PIA TES OST-OTRA dated 08222017 with Electronic Signature

U.S.​ ​Department​ ​of​ ​the​ ​Interior
PRIVACY​ ​IMPACT​ ​ASSESSMENT

Introduction
The​ ​Department​ ​of​ ​the​ ​Interior​ ​requires​ ​Privacy​ ​Impact​ ​Assessments​ ​(PIAs)​ ​to​ ​be​ ​conducted​ ​and
maintained​ ​on​ ​all​ ​IT​ ​systems​ ​whether​ ​already​ ​in​ ​existence,​ ​in​ ​development,​ ​or​ ​undergoing
modification​ ​in​ ​order​ ​to​ ​adequately​ ​evaluate​ ​privacy​ ​risks,​ ​ensure​ ​the​ ​protection​ ​of​ ​privacy
information,​ ​and​ ​consider​ ​privacy​ ​implications​ ​throughout​ ​the​ ​information​ ​system​ ​development​ ​life
cycle.​ ​ ​This​ ​PIA​ ​form​ ​may​ ​not​ ​be​ ​modified​ ​and​ ​must​ ​be​ ​completed​ ​electronically;​ ​hand-written
submissions​ ​will​ ​not​ ​be​ ​accepted.​ ​ ​See​ ​the​ ​DOI​ ​PIA​ ​Guide​​ ​for​ ​additional​ ​guidance​ ​on​ ​conducting​ ​a
PIA​ ​or​ ​meeting​ ​the​ ​requirements​ ​of​ ​the​ ​E-Government​ ​Act​ ​of​ ​2002.​ ​ ​See​ ​Section​ ​6.0​ ​of​ ​the​ ​DOI​ ​PIA
Guide​ ​for​ ​specific​ ​guidance​ ​on​ ​answering​ ​the​ ​questions​ ​in​ ​this​ ​form.
NOTE:​ ​ ​See​ ​Section​ ​7.0​ ​of​ ​the​ ​DOI​ ​PIA​ ​Guide​ ​for​ ​guidance​ ​on​ ​using​ ​the​ ​DOI​ ​Adapted​ ​PIA​ ​template
to​ ​assess​ ​third-party​ ​websites​ ​or​ ​applications.
Name​ ​of​ ​Project:​ ​ ​Trust​ ​Evaluation​ ​System​ ​(TES)​ ​ 
Bureau/Office:​ ​ ​Office​ ​of​ ​the​ ​Special​ ​Trustee​ ​for​ ​American​ ​Indians​ ​(OST),​ ​Program​ ​Management,
Office​ ​of​ ​Trust​ ​Review​ ​and​ ​Audit​ ​(OTRA)
Date:​ ​ ​April​ ​21,​ ​2017
Point​ ​of​ ​Contact:
Name: Elizabeth​ ​Wells-Shollenberger
Title:​ ​ ​ ​ ​Director,​ ​OTRA
Email:​ ​ ​elizabeth_wellsshollenberger@ost.doi.gov
Phone:​ ​ ​(505)​ ​816-1286
Address:​ ​ ​4400​ ​Masthead​ ​St.​ ​NE,​ ​Albuquerque,​ ​New​ ​Mexico,​ ​87109

Section​ ​1.​ ​ ​General​ ​System​ ​Information
A. Is​ ​a​ ​full​ ​PIA​ ​required?
⌧​ ​Yes,​ ​information​ ​is​ ​collected​ ​from​ ​or​ ​maintained​ ​on
☐​ ​Members​ ​of​ ​the​ ​general​ ​public
⌧​ ​Federal​ ​personnel​ ​and/or​ ​Federal​ ​contractors
☐​ ​Volunteers
☐​ ​All
☐​ ​No:​ ​ ​Information​ ​is​ ​NOT​ ​collected,​ ​maintained,​ ​or​ ​used​ ​that​ ​is​ ​identifiable​ ​to​ ​the​ ​individual
in​ ​this​ ​system.​ ​Only​ ​sections​ ​1​ ​and​ ​5​ ​of​ ​this​ ​form​ ​are​ ​required​ ​to​ ​be​ ​completed.

​ ​Trust​ ​Evaluation​ ​System​ ​(TES)
Privacy​ ​Impact​ ​Assessment

B. What​ ​is​ ​the​ ​purpose​ ​of​ ​the​ ​system?
The​ ​Trust​ ​Evaluation​ ​System​ ​(TES)​ ​is​ ​a​ ​web-based​ ​software​ ​application​ ​that​ ​is​ ​utilized​ ​by​ ​the
OST,​ ​Office​ ​of​ ​Trust​ ​Review​ ​and​ ​Audit​ ​(OTRA)​ ​for​ ​purposes​ ​of​ ​conducting​ ​trust​ ​evaluations.
These​ ​evaluations​ ​are​ ​critical​ ​work​ ​performed​ ​on​ ​behalf​ ​of​ ​the​ ​Secretary​ ​of​ ​the​ ​Interior​ ​and
the​ ​Special​ ​Trustee​ ​for​ ​American​ ​Indians​ ​to​ ​ensure​ ​tribes​ ​and​ ​the​ ​Bureau​ ​of​ ​Indian​ ​Affairs
(BIA)​ ​are​ ​in​ ​compliance​ ​with​ ​federal​ ​regulations​ ​and​ ​fiduciary​ ​trust​ ​standards,​ ​as​ ​defined​ ​by
federal​ ​laws.​ ​The​ ​TES​ ​will​ ​be​ ​used​ ​to​ ​collect​ ​data​ ​and​ ​documentation​ ​from​ ​tribes​ ​and​ ​the​ ​BIA
to​ ​evaluate​ ​their​ ​compliance​ ​with​ ​federal​ ​regulations,​ ​statutes,​ ​and​ ​policies​ ​in​ ​the​ ​management
of​ ​Indian​ ​trust​ ​programs.​ ​Tribes​ ​and​ ​the​ ​BIA​ ​will​ ​interactively​ ​participate​ ​in​ ​the​ ​trust
evaluation​ ​process​ ​by​ ​answering​ ​compliance​ ​questions,​ ​uploading​ ​documentation​ ​and
submitting​ ​data​ ​to​ ​OTRA,​ ​via​ ​the​ ​TES.​ ​OTRA​ ​auditors​ ​will​ ​retrieve​ ​the​ ​data​ ​and​ ​complete​ ​the
evaluation.​ ​The​ ​auditors​ ​will​ ​also​ ​complete​ ​all​ ​work​ ​assignments​ ​within​ ​the​ ​TES​ ​(i.e.,​ ​work
papers​ ​and​ ​develop​ ​reports).​ ​Documentation​ ​collected,​ ​will​ ​include,​ ​uploaded​ ​and​ ​scanned
documents​ ​which​ ​may​ ​contain​ ​the​ ​names​ ​of​ ​tribes​ ​or​ ​trust​ ​beneficiaries​ ​associated​ ​with​ ​the
ownership​ ​of​ ​trust​ ​assets,​ ​leases,​ ​court​ ​orders,​ ​or​ ​other​ ​trust​ ​related​ ​transactions​ ​and
documentation.​ ​TES​ ​automates​ ​the​ ​communication​ ​flow​ ​between​ ​OTRA​ ​auditors,​ ​tribes,​ ​and
the​ ​BIA,​ ​allowing​ ​for​ ​gains​ ​in​ ​time​ ​efficiencies​ ​and​ ​timely​ ​trust​ ​evaluation​ ​feedback.​ ​ ​The
TES​ ​also​ ​enables​ ​efficiencies​ ​gained​ ​in​ ​the​ ​corrective​ ​action​ ​tracking​ ​process,​ ​and​ ​timely
resolution​ ​of​ ​deficiencies.​ ​The​ ​use​ ​of​ ​the​ ​data​ ​contained​ ​in​ ​the​ ​TES​ ​will​ ​be​ ​used​ ​to​ ​perform
administrative​ ​and​ ​mission​ ​related​ ​trust​ ​evaluation​ ​functions​ ​which​ ​also​ ​includes​ ​evaluation
management​ ​and​ ​risk​ ​planning.
Currently,​ ​OTRA​ ​utilizes​ ​the​ ​audit​ ​software​ ​management​ ​solution​ ​“Auto​ ​Audit”​ ​(AA).​ ​ ​AA​ ​is
a​ ​Commercial​ ​Off​ ​the​ ​Shelf​ ​(COTS)​ ​proprietary​ ​software​ ​application​ ​published​ ​by​ ​Thomson
Reuters.​ ​ ​AA​ ​allows​ ​OTRA​ ​to​ ​create,​ ​store​ ​and​ ​manage​ ​all​ ​audit​ ​documentation
electronically.​ ​AA​ ​currently​ ​contains​ ​some​ ​personal​ ​identifiable​ ​information​ ​on​ ​trust
transaction​ ​documents.​ ​The​ ​AA​ ​system​ ​currently​ ​has​ ​employee​ ​information​ ​such​ ​as​ ​email
addresses,​ ​positions,​ ​titles​ ​and​ ​phone​ ​numbers.​ ​OTRA​ ​creates​ ​audit​ ​case​ ​files,​ ​collects​ ​tribal
and​ ​BIA​ ​data,​ ​reports​ ​and​ ​copies​ ​of​ ​source​ ​documentation.​ ​ ​OTRA​ ​will​ ​transition​ ​all
electronic​ ​case​ ​files​ ​from​ ​AA​ ​to​ ​TES​ ​once​ ​the​ ​TES​ ​is​ ​fully​ ​developed.​ ​TES​ ​will​ ​need
document​ ​management​ ​capability,​ ​storage​ ​of​ ​case​ ​files,​ ​and​ ​electronic​ ​records​ ​scheduling.
Users​ ​(Federal​ ​Employees​ ​and​ ​Tribes)​ ​will​ ​access​ ​TES​ ​through​ ​a​ ​secured​ ​web​ ​browser
through​ ​the​ ​use​ ​of​ ​computers​ ​and​ ​laptop​ ​devices.​ ​Users​ ​will​ ​upload​ ​text​ ​documentation​ ​only.

