Pciims Pia

Privacy Impact Assessment
for the

Protected Critical Infrastructure Information
Management System (PCIIMS) Final Operating
Capability (FOC)
July 13, 2011
DHS/NPPD/PIA-006(a)
Contact Point
Tammy Barbour
Protected Critical Infrastructure Information Program
Office of Infrastructure Protection
National Protection and Programs Directorate
(703) 235-3656
Reviewing Official
Mary Ellen Callahan
Chief Privacy Officer
Department of Homeland Security
(703) 235-0780

Privacy Impact Assessment
NPPD/IP/IICD/PCIIMS FOC
July 13, 2011
Page 1

Abstract
The Protected Critical Infrastructure Information (PCII) Program, part of the Department of
Homeland Security (DHS), National Protection and Programs Directorate (NPPD), Office of
Infrastructure Protection (IP), Infrastructure Information Collection Division (IICD), facilitates the
sharing of PCII between the government and the private sector. The Protected Critical Infrastructure
Information Management System (PCIIMS) Final Operating Capability (FOC) is an Information
Technology (IT) system and the means by which PCII submissions from the private sector are received
and cataloged, and PCII Authorized Users are registered and managed. The PCII Program conducted this
privacy impact assessment (PIA) to analyze and evaluate the privacy impact resulting from the
consolidation of the PCIIMS Initial Operating Capability (IOC) functionalities into PCIIMS FOC, as well
as the collection of limited personally identifiable information (PII) from the submitting individuals and
PCII Authorized Users for contact purposes.

Overview
It is estimated that over 85 percent of the critical infrastructures within the United States are
owned and operated by the private sector. Recognizing that the private sector was reluctant to share
information with the federal government for fear that it could be publicly disclosed, Congress passed the
Critical Infrastructure Information Act of 2002 (6 USC §131 et seq.) (CII Act). This Act provides Critical
Infrastructure Information (CII) with protection from public release and disclosure. It also charges the
PCII Program Office to improve the readiness posture of the United States in order to prevent and/or
respond to incidents related to our critical infrastructure by creating a new framework, which would
enable the private sector to voluntarily submit sensitive information regarding the nation's critical
infrastructure, such as subject material (telecom, nuclear, chemical, commerce, etc.), plans related to a
site (disaster, emergency response, security, buffer zone protection, etc.), location of facility, site and
asset vulnerabilities, blueprints, and any other information relevant to the protection of a facility.
CII, which becomes PCII upon completion of the submission and validation process, is defined in
the CII Act as:
Information not customarily in the public domain and related to the security of critical
infrastructure or protected systems—(A) actual, potential, or threatened interference with, attack
on, compromise of, or incapacitation of critical infrastructure or protected systems by either
physical or computer-based attack or other similar conduct (including the misuse of or
unauthorized access to all types of communications and data transmission systems) that violates
federal, state, or local law, harms interstate commerce of the United States, or threatens public
health or safety; (B) the ability of any critical infrastructure or protected system to resist such
interference, compromise, or incapacitation, including any planned or past assessment, projection,
or estimate of the vulnerability of critical infrastructure or a protected system, including security
testing, risk evaluation thereto, risk management planning, or risk audit; or (C) any planned or
past operational problem or solution regarding critical infrastructure or protected systems,

Privacy Impact Assessment
NPPD/IP/IICD/PCIIMS FOC
July 13, 2011
Page 2

including repair, recovery, reconstruction, insurance, or continuity, to the extent it is related to
such interference, compromise, or incapacitation. 1
Entities who share CII with DHS include state and local government entities, private entities or
persons, or Information Sharing and Analysis Organizations acting on behalf of their members or
otherwise. These entities who submit CII to DHS for protection as PCII are referred to as “submitters”
throughout this PIA. Collecting PCII assists government entities in protecting the nation from, and aiding
in response to, acts of terrorism, natural disasters, or other emergencies, as well as assisting in the
identification of vulnerabilities. The collection of PCII in a central repository gives DHS and the PCII
stakeholders across the country a comprehensive view of the nation’s critical infrastructure. Such a
comprehensive view enables quick and effective decision-making and communication should the need for
response arise. Collecting administrative contact information from submitters of PCII supports the PCII
Program mission of receipt, validation, protection, and dissemination of PCII. The PCII Program limits
the contact information collected to the amount of information necessary to coordinate and validate a
particular CII submission. PCII protection exempts the information from the Freedom of Information Act
(FOIA), state and local disclosure laws, and use in civil litigation. The submitter’s contact information is
considered part of the CII submission, and therefore, is afforded the same protection as the rest of the
data.
In September 2006, DHS further defined and developed the PCII Program through an
implementing regulation, “Procedures for Handling Critical Infrastructure Information; Final Rule,” 6
CFR Part 29 (Final Rule). This regulation provides protections, defines terms, and outlines handling and
use limitations, as well as the submission and sharing process of CII with DHS. The Final Rule also
requires the use of PCIIMS to record the receipt, acknowledgement, validation, storage, dissemination,
and destruction of PCII. PCIIMS FOC consolidates and integrates functions that previously existed as
part of the two separate PCIIMS IOC systems, PCIIMS eSubmissions and Workflow and the Program
Administrative Support (PAS) system. PCIIMS FOC consolidates the two systems into one fully
integrated system with three main functions: (1) eSubmissions is an electronic submission functionality
enabling private sector critical infrastructure personnel to submit information electronically for
protection; (2) Workflow is a functionality enabling validation and protection of the PCII; and (3) User
Management is where PCII Authorized Users are registered, trained, authorized, and their accounts
managed.
PCIIMS FOC has three user groups: (1) submitters of CII for PCII protection (e.g., state, local, or
private sector entities); (2) PCII Program personnel who are DHS employees or contractors that perform
the submission review, processing, validation, and administration; and (3) PCII Authorized Users who
use the PCII for analyses, assessments, and other tasks in support of their homeland security duties (may
include individuals outside of DHS). All PCII Program personnel with access to the PCIIMS FOC
system are required to be PCII Authorized Users. However, to maintain accountability of the system and
its data, not all PCII Authorized Users have direct access to the PCII contained in the PCIIMS FOC
system. Only PCII Program personnel have direct access to PCII maintained within PCIIMS FOC, and
PCII is disseminated to PCII Authorized Users by approved PCII Program personnel only after all sharing
1

6 USC §131(3)(A)-(C)

Privacy Impact Assessment
NPPD/IP/IICD/PCIIMS FOC
July 13, 2011
Page 3

requirements are met, including the establishment of the PCII Authorized User’s need to know.
Submitters are not required to be PCII Authorized Users since they are submitting CII to be considered
for protections as PCII and are not using PCII for homeland security duties.
As described in the CII Act and the Final Rule, PCII submissions will include PII from
submitters. The PCII Program Office uses the contact information to coordinate and validate, as
necessary, a particular CII submission. The PCII Program also collects PII during the PCIIMS FOC user
registration process to manage PCII Authorized Users with access to the system. In both instances, the
PII collected is limited to business contact information, such as:
• name;
•

company;

•

business email;

•

business phone; and

•

business address.

