Privacy Impact Assessment

Appendix A: DI-4001 PIA Form
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: Information Collection 1018-0094 (Under OMB’s Paperwork Reduction Act)
Date: October 23, 2017
Bureau/Office: U.S. Fish and Wildlife Service (FWS), Ecological Services
Bureau/Office Contact Title: Biologist, National ESA Recovery Permits Coordinator, ES SPITS
Liaison
Point of Contact
Email: Amy_Brisendine@fws.gov
First Name: Amy
M.I.: E
Last Name: Brisendine
Phone: 703-358-2005
Address Line 1: 5275 Leesburg Pike
Address Line 2:
City: Falls Church
State/Territory: VA
Zip: 22041

Section 1. General System Information
A. Is a full PIA required?
This is a threshold question. Indicate whether the system collects, maintains, uses or
disseminates information about members of the general public, Federal employees, contractors,
or volunteers. If the system does not contain any information that is identifiable to individual
(e.g., statistical, geographic, financial), complete all questions in this section and obtain
approval and required signatures in Section 5. The entire PIA must be completed for systems

Appendix A – DI-4001 PIA Form
that contain information identifiable to individuals, including employees, contractors and
volunteers.
‫ ܈‬Yes, information is collected from or maintained on
‫ ܈‬Members of the general public
‫ ܈‬Federal personnel and/or Federal contractors
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Note: There are two ways that information is maintained currently under this information
collection. In some cases, the Regional Offices receive and maintain paper copies of
applications, see https://www.fws.gov/forms/display.cfm?number1=200 (forms 3-200-54, 55,
and 56 for copies of these applications). Reports associated with those application forms are
also submitted; some of them may be submitted via email to the Regional permit staff
member rather than be submitted via paper copies.
Some of this information is maintained in the FWS Permitting System “SPITS”. For the
information maintained in SPITS, refer to the SPITS System Security Plan or the SPITS PIA.
‫܆‬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?
Describe the purpose of the system and how it relates to the program office’s and Department’s
mission. Include the context and background necessary to understand the purpose, the name of
the program office and the technology, project or collection being assessed.
This information collection is associated with applications for permits issued under Section 10 of
the Endangered Species Act (16 U.S.C. 1531 et seq.) (ESA) and the associated reporting as the
result of an issued permit. We use the information we collect through permit applications and
the associated reports to determine the eligibility of applicants for permits requested in
accordance with the ESA and their compliance with these permits. FWS regulations
implementing this Statute are in chapter I, subchapter B of title 50 of the Code of Federal
Regulations (CFR). These regulations stipulate general and specific requirements that when met
allow the Service to issue permits to authorize activities that are otherwise prohibited. This
information collection includes the following permit application forms and reporting
requirements associated with these application forms.
The applications are:
• FWS Form 3–200–54 (Enhancement of Survival Permits Associated with Safe Harbor
Agreements and Candidate Conservation Agreements with Assurances).
• FWS Form 3–200–55 (Scientific Purposes, Enhancement of Propagation or Survival Permits
(i.e., Recovery Permits) and Interstate Commerce Permits).
• FWS Form 3–200–56 (Incidental Take Permits Associated with a Habitat Conservation Plan).
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Appendix A – DI-4001 PIA Form

C. What is the legal authority?
A Federal law, Executive Order of the President (EO), or DOI requirement must authorize the
collection and maintenance of a system of records. For Privacy Act systems, the response should
reflect the information provided in the authority section of the Privacy Act system of records
notice.
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16 U.S.C. 1531 et seq.
50 CFR 13, 50 CFR 17
the Bald and Golden Eagle Protection Act (16 U.S.C. 668), 50 CFR 22
the Endangered Species Act (16 U.S.C. 1531-1544), 50 CFR 17
the Migratory Bird Treaty Act (16 U.S.C. 703-712), 50 CFR 21
the Marine Mammal Protection Act (16 U.S.C. 1361, et seq.), 50 CFR 18
the Wild Bird Conservation Act (16 U.S.C. 4901-4916), 50 CFR 15
the Lacey Act: Injurious Wildlife (18 U.S.C. 42), 50 CFR 16
Convention on International Trade in Endangered Species of Wild Fauna and Flora
(TIAS 8249), 50 CFR 23
Ɣ General Provisions, 50 CFR 10; General Permit Procedures, 50 CFR 13
Ɣ Wildlife Provisions (Import/export/transport), 50 CFR 14
D. Why is this PIA being completed or modified?
Indicate why the PIA is being conducted. For example, the system is being significantly modified
or two systems are being merged together.
‫ ܆‬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: Renewal of existing system and addition of information collection reporting forms
associated with permits for activities with endangered and threatened species under Section 10 of
the ESA.
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 UUI Code: 010000000465, SSP Name: FWS System Security Plan (SSP) for Service Permit Issuance and
Tracking System, dated July 12, 2017.
‫܆‬No
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Appendix A – DI-4001 PIA Form