C. What​ ​is​ ​the​ ​legal​ ​authority?
The​ ​American​ ​Indian​ ​Trust​ ​Fund​ ​Management​ ​Reform​ ​Act​ ​of​ ​1994​ ​(P.L.​ ​103-412),​ ​108​ ​Stat.
4239,​ ​25​ ​U.S.C.​ ​4043;​ ​Tribal​ ​Self​ ​Governance​ ​Act​ ​of​ ​1994​ ​(25​ ​U.S.C​ ​458cc(d));
25​ ​CFR​ ​1000.350​ ​(Trust​ ​Evaluations);​ ​Paperwork​ ​Reduction​ ​Act​ ​of​ ​1995;​ ​Government
Performance​ ​and​ ​Results​ ​Act​ ​of​ ​1993​ ​(P.L.​ ​103-62);​ ​OMB​ ​Circular​ ​A-130,​ ​Management​ ​of
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Federal​ ​Information​ ​Resources;​ ​Presidential​ ​Memorandum,​ ​“Security​ ​Authorization​ ​of
Information​ ​Systems​ ​in​ ​Cloud​ ​Computing​ ​Environments,”​ ​December​ ​8,​ ​2011;​ ​and​ ​Presidential
Memorandum,​ ​“Building​ ​a​ ​21st​ ​Century​ ​Digital​ ​Government,”​ ​May​ ​23,​ ​2012.

D. Why​ ​is​ ​this​ ​PIA​ ​being​ ​completed​ ​or​ ​modified?
⌧​ ​New​ ​Information​ ​System
☐​ ​New​ ​Electronic​ ​Collection​ ​Existing​ ​Information​ ​System​ ​under​ ​Periodic​ ​Review
☐​ ​Merging​ ​of​ ​Systems
☐​ ​Significantly​ ​Modified​ ​Information​ ​System
☐​ ​Conversion​ ​from​ ​Paper​ ​to​ ​Electronic​ ​Records
☐​ ​Retiring​ ​or​ ​Decommissioning​ ​a​ ​System
​ ​ ​ ​ ​ ​Other:​ ​ ​Describe​ ​   

E. Is​ ​this​ ​information​ ​system​ ​registered​ ​in​ ​CSAM?
The​ ​completed​ ​PIA,​ ​associated​ ​system​ ​of​ ​records​ ​notice(s),​ ​and​ ​any​ ​other​ ​supporting​ ​artifacts
must​ ​be​ ​entered​ ​into​ ​the​ ​CSAM​ ​system​ ​for​ ​each​ ​registered​ ​system​ ​or​ ​application.
⌧​ ​Yes:​ ​ ​Enter​ ​the​ ​UII​ ​Code​ ​and​ ​the​ ​System​ ​Security​ ​Plan​ ​(SSP)​ ​Name​ ​     
010-000001874
☐​ ​No
F. List​ ​all​ ​minor​ ​applications​ ​or​ ​subsystems​ ​that​ ​are​ ​hosted​ ​on​ ​this​ ​system​ ​and​ ​covered
under​ ​this​ ​privacy​ ​impact​ ​assessment.
Subsystem​ ​Name

NONE

Purpose

Contains​ ​PII
(Yes/No)

     ​N/A

     NO

Describe
If​ ​Yes,​ ​provide​ ​a
description.
   ​N/A​  

G. Does​ ​this​ ​information​ ​system​ ​or​ ​electronic​ ​collection​ ​require​ ​a​ ​published​ ​Privacy​ ​Act
System​ ​of​ ​Records​ ​Notice​ ​(SORN)?
⌧​ ​Yes:​ ​ ​List​ ​Privacy​ ​Act​ ​SORN​ ​Identifier(s)​ ​     
OS-02,​ ​Individual​ ​Indian​ ​Money​ ​(IIM)​ ​Trust​ ​Funds
☐​ ​No
H. Does​ ​this​ ​information​ ​system​ ​or​ ​electronic​ ​collection​ ​require​ ​an​ ​OMB​ ​Control​ ​Number?
⌧​ ​Yes:​ ​ ​Describe​ ​     
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OTRA​ ​is​ ​currently​ ​working​ ​with​ ​the​ ​DOI​ ​Information​ ​Clearance​ ​Collection​ ​Office​ ​for​ ​OMB
approval.​ ​ ​A​ ​OMB​ ​Control​ ​Number​ ​will​ ​be​ ​included​ ​after​ ​OMB​ ​approval​ ​is​ ​acquired.
☐​ ​No

Section​ ​2.​ ​ ​Summary​ ​of​ ​System​ ​Data
A. What​ ​PII​ ​will​ ​be​ ​collected?​ ​ ​Indicate​ ​all​ ​that​ ​apply.
⌧​ ​Name
☐​ ​Citizenship
Number
☐​ ​Gender
☐​ ​Birth​ ​Date
⌧​ ​Group​ ​Affiliation
☐​ ​Marital​ ​Status
☐​ ​Biometrics
☐​ ​Other​ ​Names​ ​Used
☐Truncated​ ​SSN
☐​ ​Legal​ ​Status
☐​ ​Place​ ​of​ ​Birth

☐​ ​Religious​ ​Preference
☐​ ​Security​ ​Clearance

☐Social​ ​Security​ ​Number​ ​(SSN)
☐​ ​Personal​ ​Cell​ ​Telephone

☐​ ​Spouse​ ​Information
⌧​ ​Financial​ ​Information
☐​ ​Medical​ ​Information
☐​ ​Disability​ ​Information
☐​ ​Credit​ ​Card​ ​Number
☐​ ​Law​ ​Enforcement
☐​ ​Education​ ​Information
☐​ ​Emergency​ ​Contact
☐​ ​Driver’s​ ​License