CII/PCII Submission Process
The submitter may share CII with DHS using one of the following methods: (1) directly to
PCIIMS FOC through the eSubmissions functionality; or (2) manually via email, regular mail, fax, orally,
in-person, etc. All information the PCII Program collects must be accompanied by an express statement
and a signed certification statement from the submitter. If a submitter opts to submit information orally,
the submitter must follow up with an express statement, certification statement, and documents that
memorialize the oral submission, and a PCII Program official will input and upload the submission into
PCIIMS FOC on the submitter’s behalf
The express statement affirms that:
•

The information is voluntarily submitted to the federal government in expectation of
protection from disclosure as provided by the provisions of the Critical Infrastructure
Information Act of 2002.

The certification statement affirms that:
•

To the best of the submitter’s knowledge, information, and belief, the information being
submitted is not customarily in the public domain.

•

The submitter attests that information is not being submitted in lieu of a regulatory
requirement.

•

The submitter is authorized to submit this information to be considered for protection under
the Critical Infrastructure Information Act of 2002.

Within PCIIMS FOC, the tracking of a CII submission begins with eSubmissions, and is
managed through the Workflow and User Management applications.

Privacy Impact Assessment
NPPD/IP/IICD/PCIIMS FOC
July 13, 2011
Page 4

eSubmissions
The eSubmissions functionality collects submitter information (business contact information), as
well as information about the CII data being submitted to DHS for protection, and then enables the
submitter to upload various supporting documents and files. The eSubmissions application scans the
submitted documents for viruses and malware prior to the submission being accepted and inputted into
the Workflow application. If the virus check fails, the submission is not accepted and the submitter must
resolve the document issue prior to resubmitting. Once the submission is accepted, eSubmissions
provides a unique submission identification number to the submitter.
Workflow
The submission identification number follows the submission through the entire PCII submission,
validation, approval, and storage process, which occurs in the Workflow application. The Workflow
functionality is an information management application, logging CII submissions (either inputted directly
from eSubmissions or via a manual entry by the PCII Program personnel) and then enabling the PCII
Program personnel to perform a validation process. CII submitted to the PCII Program is not restricted to
any particular format. Therefore, during processing and validation, PCII Program personnel review the
submission for specific PCII requirements. They also have the ability to systematically generate letters to
send to a submitter for various information requests or status updates regarding the submission.
Workflow creates a log of such correspondence, in addition to allowing PCII Program personnel to input
their comments about a submission, such as administrative notes or status updates. Once a submission
undergoes the PCII validation workflow, the PCII Program will either validate the submission as PCII,
reject, or withdraw the submission. If the submission is validated as PCII, the Workflow application adds
required headings, markings, cover pages, etc. to all of the applicable data, per the PCII Final Rule
requirements, and stores the newly designated PCII submission in the PCIIMS FOC database indefinitely
or until the original submitter requests the PCII protection to be withdrawn. If the submission is rejected
or withdrawn, the system automatically removes all data related to the submission, with the exception of
the submitter’s certification and express statements that are required as part of the CII submission process.
This retention practice conforms to the National Archives and Records Administration (NARA) records
retention schedule for PCIIMS FOC.
PCII Program personnel can also perform limited search and reporting capabilities on the CII and
PCII submissions, including the reporting of first-level dissemination of PCII retained in the application.
This Workflow functionality is only accessible from the DHS A-LAN, requiring a separate login from
eSubmissions and User Management functions. The search results and report information are only
accessible to the PCII Program personnel. No other PCIIMS FOC system users have access.
User Management
The User Management functionality enables the PCII Program to manage its PCII Authorized
Users. The PCII Program has a requirement to maintain a central repository of all users who are
authorized to access PCII. In order for a user to become a PCII Authorized User, the user must complete
several requirements, including: certify the performance of homeland security duties, sign a nondisclosure agreement (non-Federal employees only), be certified for access (contractors only), and
complete PCII training and subsequent exam. The PCII Program relies heavily on a distributed user

Privacy Impact Assessment
NPPD/IP/IICD/PCIIMS FOC
July 13, 2011
Page 5

management framework consisting of PCII Officers within the many Federal, State, local, and tribal
government organizations, which access PCII, to oversee and manage the PCII Authorized User
community. The User Management application aids the PCII Program and designated PCII Officers in
the oversight and management of the PCII Authorized User community by enabling user registration, user
screening, training delivery and certification, user notification, account maintenance, and PCII Program
and Officer administrative tasks. All PCII Authorized Users are required to take PCII Authorized User
training, which covers the consequences of loss or misuse of PCII data, including criminal and
administrative penalties. After completing the PCII Authorized User training, a user may access PCII for
up to one year and receives a unique PCII Authorized User number and a PCII Authorized User
certificate. The User Management application automatically notifies users via email before their one year
PCII Authorized User status expires. To keep their PCII Authorized User status, the user must complete
refresher training prior to the expiration date. To assist PCII Authorized Users in identifying other
current PCII Authorized Users, before sharing PCII, the User Management application also includes an
Authorized User number check feature, whereby one Authorized User can enter another user’s number
and the feature will return that person’s name, PCII Authorized User status, expiration date, organization,
and employer (if contractor).
Partnership Systems
The PCII Program also collects data on PCII submissions through partnership systems.
Partnership systems are systems managed by PCII Officers in other federal agencies who have received
an elevated training level for handling PCII. These systems collect, protect, and disseminate original PCII
in a format that has been pre-approved by the PCII Program. PCII Officers in other federal agencies
share their data with DHS either by granting the PCII Program access to the partnership system, sending a
file by email, or by transmitting a CD or hardcopy of the information by mail, if necessary. Each
partnership system is required to meet the PCII requirements of the final rule and is covered by an
individual memorandum of understanding (MOU) between the system owner and PCII Program, which
details how information is collected, protected, and disseminated from the partnership system (See
Appendices A and B).
PCII Program personnel may input PCII submission metadata records from approved PCII
partnership systems into the PCIIMS FOC Workflow application in a standardized XML format.
Workflow stores these metadata records and enables the PCII Program to execute searches and generate
reports on the data.

Section 1.0 Authorities and Other Requirements
1.1

What specific legal authorities and/or agreements permit
and define the collection of information by the project in
question?

Section 201(d) of the Homeland Security Act (6 USC §11(d)) and the CII Act authorize this
collection, and the collection is done in accordance with the final rule.

Privacy Impact Assessment
NPPD/IP/IICD/PCIIMS FOC
July 13, 2011
Page 6

1.2

What Privacy Act System of Records Notice(s) (SORN(s))
apply to the information?

The PII about Submitters is not covered by the Privacy Act because the information is not
retrieved by personal identifier as required by the Privacy Act. This information is covered and protected
under the CII Act.
The PCII Program Office collects PII for the purpose of granting access to the PCIIMS FOC
system. This collection of information is covered by the DHS/ALL-004 General Information Technology
Access Account Records System of Records (September 29, 2009, 74 FR 49882).

1.3

Has a system security plan been completed for the
information system(s) supporting the project?

The PCIIMS FOC system has a System Security Plan (SSP) that is part of the new system C&A
package. This C&A package is currently undergoing review, and an ATO will be granted before the
system goes live (expected to go live in July 2011). The current production system (PCIIMS IOC) has an
ATO that was signed September 9, 2010 and is valid for three years.

1.4

Does a records retention schedule approved by the
National Archives and Records Administration (NARA)
exist?

The following records schedules cover PCIIMS FOC and have been approved by NARA: Job No.
N1-563-08-36, which covers the PCIIMS system, and N1-563-04-9, which covers CII submissions.