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Appendix A – DI-4001 PIA Form
F. List all minor applications or subsystems that are hosted on this system and covered under
this privacy impact assessment.
Enter “None” if no subsystems or applications are hosted. For General Support Systems (GSS)
be sure to include all hosted major applications, minor applications, or other subsystems, and
describe the purposes and types of PII if any. Privacy risks must be identified and adequately
addressed for each hosted application or subsystem identified in the GSS PIA. A separate PIA
should be conducted for each hosted application or subsystem that contains PII to ensure
privacy implications are assessed. In any case, the GSS PIA must identify all hosted
applications, describe the relationship, and reference or append the PIAs conducted for the
hosted applications. The GSS PIA and associated PIAs must be reviewed and approved by all
officials as appropriate; and all related PIAs, SORNs and supporting artifacts must be entered
into CSAM.
Subsystem Name

Purpose

Contains PII
(Yes/No)

Describe
If Yes, provide a
description.

None

G. Does this information system or electronic collection require a published Privacy Act
System of Records Notice (SORN)?
A Privacy Act SORN is required if the information system or electronic collection contains
information about individuals that is retrieved by name or other unique identifier. Provide the
DOI or Government-wide Privacy Act SORN identifier and ensure it is entered in CSAM for this
system. For new SORNS being developed, select "Yes" and provide a detailed explanation.
Contact your Bureau Privacy Officer for assistance identifying the appropriate Privacy Act
SORN(s).
‫ <܈‬HVList Privacy Act SORN Identifier(s) Permits System, FWS-21
‫܆‬1 R
H. Does this information system or electronic collection require an OMB Control Number?
The Paperwork Reduction Act requires an OMB Control Number for certain collections of
information from ten or more members of the public. If information is collected from members of
the public, contact your Bureau Information Collection Clearance Officer for assistance to
determine whether you need to obtain OMB approval. Please include all OMB Control Numbers
and Expiration Dates that are applicable.
‫ <܈‬HVDescribe OMB Collection Number 1018-0094
‫܆‬1 R

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Appendix A – DI-4001 PIA Form

Section 2. Summary of System Data
A. What PII will be collected? Indicate all that apply.
Identify all the categories of PII that will be collected, stored, used, maintained or disseminated.
Describe any additional categories of PII not already indicated, as well as any new information
that is created (for example, an analysis or report), and describe how this is done and the
purpose of that information.
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B. What is the source for the PII collected? Indicate all that apply.
Include all sources of PII collected. For example, information may be collected directly from an
individual through a written form, website collection, or through interviews over the phone or in
person. Information may also come from agency officials and employees, agency records, from a
computer readable extract from another system, or may be created within the system itself. If
information is being collected through an interface with other systems, commercial data
aggregators, or other agencies, list the source(s) and explain why information from sources
other than the individual is required.
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Appendix A – DI-4001 PIA Form
C. How will the information be collected? Indicate all that apply.
Indicate all the formats or methods for collecting PII that will be used. If the system receives
information from another system, such as a transfer of financial information or response to a
background check, describe the system from which the information originates, how the
information is used, and how the systems interface.
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D. What is the intended use of the PII collected?
Describe the intended uses of the PII collected and maintained in the system and provide a
detailed explanation on how the data will be used. The intended uses must be relevant to the
purpose of the system; for Privacy Act systems, uses must be consistent with the published system
of records notice.
The information collected is to establish and verify an applicant’s eligibility for a permit to
conduct activities with protected wildlife and plants under the ESA. It will also be used to
provide the public and permittees with permit-related information; to monitor and track
applications, permits and associated reports as required under the ESA and the associated
regulations and to monitor the permitted activities.
E. With whom will the PII be shared, both within DOI and outside DOI? Indicate all that
apply.
Indicate all the parties, both internal and external to DOI, with whom PII will be shared. Identify
other DOI offices with assigned roles and responsibilities within the system, or with whom
information is shared, and describe how and why information is shared. Also, identify other
federal, state and local government agencies, private sector entities, contractors or other
external third parties with whom information is shared; and describe any routine information
sharing conducted with these external agencies or parties, and how such external sharing is
compatible with the original purpose of the collection of the information. If sharing is pursuant
to a Computer Matching Agreement, provide an explanation. For Privacy Act systems, describe
how an accounting for the disclosure is maintained.
‫܈‬: LWKLQWKH% XUHDX2 IILFHDescribe the bureau/office and how the data will be used.
Within FWS; users of SPITS will include biologists, permit program managers, system
managers, attorneys, and other employees of the U.S. Fish and Wildlife Service who have a
need to know the information contained in the system to carry out their duties, in accordance
with Privacy Act requirements.