⌧​ ​Tribal​ ​or​ ​Other​ ​ID​ ​Number
☐​ ​ ​Personal​ ​Email​ ​Address
☐​ ​Mother’s​ ​Maiden​ ​Name
☐​ ​Home​ ​Telephone​ ​Number
☐​ ​Child​ ​or​ ​Dependent​ ​Information
☐​ ​Employment​ ​Information
☐​ ​Military​ ​Status/Service
⌧​ ​Mailing/Home​ ​Address
⌧​ ​Race/Ethnicity

☐​ ​Other:​ ​ ​Specify​ ​the​ ​PII​ ​collected.
B. What​ ​is​ ​the​ ​source​ ​for​ ​the​ ​PII​ ​collected?​ ​ ​Indicate​ ​all​ ​that​ ​apply.
☐​ ​Individual
⌧​ ​Federal​ ​agency
⌧​ ​Tribal​ ​agency
⌧​ ​Local​ ​agency
⌧​ ​DOI​ ​records
☐​ ​Third​ ​party​ ​source
☐​ ​State​ ​agency
☐​ ​Other:​ ​ ​Describe​ ​     
The​ ​system​ ​will​ ​not​ ​collect​ ​new​ ​information​ ​(Personally​ ​Identifiable​ ​Information,​ ​PII)​ ​but​ ​may
contain​ ​PII​ ​in​ ​the​ ​scanned​ ​copies​ ​(not​ ​originals)​ ​of​ ​leases,​ ​probates,​ ​use​ ​and​ ​distributions​ ​plans,
court​ ​ordered​ ​documentation,​ ​trust​ ​system​ ​documentation,​ ​and​ ​reports​ ​from​ ​other​ ​sources,​ ​i.e.,
Trust​ ​Funds​ ​Accounting​ ​System​ ​(TFAS),​ ​Bureau​ ​of​ ​Indian​ ​Affairs​ ​(BIA)​ ​Trust​ ​Asset​ ​and
Accounting​ ​Management​ ​System​ ​(TAAMS),​ ​Pro​ ​Trac​ ​(Asset/Ownership​ ​data).​ ​ ​Scanned
documents​ ​may​ ​also​ ​contain​ ​pricing​ ​information​ ​for​ ​individual​ ​securities​ ​from​ ​outside​ ​vendors,
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beneficiary​ ​information​ ​regarding​ ​individuals’​ ​locations​ ​whose​ ​whereabouts​ ​are​ ​currently
unknown​ ​from​ ​private​ ​entities,​ ​address​ ​information​ ​from​ ​the​ ​U.S.​ ​Postal​ ​Service​ ​and​ ​other
entities​ ​that​ ​conduct​ ​trust-related​ ​business​ ​with​ ​DOI.
C. How​ ​will​ ​the​ ​information​ ​be​ ​collected?​ ​ ​Indicate​ ​all​ ​that​ ​apply.
⌧​ ​Paper​ ​Format
⌧​ ​Email
⌧​ ​Face-to-Face​ ​Contact
⌧​ ​Web​ ​site
⌧​ ​Fax
⌧​ ​Telephone​ ​Interview
☐​ ​Information​ ​Shared​ ​Between​ ​Systems
☐​​ ​Other:​ ​ ​Describe​ ​     
D. What​ ​is​ ​the​ ​intended​ ​use​ ​of​ ​the​ ​PII​ ​collected?
The​ ​intended​ ​use​ ​of​ ​the​ ​data​ ​(PII)​ ​contained​ ​in​ ​the​ ​system​ ​will​ ​be​ ​to​ ​perform​ ​administrative
and​ ​mission​ ​critical​ ​functions​ ​related​ ​to​ ​the​ ​planning​ ​of​ ​evaluations​ ​of​ ​trust​ ​programs,
functions,​ ​and​ ​activities​ ​managed/administered​ ​by​ ​tribes​ ​or​ ​the​ ​BIA.
E. With​ ​whom​ ​will​ ​the​ ​PII​ ​be​ ​shared,​ ​both​ ​within​ ​DOI​ ​and​ ​outside​ ​DOI?​ ​ ​Indicate​ ​all​ ​that
apply.
⌧​ ​Within​ ​the​ ​Bureau/Office:​ ​ ​Describe​ ​the​ ​bureau/office​ ​and​ ​how​ ​the​ ​data​ ​will​ ​be​ ​used:

Data/reports​ ​may​ ​be​ ​shared​ ​within​ ​OST​ ​to​ ​upper​ ​management​ ​to​ ​note​ ​compliance,​ ​or​ ​lack
thereof,​ ​to​ ​trust​ ​requirements.
⌧​ ​Other​ ​Bureaus/Offices:​ ​ ​Describe​ ​the​ ​bureau/office​ ​and​ ​how​ ​the​ ​data​ ​will​ ​be​ ​used:
Data/reports​ ​may​ ​be​ ​shared​ ​with​ ​the​ ​Bureau​ ​of​ ​Indian​ ​Affairs​ ​(BIA),​ ​Office​ ​of
Self-Governance​ ​(OSG),​ ​and/or​ ​appropriate​ ​government​ ​and​ ​tribal​ ​personnel​ ​to​ ​communicate
audit​ ​results,​ ​issues​ ​and​ ​coordinate​ ​corrective​ ​actions.​ ​Data​ ​may​ ​also​ ​be​ ​shared​ ​with​ ​the​ ​Office
of​ ​Inspector​ ​General​ ​and​ ​Governmental​ ​Accounting​ ​Office​ ​in​ ​response​ ​to,​ ​audits,​ ​evaluations
and​ ​inspections​ ​by​ ​special​ ​request.
​ ​⌧​ ​Tribal,​ ​State​ ​or​ ​Local​ ​Agencies:​ ​ ​Describe​ ​the​ ​Tribal,​ ​state​ ​or​ ​local​ ​agencies​ ​and​ ​how​ ​the
data​ ​will​ ​be​ ​used:
Data/reports​ ​may​ ​be​ ​shared​ ​with​ ​Tribes/Consortiums​ ​that​ ​compact​ ​trust​ ​programs​ ​to​ ​note
compliance,​ ​or​ ​lack​ ​thereof,​ ​to​ ​trust​ ​requirements.
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​ ​⌧​ ​Contractor:​ ​ ​Describe​ ​the​ ​contractor​ ​and​ ​how​ ​the​ ​data​ ​will​ ​be​ ​used:
Data​ ​may​ ​be​ ​shared​ ​with​ ​the​ ​Contractor​ ​that​ ​performs​ ​the​ ​Annual​ ​Trust​ ​Funds​ ​Audit​ ​(i.e.
Independent​ ​Audit​ ​of​ ​the​ ​Financial​ ​Statements​ ​for​ ​Tribal​ ​and​ ​Other​ ​Trust​ ​Funds​ ​and​ ​Individual
Indian​ ​Monies​ ​Trust​ ​Funds).
☐​ ​Other​ ​Third​ ​Party​ ​Sources:​ ​ ​Describe​ ​the​ ​third​ ​party​ ​source​ ​and​ ​how​ ​the​ ​data​ ​will​ ​be​ ​used.

F. Do​ ​individuals​ ​have​ ​the​ ​opportunity​ ​to​ ​decline​ ​to​ ​provide​ ​information​ ​or​ ​to​ ​consent​ ​to​ ​the
specific​ ​uses​ ​of​ ​their​ ​PII?
☐​ ​Yes.​ ​ ​Describe​ ​the​ ​method​ ​by​ ​which​ ​individuals​ ​can​ ​decline​ ​to​ ​provide​ ​information​ ​or​ ​how
individuals​ ​consent​ ​to​ ​specific​ ​uses.

