Privacy Threshold Analysis

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

PRIVACY THRESHOLD ANALYSIS (PTA)
This form serves as the official determination by the DHS Privacy Office to
identify the privacy compliance requirements for all Departmental uses of
personally identifiable information (PII).
A Privacy Threshold Analysis (PTA) serves as the document used to identify
information technology (IT) systems, information collections/forms, technologies,
rulemakings, programs, information sharing arrangements, or pilot projects that involve
PII and other activities that otherwise impact the privacy of individuals as determined by
the Chief Privacy Officer, pursuant to Section 222 of the Homeland Security Act, and to
assess whether there is a need for additional Privacy Compliance Documentation. A PTA
includes a general description of the IT system, information collection, form, technology,
rulemaking, program, pilot project, information sharing arrangement, or other Department
activity and describes what PII is collected (and from whom) and how that information is
used and managed.
Please complete the attached Privacy Threshold Analysis and submit it to your
component Privacy Office. After review by your component Privacy Officer the PTA is sent
to the Department’s Senior Director for Privacy Compliance for action. If you do not have a
component Privacy Office, please send the PTA to the DHS Privacy Office:
Senior Director, Privacy Compliance
The Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
Tel: 202-343-1717
PIA@hq.dhs.gov
Upon receipt from your component Privacy Office, the DHS Privacy Office will review this
form and assess whether any privacy compliance documentation is required. If compliance
documentation is required – such as Privacy Impact Assessment (PIA), System of Records
Notice (SORN), Privacy Act Statement, or Computer Matching Agreement (CMA) – the DHS
Privacy Office or component Privacy Office will send you a copy of the relevant compliance
template to complete and return.

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

Privacy Threshold Analysis (PTA)

Specialized Template for
Information Collections (IC) and Forms
The Forms-PTA is a specialized template for Information Collections and Forms. This
specialized PTA must accompany all Information Collections submitted as part of the
Paperwork Reduction Act process (any instrument for collection (form, survey,
questionnaire, etc.) from ten or more members of the public). Components may use this PTA
to assess internal, component-specific forms as well.
Form Number:

N/A

Form Title:

N/A

Component:

Transportation Security
Administration (TSA)

Office:

Policy, Plans &
Engagement (PPE)

IF COVERED BY THE PAPERWORK REDUCTION ACT:
Collection Title: Airport Operator Security
OMB Control
Number:
Collection status:

Name:
Office:
Phone:

1652-0003
Extension

OMB Expiration
Date:
Date of last PTA (if
applicable):

April 30, 2024
July 19, 2023

PROJECT OR PROGRAM MANAGER
Chris Millott
PPE
Title:
Program Manager
Christopher.millott@tsa.dhs.go
317 464 7020
Email:
v

COMPONENT INFORMATION COLLECTION/FORMS CONTACT

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

Name:Nicole
Raymond
Office:
Phone:

IT
703-507-0442

Title:
Email:

PRA Officer
Nicole.raymond@tsa.dhs.go
v
SPECIFIC IC/Forms PTA QUESTIONS

1. Purpose of the Information Collection or Form
a. Describe the purpose of the information collection or form. Please provide a
general description of the project and its purpose, including how it supports the DHS
mission, in a way a non-technical person could understand (you may use
information from the Supporting Statement).
If this is an updated PTA, please specifically describe what changes or upgrades are
triggering the update to this PTA.
TSA regulations require aircraft operators operating under a full security program, a
private charter program, or a full all-cargo program to perform fingerprint-based
criminal history records checks (CHRCs) on individuals with unescorted access to
secured areas of airports, individuals authorized to perform screening functions, and
individuals to perform checked baggage or cargo functions; to maintain records of
compliance with this and other requirements; and to provide these compliance records
to TSA or make them available for inspection by TSA. TSA’s Transportation Security
Inspectors (TSIs) coordinate inspections with the aircraft operator’s designated Aircraft
Operator Security Coordinator (AOSC).
b. List the DHS (or Component) authorities to collect, store, and use this
information. If this information will be stored and used by a specific DHS
component, list the component-specific authorities.
49 USC 44936; 49 CFR parts 1544.229 through 230.

2. Describe the IC/Form

Privacy Threshold Analysis – IC/Form

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

a. Does this form collect any
Personally Identifiable
Information” (PII1)?

☒ Yes
☐ No

b. From which type(s) of
individuals does this form
collect information?
(Check all that apply.)

☒ Members of the public
☒ U.S. citizens or lawful permanent
residents
☒ Non-U.S. Persons
☐ DHS Employees/Contractors (list
Components)
☐ Other federal employees or contractors

c. Who will complete and
submit this form? (Check
all that apply.)