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Appendix A – DI-4001 PIA Form
‫܈‬2 WKHU% XUHDXV2 IILFHVDescribe the bureau/office and how the data will be used.
There may be a need to share information, in accordance with Privacy Act requirements, with
other bureaus/offices for the purpose of obtaining scientific, management, and legal advice
relevant to making a decision on an application for a permit.
‫܈‬2 WKHU)HGHUDO$ JHQFLHVDescribe the federal agency and how the data will be used.
There may be a need to share information, in accordance with Privacy Act requirements, with
other federal agencies for the purpose of obtaining scientific, management, and legal advice
relevant to making a decision on an application for a permit. As outlined in the Privacy Act
System of Records, disclosures outside the DOI may be made under the routine uses without
the consent of the individual if the disclosure is compatible with the purposes for which the
record was collected.
There may be a need to share information, in accordance with Privacy Act requirements,
to provide addresses obtained from the Internal Revenue Service to debt collection
agencies for purposes of locating a debtor to collect or compromise a Federal claim
against the debtor, or to consumer reporting agencies to prepare a commercial credit
report for use by the DOI.
‫܈‬7 ULEDO6WDWHRU/RFDO$ JHQFLHVDescribe the Tribal, state or local agencies and how the data
will be used.
There may be a need to share information, in accordance with Privacy Act requirements, with
Tribal, State or Local Agencies for the purpose of obtaining scientific, management, and
legal advice relevant to making a decision on an application for a permit. As outlined in the
Privacy Act System of Records, disclosures outside the DOI may be made under the routine
uses without the consent of the individual if the disclosure is compatible with the purposes
for which the record was collected.
‫ &܈‬RQWUDFWRUDescribe the contractor and how the data will be used.
There may be a need to share information, in accordance with Privacy Act requirements, with
contractors, experts, or consultants employed by the FWS when necessary to accomplish a
FWS function related to this system of records.
‫܈‬2 WKHU7 KLUG3DUW\6RXUFHV: Describe the third party source and how the data will be used.
There may be a need to share information, in accordance with Privacy Act
requirements, with congressional offices in response to an inquiry to the office by the
individual to whom the record pertains; with the General Accounting Office or
Congress when the information is required for the evaluation of the permit programs.

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Appendix A – DI-4001 PIA Form

F. Do individuals have the opportunity to decline to provide information or to consent to the
specific uses of their PII?
If “Yes,” describe the method by which individuals can decline to provide information or how
individuals consent to specific uses. If “No,” state the reason why individuals cannot object or
why individuals cannot give or withhold their consent.
‫ <܈‬HVDescribe the method by which individuals can decline to provide information or how
individuals consent to specific uses.
Required application fields are identified.
A Privacy Act Statement is posted on each form. By signing the application, an applicant
acknowledges that they have either read or are familiar with the associated information, to
include the associated consent. This is the responsibility of the applicant.
The on-line application provides a hyperlink to the site's privacy policy. Continuing with the
application process, an applicant acknowledges that they have either read or are familiar with the
associated information, to include the associated consent. This is the responsibility of the
applicant. Submission of requested information is required in order to process applications for
permits authorized under the laws, treaties, and regulations identified on the form. Failure to
provide all requested information may be sufficient cause for the U.S. Fish and Wildlife Service
to deny the request. All information collections have valid Office of Management and Budget
(OMB) control numbers displayed.
‫܆‬1 RState 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.
Describe how notice is provided to the individual about the information collected, the right to
consent to uses of the information, and the right to decline to provide information. For example,
privacy notice to individuals may include Privacy Act Statements, posted Privacy Notices,
privacy policy, and published SORNs and PIAs. Describe each format used and, if possible,
provide a copy of the Privacy Act Statement, Privacy Notice, or a link to the applicable privacy
policy, procedure, PIA or referenced SORN Federal Register citation (e.g., XX FR XXXX, Date)
for review. Also describe any Privacy Act exemptions that may apply and reference the Final
Rule published in the Code of Federal Regulations (43 CFR Part 2).
‫܈‬3ULYDF\$ FW6WDWHP HQWDescribe each applicable format.
The following Privacy Act Statement is posted on both paper and electronic forms:
9