⌧​ ​No.​ ​ ​State​ ​the​ ​reason​ ​why​ ​individuals​ ​cannot​ ​object​ ​or​ ​why​ ​individuals​ ​cannot​ ​give​ ​or
withhold​ ​their​ ​consent:
OTRA​ ​does​ ​not​ ​have​ ​direct​ ​contact​ ​with​ ​individuals​ ​members​ ​of​ ​the​ ​public​ ​or​ ​indian
individuals.​ ​ ​OTRA​ ​performs​ ​trust​ ​evaluations​ ​on​ ​behalf​ ​of​ ​the​ ​Secretary​ ​(25​ ​CFR​ ​Part
1000.350)​ ​and​ ​the​ ​Special​ ​Trustee​ ​for​ ​American​ ​Indians​ ​(American​ ​Indian​ ​Trust​ ​Fund
Management​ ​Reform​ ​Act​ ​of​ ​1994,​ ​P.L.​ ​103-412).
G. What​ ​information​ ​is​ ​provided​ ​to​ ​an​ ​individual​ ​when​ ​asked​ ​to​ ​provide​ ​PII​ ​data?​ ​ ​Indicate
all​ ​that​ ​apply.
☐​ ​Privacy​ ​Act​ ​Statement:​ ​ ​Describe​ ​each​ ​applicable​ ​format:​     
☐​ ​Privacy​ ​Notice:​ ​ ​Describe​ ​each​ ​applicable​ ​format.​     
☐​ ​Other:​ ​ ​Describe​ ​each​ ​applicable​ ​format.​     
⌧​ ​None
H. How​ ​will​ ​the​ ​data​ ​be​ ​retrieved?​ ​ ​List​ ​the​ ​identifiers​ ​that​ ​will​ ​be​ ​used​ ​to​ ​retrieve
information​ ​(e.g.,​ ​name,​ ​case​ ​number,​ ​etc.).
Data​ ​is​ ​be​ ​retrieved​ ​by​ ​a​ ​personal​ ​identifier​ ​which​ ​can​ ​be​ ​either​ ​the​ ​name​ ​of​ ​a
Tribe/Consortium,​ ​location,​ ​Region,​ ​Agency​ ​name,​ ​Auditor​ ​name,​ ​ ​and/or​ ​an​ ​OTRA​ ​report
number​ ​associated​ ​with​ ​the​ ​audit​ ​(i.e.,​ ​OTRA-17-000T).
I. Will​ ​reports​ ​be​ ​produced​ ​on​ ​individuals?
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​ ​☐​ ​Yes:​ ​ ​What​ ​will​ ​be​ ​the​ ​use​ ​of​ ​these​ ​reports?​ ​ ​Who​ ​will​ ​have​ ​access​ ​to​ ​them?​ ​  
​ ​⌧​ ​No
Reports​ ​are​ ​not​ ​produced​ ​on​ ​individuals.​ ​ ​The​ ​tribes,​ ​federal​ ​employees​ ​and​ ​auditors​ ​report​ ​on
the​ ​performance​ ​of​ ​trust​ ​programs,​ ​services,​ ​functions​ ​or​ ​activities.​ ​OST​ ​and​ ​BIA​ ​managers
may​ ​generate​ ​and/or​ ​will​ ​have​ ​access​ ​to​ ​the​ ​reports.​ ​ ​The​ ​reports​ ​are​ ​produced​ ​to​ ​report​ ​on
fiduciary​ ​trust​ ​performance​ ​of​ ​tribes​ ​and​ ​the​ ​BIA.​ ​Trust​ ​evaluation​ ​data​ ​(i.e.​ ​locations,
milestone​ ​dates,​ ​hours,​ ​reports​ ​issuance​ ​dates,​ ​types​ ​of​ ​findings,​ ​and​ ​corrective​ ​action​ ​tracking
milestone​ ​due​ ​dates)​ ​is​ ​collected​ ​in​ ​the​ ​process​ ​of​ ​performing​ ​the​ ​trust​ ​evaluations.

Section​ ​3.​ ​ ​Attributes​ ​of​ ​System​ ​Data
A. How​ ​will​ ​data​ ​collected​ ​from​ ​sources​ ​other​ ​than​ ​DOI​ ​records​ ​be​ ​verified​ ​for​ ​accuracy?
The​ ​data​ ​collected​ ​from​ ​sources​ ​other​ ​than​ ​DOI​ ​will​ ​be​ ​verified​ ​with​ ​tribes​ ​and​ ​the​ ​BIA.​ ​Tribes
and​ ​the​ ​BIA​ ​that​ ​submit​ ​the​ ​data​ ​and​ ​information​ ​will​ ​be​ ​responsible​ ​for​ ​the​ ​accuracy​ ​of​ ​the
data​ ​provided.
B. How​ ​will​ ​data​ ​be​ ​checked​ ​for​ ​completeness?
The​ ​entities​ ​evaluated​ ​(i.e.​ ​tribes​ ​and​ ​the​ ​BIA)​ ​are​ ​responsible​ ​for​ ​ensuring​ ​the​ ​completeness​ ​of
data​ ​contained​ ​within​ ​the​ ​system​ ​(paper​ ​and​ ​electronic).​ ​ ​OTRA​ ​performs​ ​a​ ​reconciliation​ ​of
automated​ ​reports​ ​and​ ​hard​ ​copy​ ​or​ ​source​ ​documentation​ ​as​ ​part​ ​of​ ​the​ ​internal​ ​verification
process.​ ​ ​Also,​ ​it​ ​is​ ​the​ ​responsibility​ ​of​ ​the​ ​individual​ ​(tribal​ ​or​ ​BIA)​ ​entering​ ​the​ ​data​ ​into​ ​the
TES​ ​to​ ​check​ ​for​ ​completeness​ ​of​ ​the​ ​data.​ ​ ​Those​ ​individuals​ ​are​ ​responsible​ ​for​ ​ensuring​ ​the
information​ ​is​ ​correct​ ​by​ ​verifying​ ​the​ ​information​ ​with​ ​appropriate​ ​points​ ​of​ ​contact​ ​within
their​ ​respective​ ​entities​ ​(i.e.​ ​tribe​ ​or​ ​BIA).

