance & Template
No.
Yes.
If yes, please list the non-USDA systems:
13. Matching records via computer/automated process, performed by federal agency,
whether the personal records used in the match are federal or non-federal PII.
Reference DR 3450-001: http://www.ocio.usda.gov/directives/doc/DR3450-001.pdf

a. Are you comparing two or more PII records or system of records?
No.
Yes

b. Are you comparing any system of record with non -federal records?
No.
Yes

If yes, for question 13a or 13b, the efforts or purpose have to meet at least one
of these conditions:
 Creating or checking eligibility or compliance with laws/regulations of
applicants or recipients/beneficiaries of a federal program/grant.
OR
 Recouping payments, delinquent debts or overpayments owed to
government agencies from a federal benefit program.
OR
 Two or more automated Federal personnel or payroll systems of records or
a system of Federal Personnel of payroll records with non-federal records.

Exclusions for the conditions above: Aggregate statistical, research or

statistical project, enforcement of criminal laws, tax information, etc. Please see PL 100503, Computer Matching Act for specific details.
c. Based on the responses above, is a CMA required?
(Affirmative for 13a. or 13b and either of the options for efforts are met),
No. (Skip to question 15)
Yes. (Please respond to question 14, if “yes”).
14. Do you have a Computer Matching Agreement?
No.
Yes. (Please list this agreement on the Privacy Council webpage posting)
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Privacy Threshold Analysis – Guidance & Template
15. Are there regular (e.g. periodic, recurring, etc.) PII data extractions from the system?
No.
Yes.
(Reference Memorandum – posted on website)
If yes, have proper controls and policies been developed to address the data
logging requirements outlined in Office of Management and Budget (OMB)
Memorandum
M-07-16, “Safeguarding Against and Responding to the Breach of Personally
Identifiable Information”?
No.
Yes.

16. Does the system track or measure the browsing habits or preferences of the public or
user? (refer to OMB Memoranda M-10-22 “Guidance for Online Use of Web
Measurement and Customization Technologies” and M-10-23 “Guidance for Agency
Use of Third-Party Websites and Applications”)
No.
Yes.
If yes, have proper controls and policies been developed to meet all the
requirements outlined in Office of Management and Budget (OMB) Memoranda M-10-22
“Guidance for Online Use of Web Measurement and Customization Technologies” and
M-10-23 “Guidance for Agency Use of Third-Party Websites and Applications.”
No.
Yes
17. Is application/system mobile device compatible? (Y/N)
No.
Yes
If none of the boxes were checked for questions number 7 – 8 and “NO” was answered
for questions 9, 11, and 12, DO NOT complete a PIA for this system.
If any box was checked for questions number 7 - 8, and any answers to questions 9
through 12 were “YES,” A PIA MUST be completed for this system.

X

PIA REQUIRED
YES
NO
(Check one)

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Privacy Threshold Analysis – Guidance & Template
Privacy Office reserves the right to request additional information during the review of
privacy documentation for the systems.
Signature authority and protocol differs by agency, we request at a minimum Project
Manager/System Owner and ISSPM/CISO sign the document with review by the Privacy
Officer.

Agency Responsible Officials
Digitally signed by MARCI
GIORDANO
Date: 2020.08.27 09:09:35 -04'00'
__________________________________
__________________

MARCI GIORDANO

Marci Giordano
Project Manager
Program Integrity and Monitoring Branch
Food and Nutrition Service
United States Department of Agriculture

KELLY JACKSON

Digitally signed by KELLY JACKSON

Date

Date: 2020.08.28 09:55:34 -04'00'
__________________________________

__________________

Kelly Jackson
Information Owner
Program Analyst, Program Integrity and
Monitoring Branch Food and Nutrition Service
United States Department of Agriculture

Date

Agency Approval Signature

Digitally signed by JOSEPH
BINNS
________________________________
_________________
Date: 2020.08.28
13:02:19 -04'00'

JOSEPH BINNS

Joseph Binns
ISSPM\CISO
Food and Nutrition Service
United States Department of Agriculture

Date

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Privacy Threshold Analysis – Guidance & Template

Appendix B. Acronyms
Acronyms used in this document are listed below in alphabetical order.
Acronym

Description

A&A

Assessment and Authorization (formerly Certification & Accreditation)