☒ The record subject of the form (e.g., the
individual applicant).
☐ Legal Representative (preparer, attorney,
etc.).
☒ Business entity.
If a business entity, is the only
information collected business contact
information?
☒ Yes
☐ No
☐ Law enforcement.
☐ DHS employee/contractor.
☐ Other individual/entity/organization that is
NOT the record subject. Please describe.
Click here to enter text.

d. How do individuals
complete the form? Check
all that apply.

☒ Paper.
☒ Electronic. (ex: fillable PDF)
☐ Online web form. (available and submitted via
the internet)
Provide link:

1

Personally identifiable information means any information that permits the identity of an individual to be directly or indirectly inferred, including
any other information which is linked or linkable to that individual regardless of whether the individual is a U.S. citizen, lawful permanent resident,
visitor to the U.S., or employee or contractor to the Department.
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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

e. What information will DHS collect on the form? List all individual PII data
elements on the form. If the form will collect information from more than one type of
individual, please break down list of data elements collected by type of individual.
TSA collects the AOSC’s business contact information (company name, address, phone
number and email address) including a phone number that the AOSC can be reached at
24/7.
To comply with TSA regs, aircraft operators must collect the following from employees
who require unescorted access to secure areas of the airport for purposes of vetting:
Full name and any aliases; gender; DOB; POB; SSN; home address, phone number,
submitting entity (employer or prospective employer); fingerprints along with race,
height, weight, eye color, and hair color; citizenship, and if applicable, passport number
and country of issuance; ARN or certificate of naturalization or birth abroad.

f. Does this form collect Social Security number (SSN) or other element that is
stand-alone Sensitive Personally Identifiable Information (SPII)? Check all that
apply.
☒ Social Security number
☐ DHS Electronic Data Interchange
Personal Identifier (EDIPI)
☒ Alien Number (A-Number)
☐ Social Media Handle/ID
☐ Tax Identification Number
☐ Known Traveler Number
☐ Visa Number
☐ Trusted Traveler Number (Global
☒ Passport Number
Entry, Pre-Check, etc.)
☐ Bank Account, Credit Card, or other
☐ Driver’s License Number
financial account number
☒ Biometrics
☐ Other. Please list:
g. List the specific authority to collect SSN or these other SPII elements.
EO 9397; 49 USC 44936; 49 CFR parts 1544.229 through 230.
h. How will the SSN and SPII information be used? What is the purpose of the
collection?
This information is used to ensure security threat assessments are being
conducted on airport employees needing unescorted access to secure areas.

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

i.

Is SSN necessary to carry out the functions of this form and/or fulfill
requirements of the information collection? Note: even if you are properly
authorized to collect SSNs, you are required to use an alternative identifier. If
there are technological, legal, or regulatory limitations to eliminating the SSN,
privacy-enhancing alternatives should be taken, such as truncating the SSN.

Yes

j.

Are individuals
provided notice at the
time of collection by
DHS (Does the records
subject have notice of
the collection or is
form filled out by
third party)?

☒ Yes. Please describe how notice is provided.
Aircraft operators are required to make available
to applicants and employees the Privacy Act
statement when they submit for an initial or
renewal CHRC.
☐ No.

3. How will DHS store the IC/form responses?
a. How will DHS store
☐ Paper. Please describe.
the original,
Click here to enter text.
completed IC/forms?
☒ Electronic. Please describe the IT system that will
store the data from the form.
Click here to enter text.
☐ Scanned forms (completed forms are scanned into
an electronic repository). Please describe the
electronic repository.
Click here to enter text.
b. If electronic, how
does DHS input the
responses into the IT
system?

Privacy Threshold Analysis – IC/Form

☒ Manually (data elements manually entered). Please
describe.
Click here to enter text.
☐ Automatically. Please describe.
Click here to enter text.

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

c. How would a user
search the
information
submitted on the
forms, i.e., how is the
information
retrieved?

d. What is the records
retention
schedule(s)? Include
the records schedule
number.

☒ By a unique identifier.2 Please describe. If
information is retrieved by personal identifier, please
submit a Privacy Act Statement with this PTA.
In rare circumstances, when an incident involves
an egregious violation by an aircraft operator
employee (and not an incident of general noncompliance on the operator’s behalf) inspection
records may be categorized and retrieved by the
individual’s name.
☐ By a non-personal identifier. Please describe.
Click here to enter text.
TSA Disposition schedule 400.19.1: Includes, but not
limited to, security-related incidents, reports, profiles,
subject history, inspections, investigative data,
security threat assessments (STA), workbooks,
dashboards and other records used to support agency
programs by documenting and tracking actions to
either complete or support findings of inspections,
investigations, security threat assessments, legal
proceedings (criminal or civil) and enforcements.
Cut off annually in year in which case is closed.
Destroy 7 years after cutoff in accordance with NARA
authority, N1-560-12-002 item 3.
The office of Security Operations (SO) records liaison
reviews records annually for records that may be
deleted.