C. What​ ​procedures​ ​are​ ​taken​ ​to​ ​ensure​ ​the​ ​data​ ​is​ ​current?​ ​ ​Identify​ ​the​ ​process​ ​or​ ​name
the​ ​document​ ​(e.g.,​ ​data​ ​models).
No​ ​current​ ​data​ ​will​ ​be​ ​collected.​ ​The​ ​system​ ​will​ ​capture​ ​and​ ​store​ ​historical​ ​documentary
evidence​ ​collected​ ​by​ ​scanned​ ​documents​ ​from​ ​the​ ​tribes​ ​and​ ​the​ ​BIA.​ ​It​ ​is​ ​the​ ​responsibility
of​ ​the​ ​individual​ ​entering​ ​data​ ​into​ ​the​ ​TES​ ​to​ ​check​ ​for​ ​the​ ​currency​ ​of​ ​the​ ​data.​ ​ ​Data​ ​is​ ​only
collected​ ​and​ ​used​ ​by​ ​employees​ ​and​ ​contractors​ ​for​ ​authorized​ ​purposes.
D. What​ ​are​ ​the​ ​retention​ ​periods​ ​for​ ​data​ ​in​ ​the​ ​system?​ ​ ​Identify​ ​the​ ​associated​ ​records
retention​ ​schedule​ ​for​ ​the​ ​records​ ​in​ ​this​ ​system.
Trust​ ​evaluation​ ​records​ ​are​ ​maintained​ ​in​ ​accordance​ ​with​ ​the​ ​OST​ ​Indian​ ​Affairs​ ​Records
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Schedule​ ​(IARS)​ ​TR-6005-P2,​ ​Assessment​ ​Files​ ​which​ ​was​ ​approved​ ​by​ ​the​ ​National
Archives​ ​and​ ​Records​ ​Administration​ ​(NARA)​ ​(Job​ ​#​ ​N1-075-07-17,​ ​Approved​ ​5/17/2007).
The​ ​Files​ ​cover​ ​records​ ​related​ ​to​ ​correspondence,​ ​reports,​ ​questionnaires,​ ​uploaded​ ​trust
transactions​ ​and​ ​documentation,​ ​action​ ​copies​ ​of​ ​trust​ ​examination​ ​findings,​ ​and​ ​other​ ​records
that​ ​identify​ ​program​ ​internal​ ​control​ ​weaknesses,​ ​and​ ​corrective​ ​actions​ ​and​ ​supporting
documentation​ ​taken​ ​to​ ​resolve.​ ​Currently,​ ​the​ ​disposition​ ​for​ ​these​ ​records​ ​is​ ​permanent​ ​with​ ​a
cut-off​ ​date​ ​of​ ​at​ ​the​ ​end​ ​of​ ​the​ ​fiscal​ ​year​ ​that​ ​the​ ​case​ ​file​ ​is​ ​closed.​ ​The​ ​retention​ ​period
following,​ ​is​ ​2​ ​years​ ​from​ ​the​ ​cut-off​ ​date.
The​ ​records​ ​will​ ​be​ ​retained​ ​in​ ​accordance​ ​with​ ​the​ ​applicable​ ​Department​ ​or​ ​OST​ ​IARS​ ​series
and​ ​item.​ ​ ​If​ ​the​ ​records​ ​are​ ​determined​ ​as​ ​“unscheduled”,​ ​OTRA​ ​will​ ​work​ ​with​ ​the​ ​Office​ ​of
Trust​ ​Records​ ​(OTR)​ ​and​ ​the​ ​system​ ​will​ ​go​ ​through​ ​a​ ​scheduling​ ​and​ ​approval​ ​process
through​ ​NARA.​ ​ ​Records​ ​may​ ​also​ ​be​ ​subject​ ​to​ ​litigation​ ​holds,​ ​court​ ​orders,​ ​and​ ​preservation
notices​ ​issued​ ​by​ ​the​ ​Office​ ​of​ ​the​ ​Solicitor.

E. What​ ​are​ ​the​ ​procedures​ ​for​ ​disposition​ ​of​ ​the​ ​data​ ​at​ ​the​ ​end​ ​of​ ​the​ ​retention​ ​period?
Where​ ​are​ ​the​ ​procedures​ ​documented?
OTRA​ ​follows​ ​the​ ​OST​ ​Indian​ ​Affairs​ ​Records​ ​Management​ ​Manual​ ​(IARMM)​ ​for​ ​all
procedures​ ​required​ ​for​ ​Indian​ ​trust​ ​data,​ ​source​ ​documents,​ ​hard​ ​copy​ ​records​ ​and​ ​electronic
records​ ​disposition​ ​requirements​ ​at​ ​the​ ​end​ ​of​ ​the​ ​disposition​ ​schedule.​ ​Trust​ ​examination,
Evaluation​ ​and​ ​Assessment​ ​files​ ​are​ ​dispensed​ ​in​ ​accordance​ ​with​ ​the​ ​time​ ​periods​ ​and
procedures​ ​in​ ​the​ ​IARMM.​ ​ ​All​ ​OTRA​ ​records​ ​are​ ​shipped​ ​and​ ​stored​ ​permanently​ ​at​ ​the
American​ ​Indian​ ​Records​ ​Repository​ ​in​ ​Lenexa,​ ​Kansas,​ ​at​ ​the​ ​end​ ​of​ ​the​ ​2​ ​year​ ​retention
period​ ​for​ ​the​ ​case​ ​files,​ ​or​ ​in​ ​accordance​ ​with​ ​current​ ​records​ ​schedules.
F. Briefly​ ​describe​ ​privacy​ ​risks​ ​and​ ​how​ ​information​ ​handling​ ​practices​ ​at​ ​each​ ​stage​ ​of​ ​the
“information​ ​lifecycle”​ ​(i.e.,​ ​collection,​ ​use,​ ​retention,​ ​processing,​ ​disclosure​ ​and
destruction)​ ​affect​ ​individual​ ​privacy.
The​ ​use​ ​of​ ​TES​ ​is​ ​conducted​ ​in​ ​accordance​ ​with​ ​the​ ​appropriate​ ​DOI​ ​use​ ​policy.​ ​ ​The​ ​least
amount​ ​of​ ​access​ ​is​ ​given​ ​to​ ​a​ ​user​ ​to​ ​complete​ ​their​ ​required​ ​activity.​ ​ ​All​ ​access​ ​is​ ​controlled
by​ ​authentication​ ​methods​ ​to​ ​validate​ ​the​ ​authorized​ ​user.​ ​ ​OST​ ​employees​ ​and​ ​contractors​ ​are
required​ ​to​ ​complete​ ​security​ ​and​ ​privacy​ ​awareness​ ​training​ ​and​ ​as​ ​authorized​ ​users​ ​who
manage,​ ​use,​ ​or​ ​operate​ ​TES​ ​are​ ​required​ ​to​ ​take​ ​additional​ ​role-based​ ​training​ ​and​ ​sign​ ​OST
Rules​ ​of​ ​Behavior.
In​ ​order​ ​to​ ​prevent​ ​adverse​ ​effects​ ​to​ ​individuals​ ​and​ ​mitigate​ ​the​ ​risk​ ​for​ ​exposing​ ​PII
contained​ ​in​ ​the​ ​system,​ ​OST​ ​ensures​ ​proper​ ​safeguards​ ​are​ ​in​ ​place​ ​in​ ​accordance​ ​with​ ​43
CFR​ ​2.226.​ ​ ​Access​ ​to​ ​sensitive​ ​PII​ ​is​ ​restricted​ ​to​ ​authorized​ ​personnel​ ​only​ ​who​ ​have​ ​a​ ​need
to​ ​access​ ​the​ ​records​ ​in​ ​the​ ​performance​ ​of​ ​their​ ​official​ ​duties.​ ​ ​Computerized​ ​records
containing​ ​sensitive​ ​PII​ ​are​ ​protected​ ​by​ ​following​ ​the​ ​National​ ​Institute​ ​of​ ​Standards​ ​and
Technology​ ​(NIST)​ ​standards​ ​that​ ​comply​ ​with​ ​the​ ​Privacy​ ​Act​ ​of​ ​1974​ ​(as​ ​amended),
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Paperwork​ ​Reduction​ ​Act,​ ​Federal​ ​Information​ ​Security​ ​Act​ ​of​ ​2002,​ ​and​ ​the​ ​Federal
Information​ ​Processing​ ​Standards​ ​(FIPS)​ ​199,​ ​Standards​ ​for​ ​Security​ ​Categorization​ ​of​ ​Federal
Information​ ​and​ ​Information​ ​Systems.​ ​ ​Data​ ​is​ ​protected​ ​through​ ​user​ ​identification,
passwords,​ ​database​ ​permissions,​ ​and​ ​software​ ​controls.
The​ ​system​ ​security​ ​measures​ ​establish​ ​different​ ​access​ ​controls​ ​for​ ​different​ ​types​ ​of​ ​users
associated​ ​with​ ​pre-defined​ ​groups​ ​and/or​ ​bureaus.​ ​ ​User​ ​access​ ​is​ ​restricted​ ​to​ ​only​ ​the
functions​ ​and​ ​data​ ​necessary​ ​to​ ​perform​ ​their​ ​duties​ ​based​ ​on​ ​specific​ ​functions​ ​and​ ​is
restricted​ ​using​ ​role-based​ ​access.​ ​ ​Contract​ ​employees​ ​are​ ​monitored​ ​by​ ​their​ ​Contracting
Officer​ ​Representative​ ​and​ ​OST​ ​Associate​ ​Chief​ ​Information​ ​Security​ ​Officer​ ​(ACISO).