1.5

If the information is covered by the Paperwork Reduction
Act (PRA), provide the OMB Control number and the
agency number for the collection. If there are multiple
forms, include a list in an appendix.

Per 6 CFR 29, Volume 71, Number 170: “Under the Paperwork Reduction Act of 1995, 44
U.S.C. 3501-3520 (PRA), a Federal agency must obtain approval from the OMB for each collection of
information it conducts, sponsors, or requires through regulations. The Final Rule for the Procedures for
handling Critical Infrastructure Information does not contain provisions for collection of information,
does not meet the definition of ‘information collection’ as defined under 5 CFR Part 1320, and is
therefore exempt from the requirements of the PRA. Accordingly, there is no requirement to obtain OMB
approval for information collection.” 2 However, the final rule does not exempt partnership systems, and
as such, each partnership system may be required to follow PRA guidelines.

Section 2.0 Characterization of the Information
The following questions are intended to define the scope of the information requested and/or collected, as
well as reasons for its collection.
2

Procedures for Handling Critical Infrastructure Information; Final Rule, Preamble §V(H), 6 CFR part 29 (2006).

Privacy Impact Assessment
NPPD/IP/IICD/PCIIMS FOC
July 13, 2011
Page 7

2.1

Identify the information the project collects, uses,
disseminates, or maintains.

The eSubmissions functionality of PCIIMS FOC collects limited contact information from
individuals submitting CII to DHS. The contact information consists of full name, business title, business
e-mail address, business telephone, and business fax number and is used by DHS to contact the submitter
in the event there are any questions about the submission during the verification process.
Information regarding the critical infrastructure itself comprises the rest of the submission and
does not include PII. The types of information that PCIIMS FOC collects may include the subject
material (e.g., telecom, nuclear, chemical, commerce, etc.), plans related to a site (e.g., disaster,
emergency response, security, buffer zone protection, etc.), location of facility or site, asset
vulnerabilities, blueprints, and/or any other information relevant to the protection of a facility. The types
of information PCIIMS collects are specific to each site. For example, if the facility stores any amount of
chemical matter, the submission would detail the amount, type, location, and storage of such material.
Additionally, each entry requires a Certification Statement. The Certification Statement certifies
that the submitter believes the information meets the statutory requirements. Each entry also contains an
express statement from the submitter officially requesting that the CII be protected.
The user management functionality of PCIIMS FOC also collects business contact information
(e.g., name, email, business address, business phone, and organization) on personnel that are PCII
Authorized Users. Future PCIIMS FOC functionality may include the ability for PCII Authorized Users
to search for other PCII Authorized Users by their business contact information.

2.2

What are the sources of the information and how is the
information collected for the project?

The original source of information that the PCII Program collects is always the submitter.
Submitters may submit CII for protection as PCII to DHS through one of the following methods: (1)
directly to PCIIMS FOC through the eSubmissions functionality; or (2) manually via email, regular mail,
fax, orally, in-person, etc., in which case a PCII Program official inputs and uploads the submission into
PCIIMS FOC on the submitter’s behalf. In the case of faxed or hard copy submissions, a PCII Program
official scans and uploads the information to PCIIMS FOC. Original, hard copy documents are stored in
a safe.
When information is not collected directly by the PCII Program, it is collected through
partnership systems, which are systems managed by PCII Officers in other federal agencies who have
received an elevated training level for handling PCII. Partnership systems collect, protect and
disseminate original PCII in a format that has been pre-approved by the PCII Program. The data is shared
with the PCII Program office either by granting access to the partnership system, sending a file by email,
or by transmitting a CD or hardcopy of the information by mail, if necessary. Each partnership system is
required to meet the PCII requirements of the Final rule and is covered by an individual memorandum of
understanding (MOU) between the system owner and the PCII Program, which details how information is
collected, protected and disseminated from the partnership system (See Appendices A and B).

Privacy Impact Assessment
NPPD/IP/IICD/PCIIMS FOC
July 13, 2011
Page 8

Additionally, the User Management functionality of PCIIMS FOC collects business contact
information (e.g., name, email, business address, business phone, and organization) directly from
individuals that are applying to be PCII Authorized Users.

2.3

Does the project use information from commercial sources
or publicly available data? If so, explain why and how this
information is used.

All information collected by PCIIMS FOC is provided by the individual, not collected from
commercial sources or otherwise obtained from public records.

2.4

Discuss how accuracy of the data is ensured.

The PCII Program office verifies the submitter’s contact information at the time of the CII
submission. PCII Program personnel review the information contained in the submitting entity's
submission and express and certification statements, as it is inputted into the eSubmissions functionality
of the PCIIMS FOC. In the case of an oral submission, the submitter must follow up with written
documents to memorialize the submission, which are then reviewed by PCII Program personnel. Upon
receipt and review of the submission, the PCII Program issues an acknowledgment to the submitter, at
which point the submitter may verify the accuracy of their contact information.
Established standard operating procedures require that the information be reviewed by a trained
federal employee to ensure the submission either does or does not qualify for PCII protection and to
check for accuracy. Once the information has been processed by the employee, only the Program
Manager of the PCII Program Office is able to validate the submission before it is stored as read-only in
the PCIIMS FOC.
Once the data is stored as PCII, no changes are made to the submission, including the contact
information, unless DHS is specifically notified to do so. Notifications would include, for example, a
submitter contacting the help desk to update their information or to withdraw protections from their
submissions. Notifications are also sent to PCII Authorized Users via email to conduct various PCIIMS
FOC user management activities, including training renewal notices and password resets. Responses to
these notifications ensure that the contact information within PCIIMS FOC is up to date. A non-response
would trigger the PCIIMS FOC system to remove the user, as required by the PCII Program policy.

2.5

Privacy Impact Analysis: Related to Characterization of the
Information

Privacy Risk: There is a risk that more PII than is needed will be collected and retained.
Mitigation: The PCII Program Office limits the information collected to only that business
contact information necessary to coordinate and validate a particular PCII submission or to perform PCII
Authorized User management activities. Information entered is limited by the fields that are available in
the user management functionality of PCIIMS FOC.

Privacy Impact Assessment
NPPD/IP/IICD/PCIIMS FOC
July 13, 2011
Page 9

Section 3.0 Uses of the Information
The following questions require a clear description of the project’s use of information.

3.1

Describe how and why the project uses the information.

The PCII Program Office and PCII Authorized Users utilize PCII to prepare the nation for acts of
terrorism, natural disasters, or other emergencies, as well as to assist in the identification of
vulnerabilities. PCII Authorized Users may include PCII Analysts within the Department’s PCII Program
Office and other authorized government users to include federal, state, local, or tribal agents and their
contractors.
PCII information is also used by federal, state, and local governments in response to natural
disaster recovery efforts. The PCII Program Office may communicate requests to submitting entities in
support of the PCII Program Office's mission of receipt, validation, protection, and dissemination of PCII.
The submitter’s contact information is considered part of the CII submission, and therefore, is afforded
the same protection as the rest of the data.
The PCII Program Office uses contact information to contact the submitting entity with questions
related to the CII submission. Once protected, the PII and CII combine to form PCII. The PCII is
disseminated only to PCII Authorized Users with the need to know. PCII Authorized Users are identified
by their unique user number. Authorized Users’ PII is maintained by PCIIMS solely to contact the
individual for PCII Program office oversight activity.