AOP

Agency Official for Privacy

CMA

Computer Matching Agreement

CIO

Chief Information Officer

CISO

Chief Information Security Officer

CPO

Chief Privacy Officer

CSAM

Cyber Security Assessment and Management

EOM

End of Month

NIST

National Institute of Standards and Technology

OMB

Office of Management and Budget

PIA

Privacy Impact Assessment

PII

Personal Identifiable Information

PTA

Privacy Threshold Analysis

SAOP

Senior Agency Official for Privacy

SORN

System of Record Notice

SP

Special Publication

SSN

Social Security Number

SSP

System Security Plan

TIN

Tax Identification Number

USDA

United States Department of Agriculture (often referred as “Department”)

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Appendix C. DEFINITIONS:
Term
Computer Matching Agreement, CMA

Generate

Process

Third party websites/applications

Store

Definition
The Computer Matching and Privacy
Protection Act covers two kinds of matching
programs: (1) matches involving Federal
benefits programs; and, (2) matches using
automated records
from Federal personnel or payroll systems
of
records.
Generate is defined as the creation of an
item. For the purpose of privacy
documentation, generate in terms of the
system creating PII data.

Process is defined as a method or action that
results in a transformation or alteration of data.
For the purpose of privacy documentation,
system manipulate or change the PII data within
the system.
The term “third-party websites or
applications” refers to web-based technologies
that are not exclusively operated or controlled
by a government entity, or web-based
technologies that involve significant
participation of a nongovernment entity. Often
these technologies are located on a “.com”
website or other location that is not part of an
official government domain. However, thirdparty applications can also be embedded or
incorporated on an agency’s official website.
Store is defined as a location in which data is
retained. For the purpose of privacy
documentation, system contain or maintain for
future access PII data.

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Appendix D. NIST SP 800-53 Revision 4 Appendix J
Privacy controls are the administrative, technical, and physical safeguards employed within
organizations to protect and ensure the proper handling of PII. There are eight privacy control
families with each family aligning with one of the Federal Information Processing Standards
(FIPS.) The privacy control families can be implemented at the organization, department,
agency, component, office, program, or information system level, under the leadership of the
Senior Agency Official for Privacy (SAOP) or Chief Privacy Officer (CPO) 2 and in
coordination with the Chief Information Security Officer (CISO), Chief Information Officer
(CIO), program officials, and legal counsel. Table J-1 provides a summary of the privacy
controls by family in the privacy control catalog
TABLE J-1: SUMMARY OF PRIVACY CONTROLS BY FAMILY
PRIVACY CONTROLS

CNTL NO.
AP

Authority and Purpose

AP-1

Authority to Collect

AP-2

Purpose Specification

AR

Accountability, Audit, and Risk Management

AR-1

Governance and Privacy Program

AR-2

Privacy Impact and Risk Assessment

AR-3

Privacy Requirements for Contractors and Service Providers

AR-4

Privacy Monitoring and Auditing

AR-5

Privacy Awareness and Training

AR-6

Privacy Reporting

AR-7

Privacy-Enhanced System Design and Development

AR-8

Accounting of Disclosures

DI

Data Quality and Integrity

DI-1

Data Quality

DI-2

Data Integrity and Data Integrity Board

DM

Data Minimization and Retention

DM-1

Minimization of Personally Identifiable Information

DM-2

Data Retention and Disposal

DM-3

Minimization of PII Used in Testing, Training, and Research

IP

Individual Participation and Redress

IP-1

Consent

IP-2

Individual Access

IP-3

Redress

IP-4

Complaint Management

SE

Security

SE-1

Inventory of Personally Identifiable Information

All federal agencies and departments designate an SAOP/CPO as the senior organizational official
with the overall organization-wide responsibility for information privacy issues. OMB Memorandum 0508, provides guidance for the designation of SAOPs/CPOs.
2

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PRIVACY CONTROLS

CNTL NO.
SE-2

Privacy Incident Response

TR

Transparency

TR-1

Privacy Notice

TR-2

System of Records Notices and Privacy Act Statements

TR-3

Dissemination of Privacy Program Information

UL

Use Limitation

UL-1

Internal Use

UL-2

Information Sharing with Third Parties

Source:
NIST Special Publication 800-53-Rev.4, Security and Privacy Controls for Federal
Information Systems and Organizations

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