Appendix A – DI-4001 PIA Form

Privacy Act Statement
Authority: The information requested is authorized by the following: the Bald and Golden
Eagle Protection Act (16 U.S.C. 668), 50 CFR 22; the Endangered Species Act (16 U.S.C.
1531-1544), 50 CFR 17; the Migratory Bird Treaty Act (16 U.S.C. 703-712), 50 CFR 21; the
Marine Mammal Protection Act (16 U.S.C. 1361, et seq.), 50 CFR 18; the Wild Bird
Conservation Act (16 U.S.C. 4901-4916), 50 CFR 15; the Lacey Act: Injurious Wildlife (18
U.S.C. 42), 50 CFR 16; Convention on International Trade in Endangered Species of Wild
Fauna and Flora (TIAS 8249), 50 CFR 23; General Provisions, 50 CFR 10; General Permit
Procedures, 50 CFR 13; and Wildlife Provisions (Import/export/transport), 50 CFR 14.
Purpose: The collection of contact information is to verify the individual has an eligible
permit to conduct activities which affect protected species. This helps FWS monitor and
report on protected species and assess the impact of permitted activities on the conservation
and management of species and their habitats.
Routine Uses: The collected information may be used to verify an applicant’s eligibility for
a permit to conduct activities with protected wildlife; to provide the public and the permittees
with permit related information; to monitor activities under a permit; to analyze data and
produce reports to monitor the use of protected wildlife; to assess the impact of permitted
activities on the conservation and management of protected species and their habitats; and to
evaluate the effectiveness of the permit programs. More information about routine uses can
be found in the System of Records Notice, Permits System, FWS-21.
Disclosure: The information requested in this form is voluntary. However, submission of
requested information is required to process applications for permits authorized under the
listed authorities. Failure to provide the requested information may be sufficient cause for
the U.S. Fish & Wildlife Service to deny the request.
‫܆‬3ULYDF\1 RWLFHDescribe each applicable format.
‫܆‬2 WKHUDescribe each applicable format.
‫܆‬1 RQH
H. How will the data be retrieved? List the identifiers that will be used to retrieve information
(e.g., name, case number, etc.).
Describe how data is retrieved from the system. For example, is data retrieved manually or via
reports generated automatically? Are specific retrieval identifiers used or does the system use
key word searches? Be sure to list the identifiers that will be used to retrieve data (e.g., name,
case number, Tribal Identification Number, subject matter, date, etc.).
Data will be retrieved via the following identifiers:

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Appendix A – DI-4001 PIA Form
(a) Permit number; and
(b) Applicant information
Electronic records may be searched on or retrieved by any data field. The method of retrieval is
dependent upon the report or purpose of usage and whether a need to know exists. Records are
retrieved for several purposes, such as processing a permit application, verifying an individual
has a permit to conduct an activity with a protected species, and tracking whether permit reports
have been submitted.
I. Will reports be produced on individuals?
Indicate whether reports will be produced on individuals. Provide an explanation on the purpose
of the reports generated, how the reports will be used, what data will be included in the reports,
who the reports will be shared with, and who will have access to the reports. Many systems have
features that allow reports to be generated on data in the system or on user actions within the
system.
‫ <܈‬HVWhat will be the use of these reports? Who will have access to them?
Yes. SPITS collects the following information that is identifiable to the individual (if they apply
as an individual rather than a business/government agency): Full name, current address, date of
birth, telephone number, email address (optional, unless applying online), country, county,
province (if applicable), and qualifications of the applicant (such as education or experience
provided to support an applicant's ability to conduct a requested activity). Records include
documents that reflect (1) the general administrative processing of the application and permit; (2)
public review required by certain laws, including comments received; (3) our consultation with
subject matter experts, including but not limited to experts within the FWS and in State, Federal,
local, and foreign agencies, if applicable, for the purpose of obtaining scientific, management,
and legal advice; (4) our evaluation of information to make a decision on an application for a
permit, and to monitor activities that occur under the permit; (5) occupation; (6) location, types,
purpose of proposed activity; and (7) reports of activities conducted under an issued permit.
‫܆‬1 R