3.2

Does the project use technology to conduct electronic
searches, queries, or analyses in an electronic database to
discover or locate a predictive pattern or an anomaly? If
so, state how DHS plans to use such results.

While PCII Analysts and others examine relationships between critical infrastructure sites in
certain regions or sectors, submitter and Authorized User contact information is not analyzed in any way.

3.3

Are there other components with assigned roles and
responsibilities within the system?

The PCII Program Office shares PCII with PCII Authorized Users, as necessary, to support
mission requirements. All PCII Authorized Users must demonstrate a valid need to know before
receiving any protected information. Additionally, any organization that develops a relationship with the
PCII Program Office must develop programs for receiving, handling, and using PCII in their respective
critical infrastructure programs. They also must complete certification to receive PCII. A list of
components or directorates within the Department with which the information is shared is maintained by
the PCII Program Office.

Privacy Impact Assessment
NPPD/IP/IICD/PCIIMS FOC
July 13, 2011
Page 10

3.4

Privacy Impact Analysis: Related to the Uses of
Information

Privacy Risk: There is a risk of misuse of PII collected as part of a CII submission.
Mitigation: This risk is mitigated in that the entire submission (including PII), once validated, is
protected as PCII. Therefore, any PII collected is afforded the same protection as PCII, and the uses of
PCII are specifically defined in the Final Rule. DHS limits the use of the contact information to the
coordination and validation of a PCII response. All PCII Authorized Users who receive PCII and, by
necessity, process contact information, receive PCII training. All DHS employees are required to
complete annual privacy training, which covers the appropriate use and handling of PII. Additionally,
PCII Program users are authorized access to only the information necessary for the completion of their
duties. These role-based access measures help to mitigate potential misuse of PII.

Section 4.0 Notice
The following questions seek information about the project’s notice to the individual about the information
collected, the right to consent to uses of said information, and the right to decline to provide information.

4.1

How does the project provide individuals notice prior to the
collection of information? If notice is not provided, explain
why not.

Entities that submit CII and associated business contact information to DHS do so voluntarily,
and DHS requires that each submission is accompanied by a signed certification and express statement,
ensuring the submitter acknowledges the voluntary nature of the program. Entities, including the
individual submitters, are provided with specifics about the program in the Final Rule. The PCII Program
Office provides notice at the time of collection to individuals applying to be authorized users in the form
of a Privacy Act statement, in this PIA, and the DHS/ALL-004 General Information Technology Access
Account Records System of Records (September 29, 2009, 74 FR 49882).

4.2

What opportunities are available for individuals to consent
to uses, decline to provide information, or opt out of the
project?

The PCII Program Office may need to contact a submitter for additional information in order to
complete a validation of submitted material. In such instances, the submitter can decline to provide any
additional information or may withdraw the submission before it is validated. The PCII Program Office
does not accept anonymous submissions. If a submitter declines to provide their contact information that
would indicate that they choose not to participate in the PCII Program.
PCII Authorized Users are not provided ability to specifically consent to particular uses.
Individuals who choose not to provide all the information necessary, may not be approved as a PCII
Authorized User.

Privacy Impact Assessment
NPPD/IP/IICD/PCIIMS FOC
July 13, 2011
Page 11

4.3

Privacy Impact Analysis: Related to Notice

Privacy Risk: There is a risk that submitters or PCII Authorized Users will not be provided with
adequate notice as to how their PII will be used.
Mitigation: This risk is mitigated in that the PCII Program has a direct relationship with both
submitters and PCII Authorized Users and ensures that notice provided to individuals is robust. For
example, this PIA and the Final Rule provide detailed notice regarding the use of any PII provided to the
PCII Program office. Once an entity chooses to submit information, they are aware of the extent of the
information that is required, including the limited amount of contact information collected and the limited
use of the contact information. Additionally, submitters of CII sign certification and express statements,
certifying that information submitted to the PCII Program is done so voluntarily by the individual.
For Authorized Users, the PCII Program Office provides notice to individuals in the form of a
Privacy Act statement at the time of collection, and further notice is provided in the DHS/ALL-004
General Information Technology Access Account Records System of Records (September 29, 2009, 74
FR 49882). This notice also ensures that individuals are aware of how to access and correct their records
maintained within PCIIMS FOC.

Section 5.0 Data Retention by the project
The following questions are intended to outline how long the project retains the information after the initial
collection.

5.1

Explain how long and for what reason the information is
retained.

DHS worked with the National Archives and Records Administration (NARA) to develop a
retention schedule for the records maintained within PCIIMS FOC. This retention schedule was designed
to protect PCII maintained within the system to the maximum extent practicable and consistent with the
CII Act. CII submissions that are validated as PCII are maintained indefinitely or until the PCII Program
office determines that information may no longer be protected under the CII Act, in which case the status
is changed from PCII to non-PCII. Status changes occur when: (1) the submitter requests in writing that
the information no longer be protected under the CII Act; or (2) the PCII Program office determines that
the information was, at the time of the submission, customarily in the public domain.
CII submissions that are rejected are removed from the system with the exception of the
certification and express statements and reason for rejection, which are maintained for administrative
tracking purposes. Similarly, when status changes occur, the substantive information from the
submission is removed from the system, and only the certification and express statements, reason for
removal, and submission metadata are retained, as outlined in the NARA guidelines. When information
no longer requires protection, a submitter may request that the information be returned to them.
Otherwise, it is removed from PCIIMS FOC and destroyed.
Per NARA guidance, the PCII Program maintains the following categories of information, and
then retains them, as follows:

Privacy Impact Assessment
NPPD/IP/IICD/PCIIMS FOC
July 13, 2011
Page 12

Per NARA Job No. N1-563-04-09:
Critical Infrastructure Information Submissions in all media formats that do not meet PCII
criteria: Return to submitter if requested, or destroy within 30 calendar days of making the final nonprotection determination in accordance with provisions found in 6 CFR Part 29, or when no longer
needed for current business, whichever is later.
Email and word processing documents related to Non-Protected CII submissions:
a. Copies that have no further value after the recordkeeping copy is made: Delete/destroy
within 180 days after the recordkeeping copy has been produced
b. Copies used for dissemination, revision, or updating that are maintained in addition to the
recordkeeping copy: Delete/destroy when dissemination, revision, and updating is complete.
Per NARA Job No. N1-563-08-36:
Critical Infrastructure Information Submissions: Return to submitter or destroy within 30 days of
a change in submission status from PCII to non-PCII.
Workflow/Protected Subsystem: Destroy 20 years after the PCII has changed submission status
from PCII to non-PCII.
Metadata Repository Subsystem: Destroy 20 years after the PCII has changed submission status
from PCII to non-PCII.
Related Records: Destroy 20 years after either the initial status determination of the associated
submission or the PCII submission has changed status from PCII to non-PCII.

5.2

Privacy Impact Analysis: Related to Retention

Privacy Risk: There is a risk that PII contained in a CII submission may be retained longer than
necessary.
Mitigation: The above risk is mitigated in that information is only retained for as long as
necessary and relevant to the PCII Program mission. Submitters can request that information no longer
requiring protection be removed from the system. DHS follows NARA guidance regarding purging PII
that is no longer relevant or necessary, as described in 5.1, and the PCII Program Office undergoes yearly
compliance auditing. Additionally, all PCII Program Office personnel are required to follow the PCII
Validation Standard Operating Procedure (SOP) when reviewing CII submitted for protection. By
following this SOP and the PCII Procedures Manual, the PCII program office ensures that CII failing to
qualify for PCII protections is returned (if requested by the submitter) and destroyed.

