Privacy Assessment - no SORN needed

U.S. Department of the Interior
PRIVACY IMPACT ASSESSMENT

Introduction
The Department of the Interior requires 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: Minerals Information
Bureau/Office: U.S. Geological Survey/Office of Enterprise Information
Date: April 12, 2019
Point of Contact:
Name: Steven T. Stoller
Title: IT Specialist
Email: sstoller@usgs.gov
Phone: (703) 648-4960
Address: 12201 Sunrise Valley Drive, Mail Stop 988, Reston, VA 20192

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.
B. What is the purpose of the system?
The purpose of the system is to collect, store, evaluate, and analyze data from 142 monthly,
quarterly, semiannual, and annual canvasses concerning domestic mineral occurrence,
production, stocks, value, and use. A number of these minerals and materials have traditionally

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Minerals Information
Privacy Impact Assessment

been considered as strategic and critical. The data obtained from this collection are used by
Government agencies, Congressional offices, educational institutions, research organizations,
financial institutions, consulting firms, industry, and the public.
Personally identification information (PII) is collected within the following components for this
system:
1. Minerals Information Data System (MIDS) - Collects raw and edited data; produces
tables for publication. PII includes name of the person to be contacted, phone number,
address, signature, and title.
2. Minerals Archival and Retrieval System (MARS) - Internal imaging system that indexes
and stores images of canvass forms according to National Archives and Records
Administration (NARA) guidance. PII includes name of the person to be contacted, phone
number, address, signature, and title.
C. What is the legal authority?
The Secretary of the Department of the Interior (DOI) is mandated [30 U.S.C. 1601 et seq.] by
Congress to collect, evaluate, and analyze information concerning mineral occurrence,
production, and use from industry, academia, and Federal and State agencies. The Director of the
U.S. Geological Survey (USGS), under Interior Order No. 3193, is delegated, through the
Assistant Secretary–Water and Science (DOI), all the program authority necessary to carry out
this minerals information function. The mission of the USGS National Minerals Information
Center (NMIC) is to collect, analyze, and disseminate information on the domestic and
international supply of and demand for minerals and mineral materials essential to the U.S.
economy and national security.
x
x
x
x
x
x

National Materials and Minerals Policy, Research and Development Act of 1980 (30
U.S.C. 1601 et seq.)
National Mining and Minerals Policy Act of 1970 (30 U.S.C. 21(a))
Strategic and Critical Materials Stock Piling Act (50 U.S.C. 98 et seq.)
Defense Production Act
Comprehensive Test Ban Treaty Part III
Comprehensive Test Ban Treaty USGS-DoD Memorandum of Agreement

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

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‫܆‬Retiring or Decommissioning a System
‫܆‬Other: Describe
E. Is this information system registered in CSAM?
‫܈‬Yes: Enter the UII Code and the System Security Plan (SSP)
010-000001013; System Security Plan (SSP) for Science and Support Systems (S&SS) Moderate
‫܆‬No
F. List all minor applications or subsystems that are hosted on this system and covered under
this privacy impact assessment.
Subsystem Name

Purpose

Contains PII
(Yes/No)

None

None

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)
‫܈‬No: We retrieve information by Respondent ID, which is assigned to an establishment, or
company name—no information is retrieved about individuals by name or other unique
identifier.
H. Does this information system or electronic collection require an OMB Control Number?
‫܈‬Yes: Describe See below
1028-0053 – Nonferrous Metals Surveys – 07/31/2021
1028-0059 – Comprehensive Test Ban Treaty – 01/31/2020
1028-0060 – Mine, Development, and Mineral Exploration Supplement – 08/31/2019
1028-0062 – Industrial Minerals Surveys – 02/28/2022
1028-0065 – Production Estimate – 01/31/2020
1028-0068 – Ferrous Metals Surveys – 12/31/2020
1028-0070 – Consolidated Consumers’ Report – 07/31/2020
‫܆‬No