Section 3. Attributes of System Data
A. How will data collected from sources other than DOI records be verified for accuracy?
Data accuracy and reliability are important requirements in implementing the Privacy Act which
requires that agencies only maintain data that is accurate, relevant, timely, and complete about
individuals. The information has to have some form of verification for accuracy due to the
Privacy Act provisions that require that only relevant and accurate records should be collected
and maintained about individuals.
Data is collected from the individual; it is not collected from any other source.
B. How will data be checked for completeness?
Describe the procedures to ensure data is checked for completeness. To the extent practical, PII
should be checked for completeness to ensure accuracy within the context of the use of the data.
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Appendix A – DI-4001 PIA Form
Applicants (individuals and businesses) are required to maintain up-to-date information for the
life of the permit. Applicants are also required to verify and update their profile when applying
for new or additional permits. The information is received from individual permit applicants
and is only as reliable and current as that provided by the applicant.
C. What procedures are taken to ensure the data is current? Identify the process or name the
document (e.g., data models).
Describe the steps or procedures taken to ensure the data is current and not out-of-date. Where
are they documented? For example, are they outlined in standard operating procedures or data
models? Data that is not current also affects the relevancy and accuracy of the data. This is
particularly true with data warehousing. A data warehouse is a repository of an organization's
electronically stored data and is designed to facilitate reporting and analysis. A data warehouse
may contain data that is not current which would cause a domino effect throughout the data
stores.
Applicants (individuals and businesses) are required to maintain up-to-date information for the
life of the permit. Applicants are also required to verify and update their profile when applying
for new or additional permits. The information is received from individual permit applicants
and is only as reliable and current as that provided by the applicant.
D. What are the retention periods for data in the system? Identify the associated records
retention schedule for the records in this system.
Identify all applicable records retention schedules or explain at what development stage the
proposed records retention schedule is in. Information system owners must consult with
Bureau/Office Records Officers early in the development process to ensure that appropriate
retention and destruction schedules are identified, or to develop a records retention schedule for
the records contained in the information system. Be sure to include applicable records retention
schedules for different types of information or subsets of information and describe if subsets of
information are deleted and how they are deleted.
The retention periods of data/records in the system are covered by FWS Records Schedule
PERM 201, Permit Tracking Database (N1-022-05-01/108).
E. What are the procedures for disposition of the data at the end of the retention period?
Where are the procedures documented?
Describe policies and procedures for how PII that is no longer relevant and necessary is purged.
This may be obtained from records retention schedules, the Departmental Manual, bureau/office
records management policies, or standard operating procedures.
Procedures for the disposition of data are in accordance with disposal procedures identified in
Federal NARA statutes, including the Federal Records Act (44 U.S.C. Chapters 21, 29, 31, 33),
NARA regulations (36 CFR Chapter XII Subchapter B), the Departmental Manual (385
DM8.8), FWS guidance: Records Management Part Electronic Records, 282 FW 4, Electronic
Records and 283 FW 1, Records Management; Records Disposition, and IRM Bulletin No
1001-004.
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Appendix A – DI-4001 PIA Form

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.
Describe and analyze the major potential privacy risks identified and discuss the overall impact
on the privacy of employees or individuals. Include a description of how the program office has
taken steps to protect individual privacy and mitigate the privacy risks. Provide an example of
how information is handled at each stage of the information life cycle. Also discuss privacy risks
associated with the sharing of information outside of the Department and how those risks were
mitigated. Discuss whether access controls have been implemented and whether audit logs are
regularly reviewed to ensure appropriate sharing outside of the Department.
In accordance with OMB Circulars A-123, and A-130 Appendix III, the data in this collection
will have controls in place to prevent the potential misuse of the data by those having access to
the data. Such security measures and controls consist of: passwords, user identification, database
permissions and software controls. Each user is required to complete the annual Information
Management and Technology (IMT) Awareness Training, in addition to the Role Based Privacy
Training (RBPT) for those with additional privacy responsibilities.

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?
Describe how the use of the system or information collection relates to the purpose of the
underlying mission of the organization. Is the information directly relevant and necessary to
accomplish the specific purposes of the system? For Privacy Act systems, the Privacy Act at 5
U.S.C. 552a(e)(1) requires that each agency shall maintain in its records only such information
about an individual that is relevant and necessary to accomplish an agency purpose required by
statute or by executive order of the President.
‫ <܈‬HVExplanation The information collected is to establish and verify an applicant's eligibility
for a permit to conduct activities under Section 10 of the ESA.
‫܆‬1 R
B. Does this system or electronic collection derive new data or create previously unavailable
data about an individual through data aggregation?
Does the technology create new data or conduct electronic searches, queries, or analysis in an
electronic database to discover or locate a predictive pattern or anomaly? Is data aggregated in
a way that will permit system users to easily draw new conclusions or inferences about an
individual? Electronic systems can sift through large amounts of information in response to user
inquiry or programmed functions, or perform complex analytical tasks resulting in other types of
data, matching, relational or pattern analysis, or reporting. Discuss the results generated by
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Appendix A – DI-4001 PIA Form
these uses and include an explanation on how the results are generated, whether by the
information system or manually by authorized personnel. Explain the purpose and what will be
done with the newly derived data. Derived data is obtained from a source for one purpose and
then used to deduce/infer a separate and distinct bit of information to form additional
information that is usually different from the original source information. Aggregation of data is
the taking of various data elements and turning it into a composite of all the data to form another
type of data, e.g., tables or data arrays.
‫ <܆‬HVExplain what risks are introduced by this data aggregation and how these risks will be
mitigated.
‫܈‬1 R
C. Will the new data be placed in the individual’s record?
Will the results or new data be placed in individuals’ records? Explain in detail the purpose of
creating the new data, how it will be used, by whom it will be used, with whom it will be shared,
and any resulting effect on individuals.
‫ <܆‬HVExplanation
‫܈‬1 R
D. Can the system make determinations about individuals that would not be possible without
the new data?
Will the new data be used to make determinations about individuals or will it have any other
effect on the subject individuals? Explain in detail the purpose of creating the new data, how it
will be used, by whom it will be used, with whom it will be shared, and any resulting effect on
individuals.
‫ <܆‬Hs: Explanation
‫܈‬1 R
E. How will the new data be verified for relevance and accuracy?
Explain how accuracy of the new data is ensured. Describe the process used for checking
accuracy. Also explain why the system does not check for accuracy. Describe any technical
solutions, policies, or procedures focused on improving data accuracy and integrity of the
project.
No new data is derived from this system.
F. Are the data or the processes being consolidated?
If the data is being consolidated, that is, combined or united into one system, application, or
process, then the existing controls should remain to protect the data. If needed, strengthen the
control(s) to ensure that the data is not inappropriately accessed or used by unauthorized
14