Section 6.0 Information Sharing
The following questions are intended to describe the scope of the project information sharing external to
the Department. External sharing encompasses sharing with other federal, state, local, and tribal government and
private sector entities.

Privacy Impact Assessment
NPPD/IP/IICD/PCIIMS FOC
July 13, 2011
Page 13

6.1 Is information shared outside of DHS as part of the normal
agency operations? If so, identify the organization(s) and how
the information is accessed and how it is to be used.
The PCII Program shares PCII data with other federal, state, local, tribal, and territorial
governments and their contractors, as necessary, to meet mission requirements through PCIIMS FOC and
partnership systems. These partnership systems are systems managed by other federal agencies that
collect, protect, and disseminate original PCII in a format that has been pre-approved by the PCII
Program. Data from partnership systems is shared with the PCII Program by the partnership system
granting access to the partnership system, sending a file by email, or by transmitting a CD or hardcopy of
the information by mail, if necessary. Each partnership system is required to meet the PCII requirements
of the Final rule and is covered by an individual memorandum of understanding (MOU) between the
system owner and PCII Program, which details how information is collected, protected and disseminated
from the partnership system (See Appendices A and B). A list of partnership systems is maintained by
the PCII Program Office.
PCII Authorized User data is not shared outside of DHS as part of normal agency operations.

6.2

Describe how the external sharing noted in 6.1 is
compatible with the SORN noted in 1.2.

The purpose of the PCII Program is to protect and share PCII with federal, state, and local
agencies when it is needed, as outlined in the CII Act. The purpose of collecting PII with the CII
submissions is to communicate with the submitter.
The purpose of collecting PII for Authorized Users is to facilitate the maintenance of the PCII
authorized user status and for the PCII Program Office to manage the PCII Authorized Users’ PCII
related activities. Authorized User information is shared in accordance with DHS/ALL-004 General
Information Technology Access Account Records System of Records (September 29, 2009, 74 FR
49882).

6.3

Does the project place limitations on re-dissemination?

Information is re-disseminated and shared in accordance with the security defined in the Final
Rule for Procedures for Handling Critical Infrastructure Information, 6 CFR Part 29. Limitations on redissemination include the requirement that all personnel receiving or viewing PCII have a need-to-know
and also be a PCII Authorized User.

6.4

Describe how the project maintains a record of any
disclosures outside of the Department.

Information is only disclosed from PCIIMS to PCII Authorized Users via hardcopy, CD-ROM,
or encrypted email. The PCII is shared through the PCII Program Office and is then electronically
recorded in PCIIMS as the first level of dissemination. This record includes who received the data, the
PCII identification number associated with the PCII, when the dissemination occurred, and the format in

Privacy Impact Assessment
NPPD/IP/IICD/PCIIMS FOC
July 13, 2011
Page 14

which it was shared. Any subsequent dissemination is recorded by the responsible PCII Authorized User
of that PCII, as indicated in the PCII authorized user training and Procedures Manual. Partnership
systems are also required to follow this dissemination process.

6.5

Privacy Impact Analysis: Related to Information Sharing

Privacy Risk: There is a privacy risk that PCII data shared outside of DHS is lost or misused.
Mitigation: This risk is mitigated by processes in place whereby any external entity that
develops a relationship with the PCII Program Office must first complete certification to receive PCII and
then develop programs for receiving, handling, and using PCII in their respective critical infrastructure
programs. PCIIMS PCII is only shared via hardcopy, encrypted CD-ROM, or encrypted email. All PCII
Authorized Users are required to take PCII Authorized User training annually, which covers the
consequences of loss or misuse of PCII data, including criminal and administrative penalties.

Section 7.0 Redress
The following questions seek information about processes in place for individuals to seek redress which
may include access to records about themselves, ensuring the accuracy of the information collected about them,
and/or filing complaints.

7.1

What are the procedures that allow individuals to access
their information?

As noted above, once the PCII and submitter’s contact information is entered into PCIIMS FOC,
it is designated as part of the entire PCII submission. As such, it is protected, and only PCII Authorized
Users and the submitters themselves will have access to the submitted information. The PII associated
with the submission is not covered by the Privacy Act because the information is not retrieved by
personal identifier. PCII is exempt from release under the Freedom of Information Act (FOIA).
Submitters do not have direct access to their information, but can request updates or changes to
their previously submitted information or can request that the status of their information be changed from
PCII to non-PCII and retained, returned, or destroyed.
Authorized users may contact the PCII Program Manager for access to their information.
Individuals seeking access to any record containing information about themselves that is part of a
DHS system of records, or seeking to contest the accuracy of its content, may submit a FOIA or Privacy
Act request to DHS. The procedures for submitting FOIA requests are available in 6 CFR Part 5. Please
write to “FOIA, U.S. Department of Homeland Security, National Programs and Protection Directorate,
Attn: FOIA Officer, Washington, D.C. 20528-0380.” Individuals may also make informal inquiries to
NPPD.FOIA@dhs.gov.

Privacy Impact Assessment
NPPD/IP/IICD/PCIIMS FOC
July 13, 2011
Page 15

7.2

What procedures are in place to allow the subject
individual to correct inaccurate or erroneous information?

Individuals should notify the PCII Program Manager of any erroneous information found in the
entity’s contact information. Currently, the system provides two methods for correcting erroneous
information: (1) deletion of the submission containing erroneous information and the creation of a new
entry; or (2) by submitting an update to the erroneous submission.

7.3

How does the project notify individuals about the
procedures for correcting their information?

Notice to the individual submitting CII information is described via communication with the PCII
program office and in this PIA.
For Authorized Users, the PCII Program Office provides notice to individuals in the form of a
Privacy Act statement at the time of collection, in this PIA, and the DHS/ALL-004 General Information
Technology Access Account Records System of Records (September 29, 2009, 74 FR 49882).

7.4

Privacy Impact Analysis: Related to Redress

Privacy Risk: As an individual cannot access their information once submitted, there is a risk
that the PCIIMS FOC system may contain inaccurate information. The submitters and Authorized Users
may be unaware of inaccuracies.
Mitigation: Once an individual submits CII and that information is protected, only the PCII, not
the individual’s personal information, is mission-critical. Therefore, if the personal information is
inaccurate, it does not affect the overall PCII mission. Further, the individual’s information is not
analyzed or evaluated in any way and only needs to be correct at the time of submission, in the event the
individual needs to be contacted to provide further clarification of the CII submission. If the PCII
Program is unable to contact the submitter to clarify submission information within 30 days of receiving
the submission, per the Final Rule, the CII submission is not validated as PCII and will be destroyed.
Authorized Users’ PII will be verified yearly during their re-certification training, and they also
have the ability to update their personal profiles, as necessary.

Section 8.0 Auditing and Accountability
The following questions are intended to describe technical and policy based safeguards and security
measures.

8.1

How does the project ensure that the information is used in
accordance with stated practices in this PIA?

All uses of the information are specifically defined in the Final Rule for Procedures for Handling
Critical Infrastructure Information, 6 CFR Part 29, as well as the DHS/ALL-004 General Information
Technology Access Account Records System of Records (September 29, 2009, 74 FR 49882). The uses
of the contact information are limited to the coordination and validation of a PCII response.