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Section 2. Summary of System Data
A. What PII will be collected? Indicate all that apply.
‫܈‬Name
‫܆‬Citizenship
‫܆‬Gender
‫܆‬Birth Date
‫܆‬Group Affiliation
‫܆‬Marital Status
‫܆‬Biometrics
‫܆‬Other Names Used
‫܆‬Truncated SSN
‫܆‬Legal Status
‫܆‬Place of Birth
‫܆‬Religious Preference
‫܆‬Security Clearance
‫܆‬Spouse Information
‫܆‬Financial Information
‫܆‬Medical Information
‫܆‬Disability Information
‫܈‬Other: Specify the PII collected. See below

‫܆‬Credit Card Number
‫܆‬Law Enforcement
‫܆‬Education Information
‫܆‬Emergency Contact
‫܆‬Driver’s License
‫܆‬Race/Ethnicity
‫܆‬Social Security Number (SSN)
‫܆‬Personal Cell Telephone Number
‫܆‬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

Name of person to be contacted regarding the completed form, phone number, address,
signature, date of signature, title.
To comply with the Paperwork Elimination Act, email addresses are collected for those
respondents who elect to respond online.
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
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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?
Names, addresses, phone numbers, signatures, dates of signatures, and titles are collected to
communicate with respondents to canvasses. The PII is not released outside of the USGS NMIC.
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.
Names, addresses, phone numbers, signatures, dates of signatures, and titles are collected to
communicate with respondents to canvasses. The PII is not released outside of the USGS NMIC.
‫܆‬Other Bureaus/Offices: Describe the bureau/office and how the data will be used.
‫܆‬Other Federal Agencies: Describe the federal agency and how the data will be used.
‫܆‬Tribal, State or Local Agencies: Describe the Tribal, state or local agencies and how the data
will be used.
‫܆‬Contractor: Describe the contractor and how the data will be used.
‫܈‬Other Third Party Sources: Describe the third party source and how the data will be used.
Unless authorization is granted (i.e., “May tabulations be published which could indirectly reveal
the data reported?”), the data furnished in the completed form will be treated in confidence by
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the DOI, except that they may be disclosed to Federal defense agencies, or to the Congress upon
official request for appropriate purposes.
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.
As stated on each collection instrument, responding to these canvasses is voluntary; therefore,
individuals can decline to provide their PII. Individuals cannot consent to specific uses of their
PII because their PII is never shared outside of the USGS NMIC. Contact information for the
USGS NMIC appears on each collection instrument, which individuals can use to request they be
removed from the mailing list.
‫܆‬No: State the reason why individuals cannot object or why individuals cannot give or
withhold their consent.
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.
The USGS NMIC discloses that responding to the minerals information canvasses is voluntary
and that the data furnished on the completed forms will be treated in confidence.
‫܆‬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.).
Establishments, such as mines, refineries, or smelters, are canvassed and assigned Respondent ID
Numbers. Completed forms are not indexed with any PII identifiers to enable retrieval by that
method. Minerals data are retrieved from the system only in aggregate.
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