Section​ ​4.​ ​ ​PIA​ ​Risk​ ​Review
A. Is​ ​the​ ​use​ ​of​ ​the​ ​data​ ​both​ ​relevant​ ​and​ ​necessary​ ​to​ ​the​ ​purpose​ ​for​ ​which​ ​the​ ​system​ ​is
being​ ​designed?
⌧​ ​Yes:​ ​ ​Explanation​ ​     
The​ ​use​ ​of​ ​the​ ​data​ ​contained​ ​in​ ​the​ ​system​ ​are​ ​relevant​ ​and​ ​necessary​ ​to​ ​perform
administrative​ ​and​ ​mission​ ​critical​ ​functions,​ ​specifically​ ​to​ ​perform​ ​trust​ ​evaluations​ ​as
required​ ​by​ ​federal​ ​regulations​ ​and​ ​public​ ​law.
☐​ ​No
B. Does​ ​this​ ​system​ ​or​ ​electronic​ ​collection​ ​derive​ ​new​ ​data​ ​or​ ​create​ ​previously​ ​unavailable
data​ ​about​ ​an​ ​individual​ ​through​ ​data​ ​aggregation?
☐​ ​Yes:​ ​ ​Explain​ ​what​ ​risks​ ​are​ ​introduced​ ​by​ ​this​ ​data​ ​aggregation​ ​and​ ​how​ ​these​ ​risks​ ​will
be​ ​mitigated.

⌧​ ​No
C. Will​ ​the​ ​new​ ​data​ ​be​ ​placed​ ​in​ ​the​ ​individual’s​ ​record?
☐​ ​Yes:​ ​ ​Explanation​ ​     
⌧​ ​No
D. Can​ ​the​ ​system​ ​make​ ​determinations​ ​about​ ​individuals​ ​that​ ​would​ ​not​ ​be​ ​possible
without​ ​the​ ​new​ ​data?
☐​ ​Yes:​ ​ ​Explanation​ ​     

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⌧​ ​No
E. How​ ​will​ ​the​ ​new​ ​data​ ​be​ ​verified​ ​for​ ​relevance​ ​and​ ​accuracy?
The​ ​data​ ​is​ ​reconciled​ ​with​ ​hard​ ​copy​ ​source​ ​documents​ ​and​ ​system​ ​data​ ​or​ ​reports​ ​to
determine​ ​relevance​ ​and​ ​accuracy.​ ​ ​The​ ​system​ ​does​ ​not​ ​derive​ ​new​ ​data​ ​about​ ​an​ ​individual.
F. Are​ ​the​ ​data​ ​or​ ​the​ ​processes​ ​being​ ​consolidated?
☐​ ​Yes,​ ​data​ ​is​ ​being​ ​consolidated.​ ​ ​Describe​ ​the​ ​controls​ ​that​ ​are​ ​in​ ​place​ ​to​ ​protect​ ​the​ ​data
from​ ​unauthorized​ ​access​ ​or​ ​use.
☐​ ​Yes,​ ​processes​ ​are​ ​being​ ​consolidated.​ ​ ​Describe​ ​the​ ​controls​ ​that​ ​are​ ​in​ ​place​ ​to​ ​protect​ ​the
data​ ​from​ ​unauthorized​ ​access​ ​or​ ​use.

⌧​ ​ ​No,​ ​data​ ​or​ ​processes​ ​are​ ​not​ ​being​ ​consolidated.
G. Who​ ​will​ ​have​ ​access​ ​to​ ​data​ ​in​ ​the​ ​system​ ​or​ ​electronic​ ​collection?​ ​ ​Indicate​ ​all​ ​that
apply.
⌧​ ​Users
⌧​ ​Contractors
⌧​ ​Developers
⌧​ ​System​ ​Administrator
⌧​ ​ ​Other:​ ​ ​Describe​ ​     
Upon​ ​request​ ​of​ ​a​ ​tribe(s)​ ​that​ ​have​ ​compacted​ ​trust​ ​functions​ ​and​ ​which​ ​has​ ​been​ ​evaluated,
the​ ​tribe​ ​would​ ​be​ ​authorized​ ​view​ ​access​ ​to​ ​the​ ​evaluation​ ​information​ ​that​ ​pertains​ ​ONLY​ ​to
their​ ​(respective)​ ​evaluation​ ​information.
H. How​ ​is​ ​user​ ​access​ ​to​ ​data​ ​be​ ​determined?​ ​ ​Will​ ​users​ ​have​ ​access​ ​to​ ​all​ ​data​ ​or​ ​will
access​ ​be​ ​restricted?
All​ ​authorized​ ​users​ ​have​ ​access​ ​to​ ​view​ ​account​ ​information.​ ​ ​Access​ ​to​ ​TES​ ​is​ ​limited​ ​to
authorized​ ​personnel​ ​who​ ​have​ ​a​ ​need​ ​to​ ​access​ ​the​ ​data​ ​in​ ​the​ ​performance​ ​of​ ​their​ ​official
duties;​ ​electronic​ ​data​ ​is​ ​protected​ ​through​ ​user​ ​identification,​ ​passwords,​ ​database​ ​permissions
and​ ​software​ ​controls;​ ​security​ ​measures​ ​establish​ ​different​ ​access​ ​levels​ ​for​ ​different​ ​types​ ​of
users​ ​associated​ ​with​ ​pre-defined​ ​groups​ ​and/or​ ​bureaus;​ ​each​ ​user’s​ ​access​ ​is​ ​restricted​ ​to​ ​only
the​ ​functions​ ​and​ ​data​ ​necessary​ ​to​ ​perform​ ​their​ ​job;​ ​access​ ​can​ ​be​ ​restricted​ ​to​ ​specific
functions.​ ​ ​Authorized​ ​users​ ​are​ ​trained​ ​and​ ​required​ ​to​ ​follow​ ​established​ ​internal​ ​security
protocols,​ ​must​ ​complete​ ​all​ ​security,​ ​privacy,​ ​and​ ​records​ ​management​ ​training,​ ​and​ ​sign​ ​the
OST​ ​Rules​ ​of​ ​Behavior.​ ​Contract​ ​employees​ ​with​ ​access​ ​to​ ​the​ ​system​ ​are​ ​monitored​ ​by​ ​the
Contracting​ ​Officer​ ​Representative​ ​and​ ​OST​ ​ACISO.
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The​ ​System​ ​Owner,​ ​system​ ​administrator,​ ​and​ ​supervisor​ ​determines​ ​user​ ​access​ ​based​ ​on​ ​the
role​ ​and​ ​duties​ ​of​ ​the​ ​employee​ ​(contractor).​ ​ ​Access​ ​to​ ​all​ ​data​ ​is​ ​restricted​ ​to​ ​authorized
personnel​ ​based​ ​on​ ​official​ ​need-to-know.
I. Are​ ​contractors​ ​involved​ ​with​ ​the​ ​design​ ​and/or​ ​development​ ​of​ ​the​ ​system,​ ​or​ ​will​ ​they
be​ ​involved​ ​with​ ​the​ ​maintenance​ ​of​ ​the​ ​system?
⌧​ ​Yes.​ ​ ​Were​ ​Privacy​ ​Act​ ​contract​ ​clauses​ ​included​ ​in​ ​their​ ​contracts​ ​and​ ​other​ ​regulatory
measures​ ​addressed?
The​ ​appropriate​ ​Privacy​ ​Act,​ ​security,​ ​and​ ​other​ ​contract​ ​clauses​ ​are​ ​inserted​ ​in​ ​their​ ​contract.