Privacy Impact Assessment
NPPD/IP/IICD/PCIIMS FOC
July 13, 2011
Page 16

Additionally, PCIIMS users are authorized to see only the information necessary for the
completion of their duties. Any access to PCII data is logged and regularly audited. Only PCII
Authorized Users with a valid need to know can use PCII. PCII Authorized Users must maintain their
PCII authorized status annually by completing training requirements, of which they are alerted by
automated email from the system. If the requirement is not met, their PCII authorized status is revoked,
and their information is removed from the system.

8.2

Describe what privacy training is provided to users either
generally or specifically relevant to the project.

PCII Authorized Users undergo computer-based PCII training that is necessary for any
individual, internal or external to DHS, to handle PCII.
All DHS federal and contractor personnel with access to PCII within PCIIMS undergo DHS
privacy training, which includes a discussion of Fair Information Practice Principles (FIPPs) and
instructions on handling PII in accordance with FIPPs and DHS privacy policy. Additionally, all DHS
federal and contractor personnel are required to complete annual privacy refresher training to retain
system access. In addition, security training is provided on an annual basis, which will help to maintain
the level of awareness for protecting PII. DHS will report on employees, including contractors, who
receive IT security and privacy training, as required by FISMA.

8.3

What procedures are in place to determine which users
may access the information and how does the project
determine who has access?

PCII may only be disseminated to PCII Authorized Users with a validated need to know. In order
to become a PCII Authorized User, individuals must go through a vetting process, to include passing PCII
Authorized User training and receiving certification for proper handling of PCII.
Statutory guidelines provide that the Under Secretary for NPPD or the Under Secretary’s
designee may choose to provide or authorize access to PCII when it is determined that this access
supports a lawful and authorized government purpose, as enumerated in the CII Act, other law,
regulation, or legal authority. Any disclosure or use of PCII within the Federal government is limited by
the terms of the CII Act.
The PCII Program Office Procedures Manual, PCII System Security Plan, and the Final Rule
document the criteria, procedures, controls, and responsibilities regarding access.

Privacy Impact Assessment
NPPD/IP/IICD/PCIIMS FOC
July 13, 2011
Page 17

8.4

How does the project review and approve information
sharing agreements, MOUs, new uses of the information,
new access to the system by organizations within DHS and
outside?

All PCIIMS FOC system access requests and MOUs are reviewed by the PCII Program Office
and the PCII Program Manager for approval. The PCIIMS FOC MOU template was written in
coordination with the DHS Office of General Counsel.

Responsible Officials
Tammy Barbour
Protected Critical Infrastructure Information Program
National Protection and Programs Directorate
Department of Homeland Security

Approval Signature
[Original signed copy on file with the DHS Privacy Office]

Mary Ellen Callahan
Chief Privacy Officer
Department of Homeland Security

Privacy Impact Assessment
NPPD/IP/IICD/PCIIMS FOC
July 13, 2011
Page 18

APPENDIX A

PROTECTED CRITICAL INFRASTRUCTURE INFORMATION (PCII) PROGRAM

MEMORANDUM OF AGREEMENT
Department of Homeland Security Memorandum of Agreement with
Federal Agencies for Access to Protected Critical Infrastructure
Information
1. Parties: The parties to this Memorandum of Agreement (MOA) are the Department
of Homeland Security, through its Protected Critical Infrastructure Information
Program Office (hereinafter referred to as “DHS”), and the
____________________________ (hereinafter referred to as the “Recipient”).
2. Authorities: DHS and the Recipient are authorized to enter into this MOA under the
Critical Infrastructure Information Act of 2002, Subtitle B of Title II of the Homeland
Security Act of 2002, 6 U.S.C. §§131-134 (“CII Act”), and 6 C.F.R. Part 29.
3. Purpose: The purpose of this MOA is to set forth the agreed terms and conditions
under which Protected Critical Infrastructure Information (PCII) is provided to the
Recipient. The CII Act, establishes the statutory requirements for the submission and
protection of critical infrastructure information (“CII”). Under 6 U.S.C. § 133(e), DHS is
required to establish uniform procedures for the receipt, care, and storage of PCII by
Federal agencies. These procedures have been set forth in the Code of Federal
Regulations at 6 C.F.R. Part 29. Specifically, 6 C.F.R. 29.8 outlines the requirements for
sharing information with Federal agencies and Federal contractors. The PCII Program
Procedures Manual provides further guidance, and requires that Federal agencies that
obtain PCII from and through the PCII Program Manager (PM) enter into an MOA.
This MOA fulfills that requirement. Furthermore, the PCII Program Office must
accredit recipient entities as part of accessing PCII.
4. Responsibilities:
A. DHS will:
(i) Accredit the Recipient and appoint a PCII Officer and PM designee, if

Privacy Impact Assessment
NPPD/IP/IICD/PCIIMS FOC
July 13, 2011
Page 19

applicable, provided that the entity has satisfied the accreditation requirements set forth
in Section 4.B.(ii) below.
(ii) Provide access to PCII to the Recipient for the purposes set forth in the CII
Act and under the conditions outlined in this MOA;
(iii) Validate CII or pre-validate categorical inclusions of certain types of CII as
PCII;
(iv) Delegate, as appropriate and necessary, certain functions of the PCII
Program Office, to an identified PM designee;
(v) Obtain written consent, as applicable, from the person or entity that
submitted the information or on whose behalf the information was submitted, before
that information is disclosed by the Recipient to an unauthorized party ;
(vi) Provide applicable procedures and guidelines for the receipt, safeguarding,
handling and dissemination of PCII;
(vii) Train the Recipient’s PCII Officer(s) and PM’s designee(s) and be available
for consultation and guidance;
(viii) Provide content and format for training of individuals seeking
authorization to access PCII; and
(ix) Assist the Recipient in issuing any alerts, advisories and warnings that
require DHS’ prior approval as set forth in 6 C.F.R. 29.8(e).
B. The Recipient will:
(i) Warrant and agree that each of its employees and contractors who will have
access to PCII is familiar with, will be trained in, and will comply with, the statutes,
regulations, and rules that address PCII set forth in the CII Act, 6 C.F.R. Part 29, the
DHS PCII Program Procedures Manual, and other relevant guidance issued by the PCII
PM, and will periodically check such guidance for updates and amendments;
(ii) Use its best efforts, and cooperate with the PCII Program Office, to become
accredited as expeditiously as possible, by:
(a) Submitting an application
(b) Signing this MOA
(c) Nominating a PCII Officer
(d) Nominating a PCII PM designee, if applicable
(e) Ensuring that the PCII Officer and the PCII PM designee complete
their training
(f) Completing and implementing a self-inspection plan in conjunction
with Standard Operating Procedures for safeguarding, handling and disseminating
PCII
(g) Ensuring that the PCII Officer certifies any contractors
(h) Ensuring that any contractors sign a Non-Disclosure Agreement in
the form prescribed by the PCII Program Office