Section 3. Attributes of System Data
A. How will data collected from sources other than DOI records be verified for accuracy?
All data in the system are self-reported by individuals. The USGS NMIC assumes that the
contact information provided is accurate. No PII will be associated with the data published. As
such, verifying individual data for accuracy and reliability cannot (and should not) be done if
privacy is to be maintained; however, all PII data will be examined, and obviously incorrect data
will be flagged.
B. How will data be checked for completeness?
All PII data will be quality-controlled by USGS NMIC staff that will look at each response to
check for completeness.
C. What procedures are taken to ensure the data is current? Identify the process or name the
document (e.g., data models).
PII data is immediately updated with more current information provided by the respondent. The
PII data are not connected to other data reported on the canvasses; therefore, how current the
data are will not affect other data.
D. What are the retention periods for data in the system? Identify the associated records
retention schedule for the records in this system.
Under the USGS General Records Disposition Schedule 1301-01, the records are permanent
Federal records. Electronic transfer of the official copy to NARA is in 5-year blocks. Paper
copies of each record follow Schedule 1302-01 and are destroyed when no longer needed or, by
convention, after 3 years.
E. What are the procedures for disposition of the data at the end of the retention period?
Where are the procedures documented?
At the end of the retention period, files transferred to the MARS Administrator are reviewed
before disposition and, for historical purposes, all electronic files from these canvasses will
remain stored indefinitely on secure USGS servers as reference materials and also at NARA.
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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.
Any electronic files containing PII are password-protected and stored on firewall-protected
USGS secure HTTPS servers in a data center with restricted access. Software is regularly
updated to prevent system vulnerabilities. Only USGS NMIC staff are able to access the PII in
the Minerals Information Data System and Minerals Archival and Retrieval System, after
logging in with two-factor authentication. All staff members have undergone information
security and privacy awareness training.
Paper canvasses are returned in business reply envelopes that are not pre-printed with return
names and addresses on them. These paper forms are secured by USGS NMIC staff in locked
filing cabinets in locked rooms in a USGS secure facility (a USGS Federal ID badge is required
to enter the building without an escort). Respondents who choose to respond online are sent
email reminders to give them ample opportunity to complete the canvasses, if they wish to do so.
For individuals who have already completed canvasses, no “second-request” paper forms will be
sent and, for individuals replying via the Web interface, no reminder notices will be sent.
Minerals information data published are presented only in aggregate. There are no risks
associated with this reporting as no individual PII is ever included.
There is no risk to individual privacy because while the system contains personal contact
information, that information is only associated with the establishments for whom respondents
work (and, if they are company officers, may already be public record) rather than with
residences or personal cell phone numbers.
There is no risk to PII information in association with any Freedom of Information Act request
because the information disclosed in these canvasses is proprietary and therefore not subject to
that Act.

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 collection of basic non-sensitive PII is necessary for the USGS NMIC to meet its mission to
collect, store, evaluate, analyze, and publish aggregated information on the occurrence,
production, and consumption of nonfuel minerals and materials essential to the U.S. economy,
the national security, and protection of the environment. Without this PII, it would not be
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possible to maintain an engaged universe of respondents or to follow up with individuals for
further information about their submitted data.
‫܆‬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
‫܈‬No
E. How will the new data be verified for relevance and accuracy?
Not applicable. There are no new data being derived.
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.

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G. Who will have access to data in the system or electronic collection? Indicate all that apply.
‫܈‬Users
‫܈‬Contractors
‫܈‬Developers
‫܈‬System Administrator
‫܆‬Other: Describe
H. How is user access to data determined? Will users have access to all data or will access be
restricted?
Access permissions are restricted on a need-to-know basis. For example, USGS NMIC statistical
assistants are able to access PII associated only with canvasses to which they have been assigned.
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? Yes.
‫܆‬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. Explanation
Session information is captured as part of security and troubleshooting. Both the USGS and
online canvass software system can identify and monitor a user’s actions in the system through
server logs, which record log on attempts, user names, files accessed, dates and times of access,
and success or failure of actions taken. If an individual attempts to access a password-protected
file on a USGS server and fails, that action is logged. Any action or modification to components
of the system containing PII is automatically tracked in audit logs by recording the user name,
time, and date of the change.

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‫܆‬No
L. What kinds of information are collected as a function of the monitoring of individuals?
Dates and times for logons and logon attempts, user names, files accessed along with dates, and
times of access.
M. What controls will be used to prevent unauthorized monitoring?
Controls used to prevent unauthorized network monitoring include regular security scans,
security audit logs accessible only by the system administrators, the HTTPS protocol, and
storage of data only on servers housed in a secure and conditioned room and located behind
firewalls. Software is regularly updated to prevent system vulnerabilities. Access to servers is
limited physically and through security configurations for staff with a need-to-know function. If
unauthorized monitoring is identified, the issue is resolved promptly. A system of user names
and passwords based on the least permissions needed is used to limit access. All system
administration and development personnel are required to complete not only Federal Information
Security and Privacy Awareness training, but also Role Based Security Training and Role Based
Privacy Training.
Before users log on, they see a banner consenting to monitoring and warning of unauthorized
access. Only the system administrators have administrative privileges and least privileges are in
place on a need-to-know basis.
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.

