1028-NEW User Testing of Graphics PTA

DI-4012 (9/2018)
U.S. Department of the Interior

U.S. Department of the Interior
PRIVACY THRESHOLD ANALYSIS

The DI-4012 Privacy Threshold Analysis (PTA) form helps Department of the Interior (DOI) Privacy
Officials determine whether a new or revised Privacy Impact Assessment (PIA) is required in
accordance with the E-Government Act, OMB policy, and the DOI PIA Guide, and identify other related
compliance requirements for the collection, maintenance, storage, use, processing, sharing or disposal of
personally identifiable information (PII) and any activities that may have privacy implications or
otherwise impact individual privacy. See the DOI PTA Guide for guidance on completing the PTA.
PTAs must be completed and submitted to the appropriate Bureau/Office Associate Privacy Officer for
review and compliance determination. Bureau/Office Associate Privacy Officers are responsible for
overseeing and managing PTAs for their organizations.

Section 1. General Information
Question

Response

A. Project, Program or System Name:

Earthquake Science Center - User Testing of Graphics
for USGS Aftershock Forecasts

B. Bureau or Office:

U.S. Geological Survey/Natural Hazards Mission Area

C. Program or Office:

Assistant Director, Earthquake Science Center

D. Project/Program Manager or System
Owner:

Name: Shane Detweiler

Provide the name for the project, program or system for
the PTA, which may be an IT system, a project title,
program area, information collection, or other
technology.
Enter the bureau or office for the project, program or
system.
Provide the name of the program or office within the
bureau/office.

Enter the name, title, phone number, and email address
of the Program Manager or System Owner.

Title: Assistant Director, Earthquake Science Center
Phone: (650) 329-5192
E-mail: shane@usgs.gov

E. Routing Information:

Indicate whether this is a new or updated PTA and enter
the date the PTA was completed and submitted to the
APO for privacy determination.

_X__ New PTA
___ Updated PTA
Date of Submission: October 16, 2023

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Aftershock Forecast Product Survey

DI-4012 (9/2018)
U.S. Department of the Interior

Privacy Threshold Analysis

Section 2. Project, Program or System Summary
Question

Response

A. General description of the project, program
or system.

The USGS produces and releases forecasts for the
probability of earthquake aftershocks following large
Please provide a description of the project or program, earthquakes in the United States and abroad. These
including any background information to help
forecasts are used by numerous specialist users,
understand the project, program or system. If this is an including emergency managers, engineers, critical
updated PTA, please describe the changes that
infrastructure operators and other decision-makers.
triggered the update to this PTA. Please also indicate
These professionals use aftershock forecasts to make
if the PTA is being updated as part of its annual
decisions related to their tasks in earthquake response,
review.
rebuilding and recovery. Currently, USGS forecasts are
communicated using text and tables of numbers and
more visual products could help diverse audiences make
better use of forecasts (e.g., infographics, maps,
dashboards).
However, there are countless ways to design forecast
products, varying for example, the amount of
information conveyed, how colors are used, and which
aspect of the forecast is highlighted. We propose to test
a number of candidate forecast products with an online
survey of prospective forecast users. We will recruit
participants from a variety of professional groups and
career stages to understand how effective each candidate
product across these job-related characteristics. Our
ultimate goal is to verify that how we communicate our
forecasts facilitates their use by various user groups
within the population. This supports the National
Earthquake Hazards Reduction Program mission to
“Improve understanding, prediction, and monitoring of
natural hazards to inform decisions by civil authorities
and the public to plan for, manage, and mitigate the
effects of hazards events on people and property.”
Legal Authority - The National Earthquake Hazards
Reduction Program, which was first authorized in 1977,
Public Law 95–124, 42 U.S.C. 7701 et. seq.; and the
National Earthquake Hazards Reduction Program
Reauthorization Act of 2004, PL 108–360).
B. What is the technology or format used for
the Project, Program or System?

Select all types of technology or sources that apply for
the PII that will be collected from or maintained on
individuals, including methods such as a paper or

___ IT System
___ New Project or Program
_X__ Website
___ Web Form, Survey or Information Collection
___ Third-Party Website
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Aftershock Forecast Product Survey

DI-4012 (9/2018)
U.S. Department of the Interior

Privacy Threshold Analysis

electronic form or survey, website collection, social
media, or interviews over the phone or in person.