Appendix A – DI-4001 PIA Form
individuals. Minimum sets of controls are outlined in OMB Circular A-130, Appendix III. The
DOI Security Control Standards (based on NIST SP 800-53 and FedRAMP) describe the
practice of identification and authentication that is a technical measure that prevents
unauthorized people or processes from accessing data. The IT Security A&A process requires a
system security plan outlining the implementation of the technical controls associated with
identification and authentication.
‫ <܆‬HVGDWDLVEHLQJFRQVROLGDWHGDescribe the controls that are in place to protect the data
from unauthorized access or use.
‫ <܆‬HVSURFHVVHVDUHEHLQJFRQVROLGDWHGDescribe the controls that are in place to protect the
data from unauthorized access or use.
‫܈‬1 RGDWDRUSURFHVVHVDUHQRWEHLQJconsolidated.
G. Who will have access to data in the system or electronic collection? Indicate all that apply.
Describe the process by which an individual receives access to the information within the
system. Explain what roles these individuals have and their level of access. If remote access to
the system is allowed or external storage or communication devices interact with the system,
describe any measures in place to secure the transmission and storage of data (e.g., encryption
and/or two-factor authentication). Do users have “read-only” access or are they authorized to
make changes in the system? Also consider “other” users who may not be as obvious, such as
the GAO or the Inspector General, database administrators, website administrators or system
administrators. Also include those listed in the Privacy Act system of records notice under the
“Routine Uses” section when a Privacy Act system of records notice is required.
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Users of the system (paper and electronic records) will include biologists, permit program
managers, system managers, attorneys, and other employees of the U.S. Fish and Wildlife
Service who have a need to know the information contained in the system to carry out their
duties. The System Administrator and Programmer will have access to the data in the system to
carry out their responsibilities. Other parties where data may be shared with are outlined in the
Permits System of Records Notice, FWS-21. Disclosures outside the DOI may be made under
the routine uses without the consent of the individual if the disclosure is compatible with the
purposes for which the record was collected.
1) To subject matter experts, including but not limited to experts in State, Federal, local, and
foreign agencies, for the purpose of obtaining scientific, management, and legal advice
relevant to making a decision on an application for a permit.
2) To the public as a result of publishing Federal Register notices announcing the receipt of
permit applications for public comment or notice of the decision on a permit application;
15

Appendix A – DI-4001 PIA Form
(however, redactions in accordance with the Privacy Act will be made prior to providing
any information to the public).
3) To Federal, State, local or foreign wildlife and plant agencies for the exchange of
information on permits granted or denied to assure compliance with all applicable
permitting requirements.
4) To Captive-bred Wildlife registrants under the Endangered Species Act for the exchange
of captive-born, non-native endangered and threatened species, and to share information
on new developments and techniques of captive breeding of these protected species.
5) To Federal, State, and local authorities who need to know who is permitted to receive and
rehabilitate sick, orphaned, and injured birds under the Migratory Bird Treaty Act and the
Bald and Golden Eagle Protection Act; federally permitted rehabilitators; individuals
seeking a permitted rehabilitator with whom to place a sick, injured, or orphaned bird in
need of care; and licensed veterinarians who receive, treat, or diagnose sick, orphaned,
and injured birds;
6) To the Department of Justice (DOJ), or a court, adjudicative, or other administrative body
or to a party in litigation before a court or adjudicative or administrative body, when:
a) One of the following is a party to the proceeding or has an interest in the proceeding:
(i)
The DOI or any component of the DOI;
(ii)
Any DOI employee acting in his or her official capacity;
(iii) Any DOI employee acting in his or her individual capacity where the DOI or
DOJ has agreed to represent the employee; or
(iv)
The United States, when DOI determines that DOI is likely to be affected by
the proceeding; and
b) The DOI deems the disclosure to be:
(i)
Relevant and necessary to the proceedings; and
(ii)
Compatible with the purpose for which we compiled the information.
7) To the appropriate Federal, State, tribal, local, or foreign governmental agency that is
responsible for investigating, prosecuting, enforcing, or implementing a statute, rule,
regulation, order, or license, when we become aware of an indication of a violation or
potential violation of the statute, rule, regulation, order, or license, or when we need to
monitor activities conducted under a permit or evaluate regulated wildlife and plant trade
and use.
8) To a congressional office in response to an inquiry to the office by the individual to whom
the record pertains.
9) To the General Accounting Office or Congress when the information is required for the
evaluation of the permit programs.
10) To a contractor, expert, or consultant employed by the FWS when necessary to
accomplish a FWS function related to this system of records.
11) To provide addresses obtained from the Internal Revenue Service to debt collection
agencies for purposes of locating a debtor to collect or compromise a Federal claim
against the debtor or to consumer reporting agencies to prepare a commercial credit report
for use by the DOI.