e. How do you ensure
that records are
disposed of or deleted
in accordance with
the retention
schedule?
f. Is any of this information shared outside of the original program/office? If yes,
describe where (other offices or DHS components or external entities) and why.
What are the authorities of the receiving party?
☐ Yes, information is shared with other DHS components or offices. Please describe.
Click here to enter text.
2

Generally, a unique identifier is considered any type of “personally identifiable information,” meaning any information that permits the identity
of an individual to be directly or indirectly inferred, including any other information which is linked or linkable to that individual regardless of
whether the individual is a U.S. citizen, lawful permanent resident, visitor to the U.S., or employee or contractor to the Department.
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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

☐ Yes, information is shared external to DHS with other federal agencies, state/local
partners, international partners, or non-governmental entities. Please describe.
Click here to enter text.
☒ No. Information on this form is not shared outside of the collecting office.

Please include a copy of the referenced form and Privacy Act Statement (if
applicable) with this PTA upon submission.

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

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

William Feeney

Date submitted to Component Privacy
Office:
Concurrence from other Components
involved (if applicable):
Date submitted to DHS Privacy Office:

June 4, 2024

Have you approved a Privacy Act
Statement for this form? (Only
applicable if you have received a
waiver from the DHS Chief Privacy
Officer to approve component Privacy
Act Statements.)

Click here to enter text.
June 4, 2024
☒ Yes. Please include it with this PTA
submission.
☐ No. Please describe why not.
Click here to enter text.

Component Privacy Office Recommendation:
Please include recommendation below, including what existing privacy compliance
documentation is available or new privacy compliance documentation is needed.
PIA coverage provided by DHS/TSA/PIA-020, Security Threat Assessments for
Airport Badge and Credential Holders (SIDA). SORN coverage is provided by
DHS/TSA/SORN-002, Transportation Security Threat Assessment System. TSA
Privacy recommends no further privacy documentation.
Privacy Act Statement:
Authority: 6 U.S.C. § 1140, 46 U.S.C. § 70105; 49 U.S.C. §§ 106, 114, 5103a,
40103(b)(3), 40113, 44903, 44935-44936, 44939, and 46105; the Implementing
Recommendations of the 9/11 Commission Act of 2007, § 1520 (121 Stat. 444, Public
Law 110-53, August 3, 2007); FAA Reauthorization Act of 2018, §1934(c) (132 Stat.
3186, Public Law 115-254, Oct 5, 2018), and Executive Order 9397, as amended.
Purpose: The Department of Homeland Security (DHS) will use the biographic
information to conduct a security threat assessment. Your fingerprints and
associated information will be provided to the Federal Bureau of Investigation (FBI)
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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

for the purpose of comparing your fingerprints to other fingerprints in the FBI’s Next
Generation Identification (NGI) system or its successor systems including civil,
criminal, and latent fingerprint repositories. The FBI may retain your fingerprints
and associated information in NGI after the completion of this application and, while
retained, your fingerprints may continue to be compared against other fingerprints
submitted to or retained by NGI. DHS will also transmit your fingerprints for
enrollment into US-VISIT Automated Biometrics Identification System (IDENT). DHS
may provide your name and SSN to the Social Security Administration (SSA) to
compare that information against SSA records to ensure the validity of the
information.
Routine Uses: In addition to those disclosures generally permitted under 5 U.S.C.
522a(b) of the Privacy Act, all or a portion of the records or information contained in
this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
522a(b)(3) including with third parties during the course of a security threat
assessment, employment investigation, or adjudication of a waiver or appeal request
to the extent necessary to obtain information pertinent to the assessment,
investigation, or adjudication of your application or in accordance with the routine
uses identified in the TSA system of records notice (SORN) DHS/TSA 002,
Transportation Security Threat Assessment System. For as long as your fingerprints
and associated information are retained in NGI, your information may be disclosed
pursuant to your consent or without your consent as permitted by the Privacy Act of
1974 and all applicable Routine Uses as may be published at any time in the Federal
Register, including the Routine Uses for the NGI system and the FBI’s Blanket Routine
Uses.
Disclosure: Pursuant to § 1934(c) of the FAA Reauthorization Act of 2018, TSA is
required to collect your SSN on applications for Secure Identification Display Area
(SIDA) credentials. For SIDA applications, failure to provide this information may
result in denial of a credential. For other aviation credentials, although furnishing
your SSN is voluntary, if you do not provide the information requested, DHS may be
unable to complete your security threat assessment.