___
___
___
___
___
___

C. Does this project, program or system
involve a form, survey or information
collection?

_X__ Yes. Aftershock forecast product survey.
Participants complete an anonymized survey asking for
some occupation and demographic information. They
also complete tasks using different visual products
showing aftershock forecasts.

If this project, program or system uses a form, survey,
or other information collection, select “Yes” and
describe the specific method or format used. Include
titles and numbers or other identifying information.

D. Is Office of Management and Budget
(OMB) approval required for the collection?

OMB approval is required for certain collections of
information from ten or more members of the public
under the Paperwork Reduction Act.

Social Media Application
SharePoint
Mobile Application
Closed Circuit Television (CCTV)
Paper-based Collection
Other: Describe.

___ No
__X_ Yes. User Testing of Graphics for USGS
Aftershock Forecasts, OMB Control Number 1028NEW.
__ No

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Aftershock Forecast Product Survey

DI-4012 (9/2018)
U.S. Department of the Interior

Privacy Threshold Analysis

Section 3. Personally Identifiable Information
Question

Response

A. What categories of individuals does the
Project, Program or System collect, maintain,
store, use, process, disseminate or dispose of
PII? Please select all that apply.

_X__ Federal employees

Indicate whether the project, program or system
collects, contains, uses or disseminates PII
information about members of the general public,
Federal employees, contractors, or volunteers; or if
the system does not contain any information that is
identifiable to individuals (e.g., statistical,
geographic, financial).

B. What specific information about
individuals will be created, collected, used,
processed, maintained or disseminated?

Describe all the types of information about
individuals that will be created, collected, used,
processed, maintained, or disseminated. Include any
new information that may be created, such as an
analysis or report. Describe the purpose of that
collection or use of information.

C. Is information retrieved by a unique
identifier assigned to the individual?
Describe how information is retrieved for the
project, program or system.

_X_ Contractors
_X__ Members of the public
___ Other: Describe.
___ This project, program or system does not collect,
maintain or process PII

Though we do not collect names or email addresses,
participants will self-report their occupations, work roles
and demographic characteristics. PII collected from
respondents includes: gender, race/ethnicity, group
affiliation, education information, employment
information (workplace, job title, career stage).
The PII collected will allow us to understand whether
candidate products for aftershock forecasts are effective
for all groups. We will be able to estimate how effective
each product is for different professional settings, work
roles, and career stages. We will also be able to estimate
the effects of each product for different demographics
(gender, race/ethnicity, age). This will facilitate the
design and release of USGS forecast products that serve
the widest possible segment of the population.
___ Yes.
_X__ No Data is retrieved by unique identifiers assigned
to each survey participant by the survey platform. We
will summarize the effects of forecast graphics on users
in the survey, in an aggregated and anonymized way. The
aim will be to understand how these effects vary by job
characteristics and demographics. These summaries will
be published in scientific articles in an aggregated and
anonymized way. All data is kept for three years in a
secured folder on a password-protected USGS computer.
This follows the best practice of social science data
collection.

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Aftershock Forecast Product Survey

DI-4012 (9/2018)
U.S. Department of the Interior

Privacy Threshold Analysis

Question

Response

D. Is the information covered by a System of
Records Notice (SORN)?

___ Yes:

E. Does the Project, Program or System
collect or use Social Security Numbers
(SSNs)?

___ Yes

List the statutory and regulatory authority and
Executive Orders that authorizes the collection or
use of SSNs to meet an official program mission or
goal.

__X_ No

F. Does this Project, Program or System
receive or share PII with any other internal
DOI programs or systems?

___ Yes

Indicate whether PII will be shared with or from
internal organizations within DOI.

__X_ No. Only project staff have access to the survey
data using password-protected devices and online
channels.

G. Does this Project, Program or System
receive or share PII with any external (nonDOI) partners or systems?

___ Yes:

The Privacy Act requires that agencies publish a
SORN in the Federal Register upon the establishment
of a new, or modification of an existing, system of
_X__ No. Data is anonymized and aggregated. Records
records. For new SORNS being developed, select
are not subject to the Privacy Act of 1974.
“Yes” and provide a detailed explanation. For
existing systems of records, identify the applicable
government-wide, DOI, or bureau SORN(s) that
covers the system of records with the SORN identifier
and Federal Register citation.

