Privacy Threshold Analysis (PTA)

Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@dhs.gov
www.dhs.gov/privacy

Privacy Threshold Analysis
Version number: 01-2014
Page 1 of 8

PRIVACY THRESHOLD ANALYSIS (PTA)
This form is used to determine whether
a Privacy Impact Assessment is required.

Please use the attached form to determine whether a Privacy Impact Assessment (PIA) is required under
the E-Government Act of 2002 and the Homeland Security Act of 2002.
Please complete this form and send it to your component Privacy Office. If you do not have a component
Privacy Office, please send the PTA to the DHS Privacy Office:
Senior Director, Privacy Compliance
The Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
Tel: 202-343-1717
PIA@hq.dhs.gov

Upon receipt from your component Privacy Office, the DHS Privacy Office will review this form. If a
PIA is required, the DHS Privacy Office will send you a copy of the Official Privacy Impact Assessment
Guide and accompanying Template to complete and return.
A copy of the Guide and Template is available on the DHS Privacy Office website,
www.dhs.gov/privacy, on DHSConnect and directly from the DHS Privacy Office via email:
pia@hq.dhs.gov, phone: 202-343-1717.

Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@dhs.gov
www.dhs.gov/privacy

Privacy Threshold Analysis
Version number: 01-2014
Page 2 of 8

PRIVACY THRESHOLD ANALYSIS (PTA)
SUMMARY INFORMATION
Project or
Program Name:

Integrated Public Alert and Warning System – Open Platform for Emergency
Networks (IPAWS-OPEN)

Component:

Federal Emergency
Management Agency (FEMA)

Office or
Program:

National Continuity
Programs (NCP)

Xacta FISMA
Name (if
applicable):

IPAWS-OPEN

Xacta FISMA
Number (if
applicable):

FEM-05806-MAJ-05806

Type of Project or
Program:

IT System

Project or
program
status:

Operational

Date first
developed:
Date of last PTA
update

August 25, 2010

Pilot launch
date:

Click here to enter a date.

May 26, 2011

Pilot end date:

Click here to enter a date.

ATO Status (if
applicable)

Complete

ATO
expiration date
(if applicable):

August 10, 2014

PROJECT OR PROGRAM MANAGER
Name:

Mark Lucero

Office:

IPAWS

Title:

System Owner

Phone:

202-646-1386

Email:

Mark.Lucero@dhs.gov

INFORMATION SYSTEM SECURITY OFFICER (ISSO) (IF APPLICABLE)
Name:

Eric Caldwell

Phone:

202-646-3109

Email:

Eric.Caldwell@associates.fe
ma.dhs.gov

Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@dhs.gov
www.dhs.gov/privacy

Privacy Threshold Analysis
Version number: 01-2014
Page 3 of 8

SPECIFIC PTA QUESTIONS
1. Reason for submitting the PTA: Choose an item.
Exec. Order No. 13407 requires the United States to operate an effective, reliable, integrated, flexible and
comprehensive alert and warning system.. FEMA implements this policy per Exec. Order No. 13407 and
has established a program office to implement the Integrated Public Alerts and Warning System
(IPAWS). FEMA and its federal partners are working together to transform the national alert and
warning system to enable rapid dissemination of alert information over as many communication
channels as possible.
As a result, FEMA has developed the IPAWS Open Platform for Emergency Networks (IPAWS-OPEN)
to enhance efficient coordination and collaboration among public safety organizations using different
incident management systems. IPAWS-OPEN enables the interoperable sharing of emergency alerts and
incident-related data between systems that comply with non-proprietary information standards. IPAWSOPEN will serve the IPAWS as the IPAWS Alerts Aggregator. It will collect and route IPAWS emergency
alerts to and from emergency systems that serve the public. This system will integrate with the various
alert dissemination methods and its web based services design will allow for the addition of future alert
and warning systems.
IPAWS-OPEN provides integrated services and capabilities to local, state and federal authorities that
enable them to alert and warn their respective communities via multiple communications methods.
IPAWS-OPEN is an interoperability backbone available to the emergency responder community. The
system is an open point of exchange offering non-proprietary “level playing field” web services as a
method of removing barriers to entry for systems wishing to implement messaging standards. As a
Federal infrastructure, IPAWS-OPEN ensures the delivery of real-time data and situational awareness to
public emergency responders in the field, at operation centers, and across all levels of response
management.
IPAWS-OPEN exists as a web-based message brokering service that provides Emergency Managers a
space to create messages using various messaging protocols and standards. IPAWS-OPEN is the
backbone system that structures the alert and distributes the message from one interoperating and/or
interconnected system (message sender) to another interoperating and/or interconnected system
(message recipient). IPAWS-OPEN is not directly accessible by end users as end users must use these
interoperable or interconnected systems to originate and receive messages.
IPAWS-OPEN will support the following three basic Web services through Application Programming
Interfaces:
• Common Alerting Protocol (CAP): Enables the exchange of emergency alerts utilizing CAP-compliant
enabled systems.
•Non-weather Emergency Messaging (NWEM): A specialized form of CAP alert distributed by the
National Weather Service and relayed to the Emergency Alert System.
• Distribution Element (EDXL-DE): Routes content, including Resource Messages (EDXL-RM)*, Hospital
Availability Exchange (EDXL-HAVE)* messages, National Information Exchange Model (NIEM)-

Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@dhs.gov
www.dhs.gov/privacy

Privacy Threshold Analysis
Version number: 01-2014
Page 4 of 8
compliant content, and other commonly defined file types.
FEMA is submitting this PTA as the system is undergoing recertification (existing PTA approved in
October 2011). No changes have been made to the system that impact PII.

2. Does this system employ any of the
following technologies:
If you are using any of these technologies and
want coverage under the respective PIA for that
technology please stop here and contact the DHS
Privacy Office for further guidance.

Closed Circuit Television (CCTV)
Social Media
Web portal1 (e.g., SharePoint)
Contact Lists
None of these

3. From whom does the Project or
Program collect, maintain, use, or
disseminate information?
Please check all that apply.

This program does not collect any personally
identifiable information2
Members of the public
DHS employees/contractors (list components):
Contractors working on behalf of DHS
Employees of other federal agencies

4. What specific information about individuals is collected, generated or retained?
This system does not contain any such information.

4(a) Does the project, program, or system
retrieve information by personal identifier?
1

No. Please continue to next question.
Yes. If yes, please list all personal identifiers
used:

Informational and collaboration-based portals in operation at DHS and its components that collect, use, maintain, and share
limited personally identifiable information (PII) about individuals who are “members” of the portal or “potential members” who
seek to gain access to the portal.
2
DHS defines personal information as “Personally Identifiable Information” or PII, which is any information that permits the
identity of an individual to be directly or indirectly inferred, including any information that is linked or linkable to that individual,
regardless of whether the individual is a U.S. citizen, lawful permanent resident, visitor to the U.S., or employee or contractor to
the Department. “Sensitive PII” is PII, which if lost, compromised, or disclosed without authorization, could result in substantial
harm, embarrassment, inconvenience, or unfairness to an individual. For the purposes of this PTA, SPII and PII are treated the
same.

Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@dhs.gov
www.dhs.gov/privacy

Privacy Threshold Analysis
Version number: 01-2014
Page 5 of 8

4(b) Does the project, program, or system
use Social Security Numbers (SSN)?
4(c) If yes, please provide the specific legal
basis and purpose for the collection of
SSNs:
4(d) If yes, please describe the uses of the
SSNs within the project, program, or
system:
4(e) If this project, program, or system is
an information technology/system, does it
relate solely to infrastructure?

No.
Yes.
Click here to enter text.

Click here to enter text.

No. Please continue to next question.
Yes. If a log kept of communication traffic,
please answer the following question.

For example, is the system a Local Area Network
(LAN) or Wide Area Network (WAN)?
4(f) If header or payload data3 is stored in the communication traffic log, please detail the data
elements stored.
Click here to enter text.

5. Does this project, program, or system
connect, receive, or share PII with any
other DHS programs or systems4?

No.
Yes. If yes, please list:
Click here to enter text.

6. Does this project, program, or system
connect, receive, or share PII with any
external (non-DHS) partners or
systems?
6(a) Is this external sharing pursuant to
new or existing information sharing
access agreement (MOU, MOA, LOI,
etc.)?