16

Appendix A – DI-4001 PIA Form
H. How is user access to data determined? Will users have access to all data or will access be
restricted?
Users are normally only given access to certain data on a “need-to-know” basis for information
that is needed to perform an official function. Care should be given to avoid “open systems”
where all information can be viewed by all users. System administrators may be afforded access
to all of the data depending upon the system or application. However, access should be
restricted when users may not need to have access to all the data. For more guidance on this,
refer to the Federal Information Processing Standards [FIPS] Publications in the authorities
section. The DOI Security Control Standards (based on NIST SP 800-53 and FedRAMP)
describe the practice of applying logical access controls, which are system-based means by
which the ability is explicitly enabled or restricted. It is the responsibility of information system
owners to ensure no unauthorized access is occurring.
Access to the data is determined by the official role the individual is filling as determined by that
individual's supervisor, coupled with a demonstrated need-to-know in accordance with 375 DM
19. The system manager has read and understands the Department's guidance as identified. All
staff using the permit database are required to log out of the password protected file server and
computer at the end of the day. The system has a log on disclaimer on the use of records.
I. Are contractors involved with the design and/or development of the system, or will they be
involved with the maintenance of the system?
‫ <܈‬HVWere Privacy Act contract clauses included in their contracts and other regulatory
measures addressed?
The required Privacy Act clauses 52.224.1 and 52.224.2 were included in their contracts.
‫܆‬1 R
J. Is the system using technologies in ways that the DOI has not previously employed (e.g.,
monitoring software, SmartCards or Caller ID)?
Are there new technologies used to monitor activities of the individual in any way? Access logs
may already be used to track the actions of users of a system. Describe any new software being
used, such as keystroke monitoring.
‫ <܆‬HVExplanation
‫܈‬1 R
K. Will this system provide the capability to identify, locate and monitor individuals?
Most systems now provide the capability to identify and monitor individual’s actions in a system
(e.g., audit trail systems/ applications). For example, audit logs may record username, time and
date of logon, files accessed, or other user actions. Check system security procedures for
information to respond to this question.
‫ <܈‬HVExplanation
17

Appendix A – DI-4001 PIA Form
SPITS is able to identify and monitor SPITS account users through its audit logs. The SPITS
AU-02(3) control states the following, “SPITS maintains an internal audit log. The log
records login time, end time, IP address, program module, and account name. Developer uses
Microsoft SQL Server Log to monitor database activities daily. Developer also uses
Windows Operating system Event logs to monitor access daily. SPITS logon process allows
5 failed attempts. After that Program Coordinator must reset the locked account. SPITS
automatically de-activates accounts that have had no activity in the last 60 days. An email is
generated and sent to the Program Coordinator.”
‫܆‬1 R
L. What kinds of information are collected as a function of the monitoring of individuals?
The DOI Security Control Standards (based on NIST SP 800-53 and FedRAMP) detail how audit
logs should be used for DOI systems. Provide what audit activities are maintained to record
system and user activity including invalid logon attempts and access to data. The IT Security
A&A process requires a system security plan outlining the implementation of the technical
controls associated with identification and authentication of users to the system. Examples of
information collected may include username, logon date, number of failed logon attempts, files
accessed, and other user actions on the system.
SPITS audit logs capture and collect Login time, end time, IP address, program module used,
account name, and number of failed login attempts.
M. What controls will be used to prevent unauthorized monitoring?
Certain laws and regulations require monitoring for authorized reasons by authorized
employees. Describe the controls in place to ensure that only authorized personnel can monitor
use of the system. For example, business rules, internal instructions, posting Privacy Act
Warning Notices address access controls, in addition to audit logs and least privileges. It is the
responsibility of information system owners and system managers to ensure no unauthorized
monitoring is occurring.
The principle of least privilege, log monitoring, administrative account control, effective account
access controls (including account provisioning, account review, and account removal) are all
used to prevent unauthorized monitoring.
N. How will the PII be secured?
Discuss how each privacy risk identified was mitigated. Specific risks may be inherent in the
sources or methods of collection, or the quality or quantity of information included. Describe
auditing features, access controls, and other possible technical and policy safeguards such as
information sharing protocols, or special access restrictions. Do the audit features include the
ability to identify specific records each user can access? How is the system audited? For
example, does the system perform self audits, or is the system subject to third party audits or
reviews by the Office of Inspector General or Government Accountability Office (GAO). Does
the IT system have automated tools to indicate when information is inappropriately accessed,