Indicate whether PII will be shared with agencies or
organizations external to DOI. This could be other
federal, state and local government agencies, private
sector entities, contractors or other external third
parties. For Privacy Act systems, identify the
applicable SORN and describe how an accounting of
the disclosure is maintained.

_X__ No

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Aftershock Forecast Product Survey

DI-4012 (9/2018)
U.S. Department of the Interior

Privacy Threshold Analysis

Question

Response

H. Is this external sharing pursuant to new
or existing information sharing agreement
(Memorandum of Understanding,
Memorandum of Agreement, Letters of
Intent, etc.)?

___ Yes.

Information sharing agreements are generally
documented in Memorandums of Understanding,
Memorandums of Agreement, Letters of Intent, or
other documents, and outline the purpose, roles of
the parties, data ownership, authorized uses, policy,
scope, standards, procedures, practices, limitations
on re-dissemination, and safeguard requirements for
the transfer, maintenance and disposal of PII to
ensure all parties understand and adhere to the
mutually established terms of the agreement.

_X__ No

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Aftershock Forecast Product Survey

DI-4012 (9/2018)
U.S. Department of the Interior

Privacy Threshold Analysis

Section 4. PTA Review and Recommendation
Question

Response

Privacy Compliance Determination:

_X__ PTA is sufficient at this time
___ Privacy Impact Assessment (PIA) required
___ Adapted PIA required
___ System of Records Notice (SORN) required
___ Notice of Proposed Rulemaking/Final Rule required
___ Computer Matching Notice required
___ Computer Matching Agreement required
___ Privacy Act Statement required
_X__ Privacy Notice required
___ Specialized role-based training required
___ Information sharing agreement required
___ Further privacy compliance review is required
___ Refer for Security Compliance Assessment
_X__ Refer for Information Collection Clearance
Review
___ Refer for Records Review
___ Other: Describe.

Bureau Associate Privacy Officer Comments:

PTA is sufficient for the purpose of this survey. Personal
information collected is limited to demographic data (no
names, email addresses, location or other contact
information will be collected).

This determination is to be completed by the
Associate Privacy Officer (APO). See DOI PTA
Guide, DOI PIA Guide, related Federal laws and
policies, and Departmental guidance on privacy
requirements.

Provide comments or additional guidance on privacy
compliance requirements.

Completion of the survey and answering questions that
pertain to personal information is voluntary. There is no
impact to the individual for opting out of this survey.
Records collected are not retrieved by the use any
personal identifiers, hence they are not subject to the
provisions of the Privacy Act of 1974. The survey
should include a Privacy Notice (not a Privacy Act
Statement). Recommended language for the privacy
notice follows:
“The National Earthquake Hazards Reduction Program
(NEHRP), which was first authorized in 1977, Public
Law (PL) 95–124), and most recently reauthorized in
2004 (NEHRP Reauthorization Act of 2004, PL 108–
360) authorizes the USGS to collect this information.
The purpose of collecting demographic information is to
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DI-4012 (9/2018)
U.S. Department of the Interior

Aftershock Forecast Product Survey
Privacy Threshold Analysis

allow users to report on their work roles and
demographics to assess how aftershock forecast products
work for different groups. Responding to this survey and
providing your personal information is voluntary. You
are not required to provide any job-related or
demographic-related information in order to submit your
survey. However, if you do not provide this information,
we may not be able to use your survey responses in
understanding how forecast products affect different
subgroups. The USGS website privacy policies can be
reviewed at https://www.usgs.gov/office-of-thedirector/privacy-policies.”
If additional PII elements are collected or new
collections of PII are initiated, the system must be
reassessed to ensure the systems remains in compliance
with Federal privacy regulations and Departmental
policies.
Associate Privacy Officer Name:
Bureau/Office:

Cozenja M. Berry
U. S. Geological Survey

Date:

COZENJ
A BERRY

Digitally signed
by COZENJA
BERRY
Date: 2023.10.16
14:26:18 -04'00'

DOI Privacy Office Comments

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