3

No.
Yes. If yes, please list:
Click here to enter text.
Choose an item.
Please describe applicable information sharing
governance in place:

When data is sent over the Internet, each unit transmitted includes both header information and the actual data being sent. The
header identifies the source and destination of the packet, while the actual data is referred to as the payload. Because header
information, or overhead data, is only used in the transmission process, it is stripped from the packet when it reaches its
destination. Therefore, the payload is the only data received by the destination system.
4
PII may be shared, received, or connected to other DHS systems directly, automatically, or by manual processes. Often, these
systems are listed as “interconnected systems” in Xacta.

Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@dhs.gov
www.dhs.gov/privacy

Privacy Threshold Analysis
Version number: 01-2014
Page 6 of 8

7. Does the project, program, or system
provide role-based training for
personnel who have access in addition
to annual privacy training required of
all DHS personnel?
8. Per NIST SP 800-53 Rev. 4, Appendix
J, does the project, program, or system
maintain an accounting of disclosures
of PII to individuals who have
requested access to their PII?
9. Is there a FIPS 199 determination?4

No.
Yes. If yes, please list:

No. What steps will be taken to develop and
maintain the accounting: N/A
Yes. In what format is the accounting
maintained:
Unknown.
No.
Yes. Please indicate the determinations for each
of the following:
Confidentiality:
Low
Moderate

High

Undefined

Integrity:
Low

Moderate

High

Undefined

Availability:
Low
Moderate

High

Undefined

PRIVACY THRESHOLD REVIEW

4

FIPS 199 is the Federal Information Processing Standard Publication 199, Standards for Security Categorization of Federal
Information and Information Systems and is used to establish security categories of information systems.

Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@dhs.gov
www.dhs.gov/privacy

Privacy Threshold Analysis
Version number: 01-2014
Page 7 of 8

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

Kathryn Fong

Date submitted to Component Privacy
Office:

April 23, 2014

Date submitted to DHS Privacy Office:

July 1, 2014

Component Privacy Office Recommendation:
Please include recommendation below, including what new privacy compliance documentation is needed.
Consistent with the existing PTA approved in Oct. 2011, this system does not collect or use PII.
Therefore, FEMA Privacy recommends that it be adjudicated as non-privacy sensitive.

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

Jameson A. Morgan

PCTS Workflow Number:

1025852

Date approved by DHS Privacy Office:

July 14, 2014

PTA Expiration Date

July 14, 2017
DESIGNATION

Privacy Sensitive System:

No

If “no” PTA adjudication is complete.

Other
Category of System:

Determination:

If “other” is selected, please describe: web-based message brokering
service
PTA sufficient at this time.
Privacy compliance documentation determination in progress.
New information sharing arrangement is required.
DHS Policy for Computer-Readable Extracts Containing Sensitive PII
applies.
Privacy Act Statement required.
Privacy Impact Assessment (PIA) required.
System of Records Notice (SORN) required.
Paperwork Reduction Act (PRA) Clearance may be required. Contact
your component PRA Officer.

Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@dhs.gov
www.dhs.gov/privacy

Privacy Threshold Analysis
Version number: 01-2014
Page 8 of 8

A Records Schedule may be required. Contact your component Records
Officer.
PIA:
SORN:

Choose an item.
If covered by existing PIA, please list: Click here to enter text.
Choose an item.

If covered by existing SORN, please list: Click here to enter text.
DHS Privacy Office Comments:
Please describe rationale for privacy compliance determination above.
The DHS Privacy Office agrees with the FEMA Privacy Office that IPAWS – OPEN is a non-privacy
sensitive system. No further privacy documentation or coverage is required by the Privacy Act of 1974 or
the E-Government Act of 2002.
This PTA was submitted because the system is undergoing recertification. There have not been any
significant changes to the system since the last PTA adjudication in 2011, and there have not been any
changes that implicate PII.
IPAWS-OPEN is not directly accessible by end users and is the backbone system that structures alerts and
distributes messages from one interoperating or interconnected system to another interoperating or
interconnected system. IPAWS-OPEN is a web-based message brokering service that allows FEMA to
create messages using various messaging protocols and standards.
This PTA is sufficient because IPAWS-OPEN does not collect, use, maintain, or disseminate any PII.