☐​ ​No
J. Is​ ​the​ ​system​ ​using​ ​technologies​ ​in​ ​ways​ ​that​ ​the​ ​DOI​ ​has​ ​not​ ​previously​ ​employed​ ​(e.g.,
monitoring​ ​software,​ ​SmartCards​ ​or​ ​Caller​ ​ID)?
☐​ ​Yes.​ ​ ​Explanation      
⌧​ ​ ​No
K. Will​ ​this​ ​system​ ​provide​ ​the​ ​capability​ ​to​ ​identify,​ ​locate​ ​and​ ​monitor​ ​individuals?
☐​ ​Yes.
⌧​ ​ ​No
TES​ ​stores​ ​audit​ ​assessment​ ​and​ ​evaluation​ ​historical​ ​data.​ ​TES​ ​does​ ​not​ ​allow​ ​for​ ​routine​ ​file
maintenance​ ​functions,​ ​such​ ​as,​ ​to​ ​correct​ ​addresses,​ ​names,​ ​or​ ​to​ ​identify,​ ​locate​ ​and​ ​monitor
individuals.
L. What​ ​kinds​ ​of​ ​information​ ​are​ ​collected​ ​as​ ​a​ ​function​ ​of​ ​the​ ​monitoring​ ​of​ ​individuals?
TES​ ​does​ ​not​ ​monitor​ ​individuals.
Access​ ​to​ ​TES​ ​is​ ​limited​ ​to​ ​authorized​ ​personnel​ ​who​ ​have​ ​a​ ​need​ ​to​ ​access​ ​the​ ​data​ ​in​ ​the
performance​ ​of​ ​their​ ​official​ ​duties;​ ​electronic​ ​data​ ​is​ ​protected​ ​through​ ​user​ ​identification,
passwords,​ ​database​ ​permissions,​ ​and​ ​software​ ​controls;​ ​security​ ​measures​ ​establish​ ​different
access​ ​levels​ ​for​ ​different​ ​types​ ​of​ ​users​ ​associated​ ​with​ ​pre-defined​ ​groups​ ​and/or​ ​bureaus;
each​ ​user’s​ ​access​ ​is​ ​restricted​ ​to​ ​only​ ​the​ ​functions​ ​and​ ​data​ ​necessary​ ​to​ ​perform​ ​their​ ​job;
access​ ​can​ ​be​ ​restricted​ ​to​ ​specific​ ​functions​ ​(create,​ ​update,​ ​delete,​ ​view,​ ​assign​ ​permissions)
and​ ​is​ ​restricted​ ​utilizing​ ​role-based​ ​access.​ ​ ​Authorized​ ​users​ ​are​ ​trained​ ​and​ ​required​ ​to
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follow​ ​established​ ​internal​ ​security​ ​protocols,​ ​must​ ​complete​ ​all​ ​security,​ ​privacy,​ ​and​ ​records
management​ ​training,​ ​and​ ​sign​ ​the​ ​OST​ ​Rules​ ​of​ ​Behavior.​ ​ ​Contract​ ​employees​ ​with​ ​access​ ​to
the​ ​system​ ​are​ ​monitored​ ​by​ ​the​ ​Contracting​ ​Officer​ ​Representative​ ​and​ ​ACISO.
M. What​ ​controls​ ​will​ ​be​ ​used​ ​to​ ​prevent​ ​unauthorized​ ​monitoring?
TES​ ​does​ ​not​ ​monitor​ ​individuals.
Access​ ​to​ ​TES​ ​is​ ​limited​ ​to​ ​authorized​ ​personnel​ ​who​ ​have​ ​a​ ​need​ ​to​ ​access​ ​the​ ​data​ ​in​ ​the
performance​ ​of​ ​their​ ​official​ ​duties;​ ​electronic​ ​data​ ​is​ ​protected​ ​through​ ​user​ ​identification,
passwords,​ ​database​ ​permissions,​ ​and​ ​software​ ​controls;​ ​security​ ​measures​ ​establish​ ​different
access​ ​levels​ ​for​ ​different​ ​types​ ​of​ ​users​ ​associated​ ​with​ ​pre-defined​ ​groups​ ​and/or​ ​bureaus;
each​ ​user’s​ ​access​ ​is​ ​restricted​ ​to​ ​only​ ​the​ ​functions​ ​and​ ​data​ ​necessary​ ​to​ ​perform​ ​their​ ​job;
access​ ​can​ ​be​ ​restricted​ ​to​ ​specific​ ​functions​ ​(create,​ ​update,​ ​delete,​ ​view,​ ​assign​ ​permissions)
and​ ​is​ ​restricted​ ​utilizing​ ​role-based​ ​access.​ ​ ​Authorized​ ​users​ ​are​ ​trained​ ​and​ ​required​ ​to
follow​ ​established​ ​internal​ ​security​ ​protocols,​ ​must​ ​complete​ ​all​ ​security,​ ​privacy,​ ​and​ ​records
management​ ​training,​ ​and​ ​sign​ ​the​ ​OST​ ​Rules​ ​of​ ​Behavior.​ ​ ​Contract​ ​employees​ ​with​ ​access​ ​to
the​ ​system​ ​are​ ​monitored​ ​by​ ​the​ ​Contracting​ ​Officer​ ​Representative​ ​and​ ​ACISO.
N. How​ ​will​ ​the​ ​PII​ ​be​ ​secured?
(1) Physical​ ​Controls.​ ​ ​Indicate​ ​all​ ​that​ ​apply.
☐​ ​Security​ ​Guards
☐​ ​Key​ ​Guards
☒​ ​Locked​ ​File​ ​Cabinets
☒​ ​Secured​ ​Facility
☐​ ​Closed​ ​Circuit​ ​Television
☐​ ​Cipher​ ​Locks
☒​ ​Identification​ ​Badges
☐​ ​Safes
☐​ ​Combination​ ​Locks
☒​ ​Locked​ ​Offices
☐​ ​Other.​ ​ ​Describe​ ​     
(2) Technical​ ​Controls.​ ​ ​Indicate​ ​all​ ​that​ ​apply.
☒​ ​ ​Password
☒​ ​ ​Firewall
☒​ ​ ​Encryption
☒​ ​ ​User​ ​Identification
☐​ ​Biometrics
☒​ ​Intrusion​ ​Detection​ ​System​ ​(IDS)
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☒​ ​Virtual​ ​Private​ ​Network​ ​(VPN)
☐​ ​Public​ ​Key​ ​Infrastructure​ ​(PKI)​ ​Certificates
☒​ ​Personal​ ​Identity​ ​Verification​ ​(PIV)​ ​Card
☐​ ​Other.​ ​ ​Describe

(3) Administrative​ ​Controls.​ ​ ​Indicate​ ​all​ ​that​ ​apply.
☒​ ​Periodic​ ​Security​ ​Audits
☒​ ​Backups​ ​Secured​ ​Off-site
☒​ ​Rules​ ​of​ ​Behavior
☒​ ​Role-Based​ ​Training
☒​ ​Regular​ ​Monitoring​ ​of​ ​Users’​ ​Security​ ​Practices
☒​ ​Methods​ ​to​ ​Ensure​ ​Only​ ​Authorized​ ​Personnel​ ​Have​ ​Access​ ​to​ ​PII
☒​ ​Encryption​ ​of​ ​Backups​ ​Containing​ ​Sensitive​ ​Data
☒​ ​Mandatory​ ​Security,​ ​Privacy​ ​and​ ​Records​ ​Management​ ​Training
☐​ ​Other.​ ​ ​Describe​ ​     
O. Who​ ​will​ ​be​ ​responsible​ ​for​ ​protecting​ ​the​ ​privacy​ ​rights​ ​of​ ​the​ ​public​ ​and​ ​employees?
This​ ​includes​ ​officials​ ​responsible​ ​for​ ​addressing​ ​Privacy​ ​Act​ ​complaints​ ​and​ ​requests​ ​for
redress​ ​or​ ​amendment​ ​of​ ​records.