18

Appendix A – DI-4001 PIA Form
retrieved or misused? Describe what privacy and security training is provided to system users.
Examples of controls include rules of behavior, encryption, secured facilities, firewalls, etc.
(1) Physical Controls. Indicate all that apply.
‫܈‬6HFXULW\* XDUGV
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(2) Technical Controls. Indicate all that apply.
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‫܆‬2 WKHUDescribe
(3) Administrative Controls. Indicate all that apply.
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‫܈‬0 DQGDWRU\6HFXULW\3ULYDF\DQG5 HFRUGV0 DQDJHP HQW7 UDLQLQJ
‫܆‬2 WKHUDescribe

19

Appendix A – DI-4001 PIA Form
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.
Although all employees who have access to information in a Privacy Act system have
responsibility for protecting and safeguarding that information, often the information system
owner and Privacy Act system manager share the responsibility for protecting the privacy rights
of employees and the public. For Privacy Act responsibilities refer to 383 Department Manual
Chapters 1-13 and DOI Privacy Act regulations at 43 CFR Part 2. Also, describe how Privacy
Act complaints and requests for redress or amendment of records are addressed.
The FWS Privacy Officer, in conjunction with the 1018-0094 collection coordinators, are
responsible for protecting the privacy rights of employees. The FWS Associate Privacy Officer
receives complaints and request for the amendment of records.
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?
This may be the information system owner and Privacy Act system manager, or may be another
individual with designated responsibility, or otherwise stipulated by contract or in language
contained in an agreement (e.g., Head of the Bureau or Program Manager). There may be
multiple responsible officials. Consider a system that contains several databases from different
program offices; there may be one information system owner and several Privacy Act system
managers. Also, describe who is responsible for reporting the loss, compromise, unauthorized
disclosure, or unauthorized access of privacy protected information.
The Information System Owner and Privacy Officer are responsible for assuring proper use of
employee data. Loss, compromise, unauthorized disclosure or unauthorized access of PII is
considered a “security incident” that must be reported to DOI-CIRC within one hour of
discovery.

20

Appendix A – DI-4001 PIA Form

Section 5. Review and Approval
PIAs for Bureau or Office level systems must be signed by the designated Information System Owner,
Information System Security Officer, and Bureau Privacy Officer, and approved by the Bureau Assistant
Director for Information Resources as the Reviewing Official. Department-wide PIAs must be signed by
the designated Information System Owner, Information System Security Officer, and Departmental
Privacy Officer, and approved by the DOI Chief Information Officer/Senior Agency Official for Privacy
as the Reviewing Official.
Information System Owner
Email: amy_brisendine@fws.gov
First Name: Amy
Last Name: Brisendine
Bureau/Agency:
g y U.S. Fish & Wildlife Service
Signature:
e:

Title: Biologist
Phone: 703-358-2005

Amy Brisendine

Information System Security Officer
Email: philip_olson@fws.gov
First Name: Philip
Last Name: Olson
Bureau/Agency: U.S. Fish & Wildlife Service
Signature:

Title: SPITS ISSO
Phone: 303-275-2366

signed by PHILIP OLSON
PHILIP OLSON Digitally
Date: 2017.10.31 08:02:35 -06'00'

Privacy Officer
Email: katherine_gonyea@fws.gov
First Name: Katherine
Last Name: Gonyea
Bureau/Agency: U.S. Fish & Wildlife Service
Signature:

Title: Acting, Privacy Officer
Phone: 703-358-2244

signed by KATHERINE GONYEA
KATHERINE GONYEA Digitally
Date: 2017.10.31 11:18:31 -04'00'

Reviewing Official
Email: kenneth_taylor@fws.gov
First Name: Kenneth
Last Name: Taylor
Bureau/Agency: U.S. Fish & Wildlife Service
Signature:

KENNETH TAYLOR

Title: Assistant Director of Information Resources
Phone: 703-358-1968
Digitally signed by KENNETH TAYLOR
Date: 2017.11.16 10:19:11 -05'00'

21