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

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

Ke’Angela Crawford

PCTS Workflow Number:
Date approved by DHS Privacy Office:
PTA Expiration Date
DHS Privacy Office Approver (if
applicable):

0017264
June 14, 2024
June 14, 2027
Riley Dean

DESIGNATION
Privacy Sensitive IC or
Form:

Yes If “no” PTA adjudication is complete.

Determination:

☐ PTA sufficient at this time.
☐ Privacy compliance documentation determination in
progress.
☐ New information sharing arrangement is required.
☐ DHS Policy for Computer-Readable Extracts Containing SPII
applies.
☒ Privacy Act Statement required.
☒ Privacy Impact Assessment (PIA) required.
☒ System of Records Notice (SORN) required.
☐ Specialized training required.
☐ Other. Click here to enter text.

Privacy Act
Statement:

e(3) statement update is required.
A Privacy Act Statement is required as information may be
retrieved via unique identifier. In certain circumstances when an
incident involves an egregious violation by an aircraft operator
employee (and not an incident of general non-compliance on the
operator’s behalf) inspection records may be categorized and
retrieved by the individual’s name. Aircraft operators are required
to make available to applicants and employees the Privacy Act
statement when they submit for an initial or renewal CHRC.
Otherwise, inspection records are routinely retrieved by an

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

incident/inspection report tracking number created by PARIS.
PRIV recommends adding a line in the Routine Uses section of the
Privacy Act Statement that says something along the lines of, “for
those individuals not covered by the Privacy Act, please refer to
DHS/TSA/PIA-020 Airport Access for Aviation Workers” as this
form will potentially collect information from non-U.S. Persons.
Privacy Act Statement approved along with this PTA.
System PTA:
No system PTA required.
Click here to enter text.
PIA:
System covered by existing PIA
If covered by existing PIA, please list:
• DHS/TSA/PIA-020 Airport Access for Aviation Workers.
If a PIA update is required, please list: Click here to enter text.
SORN:
System covered by existing SORN
If covered by existing SORN, please list:
• DHS/TSA-002 Transportation Security Threat Assessment
System, August 11, 2014, 79 FR 46862.
If a SORN update is required, please list: Click here to enter text.
DHS Privacy Office Comments:
Please describe rationale for privacy compliance determination above.
TSA is submitting this renewal PTA for the Airport Operator Security form. There
have been no changes since the previously approved PTA.
The Airport Operator Security form enforces TSA regulations by requiring certain
aircraft operators to conduct fingerprint-based criminal history checks on specific
individuals, maintain compliance records, and provide these records to the TSA for
inspection. The forms are submitted to TSA to complete the security threat
assessment (STA) and they must also be retained locally for inspections. The specific
process depends on the purpose of the STA; it may involve various systems or simply
be emailed to TSA. For example, the portal for cargo handlers can be found here
https://iac.tsa.dhs.gov/iac/.
The DHS Privacy Office (PRIV) concurs that this is a privacy-sensitive form because it
collects PII and SPII from members of the public. PRIV recommends coverage under
DHS/TSA/PIA-020 Airport Access for Aviation Workers, which describes how TSA
conducts STA on individuals seeking or holding authorized airport badges or
credentials and the requirement to conduct fingerprint-based criminal history
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Privacy Office
U.S. Department of Homeland Security
Washington, DC 20528
202-343-1717, pia@hq.dhs.gov
www.dhs.gov/privacy

record checks (CHRCs) along with name-based checks on individuals requiring
unescorted access to the sterile area of the airport.
Data can be retrieved by a unique identifier, therefore, SORN coverage is required.
SORN coverage is provided under DHS/TSA-002 Transportation Security Threat
Assessment System, which covers how TSA collects and maintains records related to
STA, employment investigations, and evaluations that the TSA conducts on certain
individuals for security purposes.
A Privacy Act Statement is required as information may be retrieved via unique
identifier. In certain circumstances when an incident involves an egregious violation
by an aircraft operator employee (and not an incident of general non-compliance on
the operator’s behalf) inspection records may be categorized and retrieved by the
individual’s name. Aircraft operators are required to make available to applicants
and employees the Privacy Act statement when they submit for an initial or renewal
CHRC. Otherwise, inspection records are routinely retrieved by an
incident/inspection report tracking number created by PARIS. PRIV recommends
adding a line in the Routine Uses section of the Privacy Act Statement that says
something along the lines of, “for those individuals not covered by the Privacy Act,
please refer to DHS/TSA/PIA-020 Airport Access for Aviation Workers” as this form
will potentially collect information from non-U.S. Persons. Privacy Act Statement
approved along with this PTA.

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