Privacy Impact Assessment
NPPD/IP/IICD/PCIIMS FOC
July 13, 2011
Page 20

(iii) Use any PCII provided to it only for the purposes set forth in the CII Act at 6
U.S.C. §133(a)(1), and, in accordance with 6 C.F.R. 29.3(b), will not use PCII as a
substitute for the exercise of its own legal authority to compel access to or submission of
that same information, and further, will not use PCII for regulatory purposes without
first contacting the PCII Program Office;
(iv) Nominate one or more persons to be PCII Officers, all of whom shall be
familiar with and trained in the receipt, safeguarding, handling and dissemination
requirements for PCII as set forth in 6 C.F.R. Part 29, the DHS PCII Program Procedures
Manual, and any other guidance issued by the PCII PM;
(v) Nominate, if applicable, a PCII PM designee to undertake certain PCII
Program Office responsibilities in the context of a categorical inclusion program;
(vi) Upon request from DHS, immediately take such steps as may be necessary to
return promptly all PCII, including copies, however made, to DHS;
(vii) Consider any violations of procedures regarding PCII as matters subject to
rules of conduct (including sanctions) that apply to its employees, and will refer
violations of the CII Act and 6 CFR Part 29 or other applicable law to appropriate
authorities for prosecution;
(viii) Immediately report all compromises of PCII and violations of applicable
procedures to the PCII PM and cooperate with any investigation that may be initiated;
(ix) Ensure that information it receives from DHS that is marked “Protected
Critical Infrastructure Information” shall be controlled as required and is used only for
allowed purposes; that records of disclosure of PCII are maintained within that entity,
as appropriate and that any PCII markings shall not be removed without first obtaining
authorization from the PCII PM or the PCII PM’s designee;
(x) Except as provided for in 6 C.F.R.29.8(f), or in exigent circumstances as
provided for in 6 C.F.R. 29.8(e), not further disclose PCII to any other party without the
prior approval of the PCII PM or the PCII PM’s designee, or by order of a court of
competent jurisdiction;
(xi) Before sharing with contractors:
(a) Certify that contractors and subcontractors are performing services in
support of the CII Act;
(b) Ensure that each employee of a consultant, contractor, or
subcontractor who will have access to PCII has signed an individual nondisclosure agreement approved of, or provided by, DHS, and is familiar with,
will be trained in, and will comply with the provisions of this MOA, the statutes,
regulations, and rules that address PCII set forth in the CII Act, 6 C.F.R. Part 29,
the DHS PCII Program Procedures Manual, and other relevant guidance issued
by the PCII PM; and
(c) Consider any violations of procedures regarding PCII as matters
subject to rules of conduct (including sanctions) that apply to its consultants,

Privacy Impact Assessment
NPPD/IP/IICD/PCIIMS FOC
July 13, 2011
Page 21

contractors and subcontractors and will refer violations of law to appropriate
authorities for prosecution.
(xii) Ensure that contractors have agreed by contract to comply with all of the
requirements of the PCII Program;
(xiii) Fully comply with any requests, whether scheduled or unscheduled, by the
PCII PM or the PCII PM’s designee, to review the Recipient’s compliance with the terms
of this MOA, and will take any corrective action recommended;
(xiv) Forward any submission of CII received by the Recipient that is not part of
a categorical inclusion of CII to the PCII Program Office for validation;
(xv) Enter into any Agreements to Operate and/or System Requirements
Documents required by the PCII Program Office in the context of a categorical inclusion
or otherwise; and
(xvi) Notify and coordinate with DHS prior to responding to any requests for
release of PCII under a court order, agency decision, the Freedom of Information Act, or
any other statute or regulation.
5. Amendments: This MOA is permitted by statute and regulation and required by the
PCII Program Procedures Manual. Should there be a change in any of these authorities,
DHS will require conforming amendments to this MOA. This MOA can only be
amended by an instrument in writing signed on behalf of both DHS and the Recipient.
6. Reimburseables: This MOA does not provide authority for any reimburseable
expenditures, or funding. In the event that such authorization is required, DHS and the
Recipient will, in a separate agreement, coordinate funding reimbursement through
appropriate channels and will execute appropriate Reimbursable Agreements or other
funding documents in accordance with the Economy Act and DHS procedures for such
agreements including an Economy Act Determination & Findings.
7. Other Provisions: Nothing in this MOA is intended to conflict with current law or
regulation. If a term of this MOA is inconsistent with such authority, then that term
shall be invalid, but the remaining terms and conditions of this MOA shall remain in
full force and effect.
8. Effective Date and Termination Provisions: This MOA is effective as of the date of
the last required signature. It continues until terminated in writing by either party. It
may be terminated effective upon the delivery by any means of written notice of
termination signed by an authorized DHS official or Recipient official. Unwillingness
by the Recipient to agree to amendments required by DHS will constitute a basis for
termination. If terminated, the Recipient agrees to promptly return all PCII that it has
received to the PCII PM.

Privacy Impact Assessment
NPPD/IP/IICD/PCIIMS FOC
July 13, 2011
Page 22

9. Original Memorandum of Agreement: The original of this document will be kept
by the PCII PM. Copies may be made as necessary.
10. Points of Contact:
DHS:
Name
Phone
Email

Recipient:
Name
Phone
Email

Agreed to and Accepted By:
For The Department of Homeland Security
By:

Laura L.S. Kimberly

For ________________________________
(Federal Agency)

By: ________________________________
(Print Name)

Title: PCII Program Manager

Title: ______________________________

______________________
Signature

__________________________________
Signature

______________________
Date

__________________________________
Date

Privacy Impact Assessment
NPPD/IP/IICD/PCIIMS FOC
July 13, 2011
Page 23

APPENDIX B

PROTECTED CRITICAL INFRASTRUCTURE INFORMATION (PCII) PROGRAM

MEMORANDUM OF AGREEMENT
Department of Homeland Security Memorandum of Agreement with State Agencies
for Access to Protected Critical Infrastructure Information
1. Parties: The parties to this Memorandum of Agreement (MOA) are the Department
of Homeland Security, through its Protected Critical Infrastructure Information
Program Office (hereinafter referred to as “DHS”), and the
____________________________ (hereinafter referred to as the “Recipient”).
2. Authorities: DHS and the Recipient are authorized to enter into this MOA under the
Critical Infrastructure Information Act of 2002, Subtitle B of Title II of the Homeland
Security Act of 2002, 6 U.S.C. §§131-134 (“CII Act”), and 6 C.F.R. Part 29.
3. Purpose: The purpose of this MOA is to set forth the agreed terms and conditions
under which Protected Critical Infrastructure Information (PCII) is provided to the
Recipient. The CII Act, establishes the statutory requirements for the submission and
protection of critical infrastructure information (“CII”). Under 6 U.S.C. § 133(e), DHS is
required to establish uniform procedures for the receipt, care, and storage of PCII.
These procedures have been set forth in the Code of Federal Regulations (“C.F.R.”) at 6
C.F.R. Part 29. Specifically, 6 C.F.R. 29.8 outlines the requirements for sharing
information with State and local government agencies and contractors. 6 C.F.R. 29.8(b)
requires a State or local government entity to enter into an arrangement with DHS
providing for compliance with 6 C.F.R. Part 29 and acknowledging the understanding
and responsibilities of the recipient entity. The PCII Program Procedures Manual
provides further guidance, and requires that State and local agencies that obtain PCII
from and through the PCII Program Manager (PM) enter into an MOA. This MOA
fulfills that requirement. Furthermore, the PCII Program Office must accredit recipient
entities as part of accessing PCII.
4. Responsibilities:
A. DHS will:

Privacy Impact Assessment
NPPD/IP/IICD/PCIIMS FOC
July 13, 2011
Page 24

(i) Accredit the Recipient and appoint a PCII Officer, provided that the entity has
satisfied the accreditation requirements set forth in Section 4.B.(ii) below.
(ii) Provide access to PCII to the Recipient for the purposes set forth in the CII
Act and under the conditions outlined in this MOA;
(iii) Validate and mark CII and disseminate it to the Recipient;
(iv) Obtain written consent, as applicable, from the person or entity that
submitted the information or on whose behalf the information was submitted, before
that information is disclosed by the Recipient to an unauthorized party or for an
unauthorized use;
(v) Provide applicable procedures and guidelines for the receipt, safeguarding,
handling and dissemination of PCII;
(vi) Train the Recipient’s PCII Officer(s) and be available for consultation and
guidance;
(vii) Provide content and format for training of individuals seeking authorization
to access PCII; and
(viii) Assist the Recipient in issuing any alerts, advisories and warnings that
require DHS’ prior approval as set forth in 6 C.F.R. 29.8(e).
B. The Recipient will:
(i) Warrant and agree that each of its employees and contractors who will have
access to PCII is familiar with, will be trained in, and will comply with, the statutes,
regulations, and rules that address PCII set forth in the CII Act, 6 C.F.R. Part 29, the
DHS PCII Program Procedures Manual, and other relevant guidance issued by the PCII
PM, and will periodically check such guidance for updates and amendments;
(ii) Use its best efforts, and cooperate with the PCII Program Office, to become
accredited as expeditiously as possible, by:
(a) Submitting an application
(b) Signing this MOA
(c) Nominating a PCII Officer
(d) Ensuring that the PCII Officer complete his or her training
(e) Completing the self-inspection plan in conjunction with Standard
Operating Procedures for safeguarding, handling and disseminating PCII
(f) Ensuring that the PCII Officer certifies any contractors
(g) Ensuring that any contractors sign a Non-Disclosure Agreement in
the form prescribed by the PCII Program Office
(iii) Use any PCII provided to it only for the purposes set forth in the CII Act at 6
U.S.C. §133(a)(1), and, in accordance with 6 C.F.R. 29.3(b), will not use PCII as a
substitute for the exercise of its own legal authority to compel access to or submission of
that same information, and further, will not use PCII for regulatory purposes without
first contacting the PCII Program Office;

Privacy Impact Assessment
NPPD/IP/IICD/PCIIMS FOC
July 13, 2011
Page 25

(iv) Nominate one or more persons to be PCII Officers, all of whom shall be
familiar with and trained in the receipt, safeguarding, handling and dissemination
requirements for PCII as set forth in 6 C.F.R. Part 29, the DHS PCII Program Procedures
Manual, and any other guidance issued by the PCII PM;
(v) Ensure that any employees required by DHS to undergo a background check
pursuant to 6 C.F.R. 29.7(b) submit any required paperwork to, and cooperate with,
DHS;
(vi) Upon request from DHS, immediately take such steps as may be necessary
to return promptly all PCII, including copies, however made, to DHS;
(vii) Consider any violations of procedures regarding PCII as matters subject to
rules of conduct (including sanctions) that apply to its employees, and will refer
violations of the CII Act and 6 C.F.R. Part 29 or other applicable law to appropriate
authorities for prosecution, including any administrative, disciplinary, civil, or criminal
action, as appropriate, under the laws, regulations and directives of the Recipient’s
jurisdiction;
(viii) Immediately report all compromises of PCII and violations of applicable
procedures to the PCII PM and cooperate with any investigation that may be initiated;
(ix) Ensure that information it receives from DHS that is marked “Protected
Critical Infrastructure Information” shall be controlled as required and is used only for
allowed purposes; that records of disclosure of PCII are maintained within that entity,
as appropriate and that any PCII markings shall not be removed without first obtaining
authorization from the PCII PM;
(x) Except as provided for in 6 C.F.R.29.8(f), or in exigent circumstances as
provided for in 6 C.F.R. 29.8(e), not further disclose PCII to any other party without the
prior approval of the PCII PM, or by order of a court of competent jurisdiction;
(xi) Before sharing with contractors:
(a) Certify that contractors and subcontractors are performing services in
support of the CII Act;
(b) Ensure that each employee of a consultant, contractor, or
subcontractor who will have access to PCII has signed an individual nondisclosure agreement approved of, or provided by, DHS, and is familiar with,
will be trained in, and will comply with the provisions of this MOA, the statutes,
regulations, and rules that address PCII set forth in the CII Act, 6 C.F.R. Part 29,
the DHS PCII Program Procedures Manual, and other relevant guidance issued
by the PCII PM; and
(c) Consider any violations of procedures regarding PCII as matters
subject to rules of conduct (including sanctions) that apply to its consultants,
contractors and subcontractors and will refer violations of law to appropriate
authorities for prosecution.
(xii) Ensure that contractors have agreed by contract to comply with all of the
requirements of the PCII Program;

Privacy Impact Assessment
NPPD/IP/IICD/PCIIMS FOC
July 13, 2011
Page 26

(xiii) Fully comply with any requests, whether scheduled or unscheduled, by the
PCII PM, to review the Recipient’s compliance with the terms of this MOA, and will
take any corrective action recommended;
(xiv) Forward any submission of CII received by the Recipient to the PCII
Program Office for validation;
(xv) Enter into any Agreements to Operate and/or System Requirements
Documents required by the PCII Program Office; and
(xvi) Notify and coordinate with DHS prior to responding to any requests for
release of PCII under a court order, agency decision, the Freedom of Information Act, or
any other statute or regulation, including similar State and local disclosure laws that
apply in the Recipient’s jurisdiction.
5. Amendments: This MOA is permitted by statute and regulation and required by the
PCII Program Procedures Manual. Should there be a change in any of these authorities,
DHS will require conforming amendments to this MOA. This MOA can only be
amended by an instrument in writing signed on behalf of both DHS and the Recipient.
6. Reimburseables: This MOA does not provide authority for any reimburseable
expenditures, or funding. In the event that such authorization is required, DHS and the
Recipient will, in a separate agreement, coordinate funding reimbursement through
appropriate channels and will execute appropriate Reimbursable Agreements or other
funding documents in accordance with the Economy Act and DHS procedures for such
agreements including an Economy Act Determination & Findings.
7. Other Provisions: Nothing in this MOA is intended to conflict with current law or
regulation. If a term of this MOA is inconsistent with such authority, then that term
shall be invalid, but the remaining terms and conditions of this MOA shall remain in
full force and effect.
8. Effective Date and Termination Provisions: This MOA is effective as of the date of
the last required signature. It continues until terminated in writing by either party. It
may be terminated effective upon the delivery by any means of written notice of
termination signed by an authorized DHS official or Recipient official. Unwillingness
by the Recipient to agree to amendments required by DHS will constitute a basis for
termination. If terminated, the Recipient agrees to promptly return all PCII that it has
received to the PCII PM.
9. Original Memorandum of Agreement: The original of this document will be kept
by the PCII PM. Copies may be made as necessary.
10. Points of Contact:

Privacy Impact Assessment
NPPD/IP/IICD/PCIIMS FOC
July 13, 2011
Page 27

DHS:
Name
Phone
Email

Recipient:
Name
Phone
Email

Agreed to and Accepted By:
For The Department of Homeland Security
By:

Laura L.S. Kimberly

For ________________________________
(State Agency)

By: ________________________________
(Print Name)

Title: PCII Program Manager

Title: ______________________________

______________________
Signature

__________________________________
Signature

______________________
Date

__________________________________
Date