The​ ​System​ ​Owner​ ​is​ ​responsible​ ​for​ ​implementing​ ​the​ ​legal​ ​information​ ​resources
management​ ​requirements​ ​including​ ​Privacy,​ ​Security,​ ​Records​ ​Management,​ ​Freedom​ ​of
Information​ ​Act,​ ​and​ ​data​ ​administration.​ ​ ​The​ ​Associate​ ​Privacy​ ​Officer​ ​(APO)​ ​is​ ​responsible
for​ ​addressing​ ​Privacy​ ​Act​ ​complaints.​ ​ ​The​ ​System​ ​Manager​ ​and​ ​APO​ ​are​ ​responsible​ ​for
responding​ ​to​ ​and​ ​processing​ ​requests​ ​for​ ​access​ ​or​ ​amendment​ ​of​ ​records.
The​ ​System​ ​Manager​ ​is​ ​the​ ​official​ ​with​ ​administrative​ ​responsibility​ ​for​ ​managing​ ​and
protecting​ ​Privacy​ ​Act​ ​records,​ ​whether​ ​in​ ​electronic​ ​or​ ​paper​ ​format,​ ​and​ ​for​ ​meeting​ ​the
requirements​ ​of​ ​the​ ​Privacy​ ​Act​ ​and​ ​the​ ​published​ ​SORN;​ ​and​ ​responsible​ ​for​ ​compliance​ ​with
the​ ​383​ ​DM​ ​Chapters​ ​1-13,​ ​and​ ​DOI​ ​Privacy​ ​Act​ ​regulations​ ​a​ ​43​ ​CFR​ ​Part​ ​2.
P. Who​ ​is​ ​responsible​ ​for​ ​assuring​ ​proper​ ​use​ ​of​ ​the​ ​data​ ​and​ ​for​ ​reporting​ ​the​ ​loss,
compromise,​ ​unauthorized​ ​disclosure,​ ​or​ ​unauthorized​ ​access​ ​of​ ​privacy​ ​protected
information?
The​ ​System​ ​Owner​ ​and​ ​System​ ​Manager​ ​are​ ​responsible​ ​for​ ​oversight​ ​and​ ​management​ ​of​ ​TES
security​ ​and​ ​privacy​ ​controls,​ ​and​ ​for​ ​ensuring​ ​to​ ​the​ ​greatest​ ​possible​ ​extent​ ​that​ ​OST​ ​data​ ​is
properly​ ​managed​ ​and​ ​that​ ​all​ ​access​ ​to​ ​OST​ ​data​ ​has​ ​been​ ​granted​ ​in​ ​a​ ​secure​ ​manner.​ ​ ​They
are​ ​also​ ​responsible​ ​for​ ​ensuring​ ​that​ ​any​ ​loss,​ ​compromise,​ ​unauthorized​ ​access​ ​or​ ​disclosure
of​ ​sensitive​ ​PII​ ​be​ ​reported​ ​to:​ ​1)​ ​OST​ ​Security​ ​at​ ​ost_security@ost.doi.gov​​ ​,​ ​2)​ ​Immediate
Supervisor,​ ​and​ ​3)​ ​APO​ ​at​ ​ ​Veronica_Herkshan@ost.doi.gov​​ ​within​ ​1-hour​ ​of​ ​discovery​ ​in
accordance​ ​with​ ​Federal​ ​Policy​ ​and​ ​established​ ​procedures.
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The​ ​System​ ​Manager​ ​is​ ​the​ ​official​ ​with​ ​administrative​ ​responsibility​ ​for​ ​managing​ ​and
protecting​ ​Privacy​ ​Act​ ​records,​ ​whether​ ​in​ ​electronic​ ​or​ ​paper​ ​format,​ ​for​ ​meeting​ ​the
requirements​ ​of​ ​the​ ​Privacy​ ​Act​ ​and​ ​the​ ​published​ ​SORN;​ ​and​ ​is​ ​responsible​ ​for​ ​compliance
with​ ​the​ ​383​ ​DM​ ​Chapters​ ​1-13,​ ​and​ ​DOI​ ​Privacy​ ​Act​ ​Regulations​ ​at​ ​43​ ​CFR​ ​Part​ ​2.
IT​ ​Security​ ​is​ ​responsible​ ​for​ ​ensuring​ ​proper​ ​use​ ​of​ ​the​ ​system​ ​and​ ​data.
The​ ​APO​ ​is​ ​responsible​ ​for​ ​ensuring​ ​compliance​ ​with​ ​Federal​ ​privacy​ ​laws​ ​and​ ​policies;
implements​ ​privacy​ ​policy,​ ​provides​ ​guidance,​ ​evaluates​ ​OST​ ​programs,​ ​systems​ ​and
initiatives​ ​for​ ​potential​ ​privacy​ ​implications,​ ​and​ ​provides​ ​strategies​ ​to​ ​mitigate​ ​or​ ​reduce
privacy​ ​risk;​ ​collaborates​ ​with​ ​OST​ ​program​ ​managers,​ ​Information​ ​System​ ​Owners,​ ​and​ ​IT
Security​ ​to​ ​ensure​ ​privacy​ ​considerations​ ​are​ ​addressed​ ​when​ ​planning,​ ​developing​ ​or​ ​updating
programs,​ ​systems​ ​or​ ​initiatives​ ​in​ ​order​ ​to​ ​protect​ ​individual​ ​privacy​ ​and​ ​ensure​ ​compliance
with​ ​applicable​ ​privacy​ ​laws​ ​and​ ​regulations;​ ​and​ ​reviewing​ ​privacy​ ​controls​ ​to​ ​ensure​ ​OST
analyzes​ ​the​ ​privacy​ ​risks​ ​to​ ​meet​ ​Federal​ ​privacy​ ​requirements​ ​and​ ​demonstrate​ ​compliance.

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Section​ ​5.​ ​ ​Review​ ​and​ ​Approval
Information​ ​System​ ​Owner
Name:​ ​John​ ​White
Title:​ ​Deputy​ ​Special​ ​Trustee​ ​–​ ​Program​ ​Management     
Bureau/Office:​ ​OST,​ ​Office​ ​of​ ​Trust​ ​Review​ ​and​ ​Audit
Phone:​ ​(505)​ ​816-1328
Email:​ ​John_White@ost.doi.gov
Signature:​ ​__________________________ Date:​ ​__________________________     
Associate​ ​Chief​ ​Information​ ​Security​ ​Officer
Name:​ ​Larry​ ​Sorensen
Title:​ ​Acting​ ​Associate​ ​Chief​ ​Information​ ​Security​ ​Officer
Bureau/Office:​ ​OST,​ ​Office​ ​of​ ​Information​ ​Resources,​ ​Information​ ​Assurance
Phone:​ ​(505)​ ​816-1249
Email:​ ​Larry_Sorensen@ost.doi.gov   
Signature:​ ​__________________________ Date:​ ​__________________________     
Associate​ ​Privacy​ ​Officer
Name:​ ​Veronica​ ​Herkshan
Title:​ ​Acting​ ​Associate​ ​Privacy​ ​Officer
Bureau/Office:​ ​OST,​ ​Office​ ​of​ ​Information​ ​Resources
Phone:​ ​(505)​ ​816-1645
Email:​ ​Veronica_Herkshan@ost.doi.gov     
Signature:​ ​__________________________ Date:​ ​__________________________  
Reviewing​ ​Official
Name:​ ​Teri​ ​Barnett
Title:​ ​Departmental​ ​Privacy​ ​Officer     
Bureau/Office:​ ​DOI,​ ​Office​ ​of​ ​the​ ​Chief​ ​Information​ ​Officer
Phone:​ ​(202)​ ​208-1943
Email:​ ​Teri_Barnett@ios.doi.gov     
Signature:​ ​__________________________ Date:​ ​___________________________  

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