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‫܈‬Password
‫܈‬Firewall
‫܈‬Encryption
‫܈‬User Identification
‫܆‬Biometrics
‫܆‬Intrusion Detection System (IDS)
‫܈‬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 Director of the USGS NMIC (Steven Fortier) serves as the Information System Owner and
the official responsible for oversight and management of the USGS NMIC security and privacy
controls, including the protection of information processed and stored by the USGS NMIC
program. The Information System Owner and the NMIC Privacy Act System Manager (Michael
Magyar) are responsible for ensuring adequate safeguards are implemented to protect individual
privacy in compliance with Federal laws and policies for the data managed and stored by the
USGS NMIC program. The System Manager is responsible for protecting the privacy rights of
the public for the information collected, maintained, and used in the system of records, and for
meeting the requirements of the Privacy Act, including providing adequate notice, making
decisions on Privacy Act requests for notification, access, and amendments, as well as addressing
complaints and requests for redress or amendment of records in consultation with the USGS
Privacy Officer according to the processes outlined in the USGS Guide for Handling Privacy Act
Records.

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Each canvass instrument provides a USGS NMIC address and phone number for questions
concerning completion of the form. Additionally, for canvasses which are included in the USGS
NMIC’s seven information collections, an email address is provided for comments regarding the
collection of information.
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?
As the Information System Owner, the Director of the USGS NMIC is responsible for oversight
and management of the USGS NMIC security and privacy controls and for ensuring, to the
greatest possible extent, that USGS NMIC data is properly managed and that all access to USGS
NMIC data has been granted in a secure and auditable manner. The Information System Owner
is also responsible for ensuring that any loss, compromise, unauthorized access, or disclosure of
PII is reported to the USGS Computer Security Incident Response Team (CSIRT) immediately
upon discovery in accordance with Federal policy and established procedures. All NMIC staff
members who become aware of such an event have the responsibility to inform their assigned
CSIRT Point of Contact.

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Section 5. Review and Approval
Information System Owner
Name: Steven Fortier
Title: Center Director
Bureau/Office: U.S. Geological Survey/National Minerals Information Center
Phone: (703) 648-4920
Email: sfortier@usgs.gov
Digitally signed by STEVEN
STEVEN
FORTIER
Date: 2019.03.22 11:59:11
FORTIER
-04'00'
Signature: __________________________
Date: __________________________

March 22, 2019

Information System Security Officer
Name: Morganai K. Kelley
Title: Information Technology Specialist
Bureau/Office: U.S. Geological Survey/National Minerals Information Center
Phone: (703) 648-4932
Email: mkkelley@usgs.gov
Digitally signed by
MORGANAI
MORGANAI KELLEY
Date: 2019.03.22 16:27:51
KELLEY
-04'00'
Signature: __________________________
Date: __________________________

March 22, 2019

Privacy Officer
Name: Alan Wiser
Title: Associate Privacy Officer (Acting)
Bureau/Office: U.S. Geological Survey/Office of Enterprise Information
Phone: (865) 322-0241
Email: awiser@usgs.gov
Digitally signed by ALAN
WISER
Date: 2019.03.26 08:05:01
-04'00'

March 26, 2019

Signature: __________________________ Date: __________________________
Reviewing Official
Name: Timothy S. Quinn
Title: Associate Chief Information Officer
Bureau/Office: U.S. Geological Survey/Office of Enterprise Information
Phone: (703) 648-6839
Email: tsquinn@usgs.gov
Digitally signed by TIMOTHY
TIMOTHY
QUINN
Date: 2019.04.12 15:57:34
QUINN
-04'00'
Signature: __________________________
Date: ___________________________

April 12, 2019

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