Privacy and Civil Liberties Impact Assessment
Template version 4.4
Surety Information Management System (SIMS IV)
November 28, 2018
Bureau Certifying Official
David J. Ambrose
Chief Security Officer and Chief Privacy Officer
Bureau of the Fiscal Service
Department of the Treasury
The mission of the Bureau of the Fiscal Service (Fiscal Service) is to promote the financial
integrity and operational efficiency of the federal government through exceptional accounting,
financing, collections, payments, and shared services.
This Privacy and Civil Liberties Impact Assessment (PCLIA) is a public document and will be
made available to the general public via the Fiscal Service Privacy and Civil Liberties Impact
Assessment (PCLIA) webpage (PCLIA WEBPAGE).
1
Section 1: Introduction
It is the policy of the Department of the Treasury (“Treasury” or “Department”) and its Bureaus
to conduct a Privacy and Civil Liberties Impact Assessment (“PCLIA”) when personally
identifiable information (“PII”) is maintained in a system or by a project. PCLIAs are required
for all systems and projects that collect, maintain, or disseminate PII, regardless of the manner in
which the information is retrieved.
This assessment is being completed pursuant to Section 208 of the E-Government Act of 2002
(“E-Gov Act”), 44 U.S.C. § 3501, Office of the Management and Budget (“OMB”)
Memorandum 03-22, “OMB Guidance for Implementing the Privacy Provisions of the E-
Government Act of 2002,” and Treasury Directive 25-07, “Privacy and Civil Liberties Impact
Assessment (PCLIA).”
Privacy and Civil Liberties Impact Assessment (PLCIA) is being conducted for Surety
Information Management System (SIMS IV) for
the first time to replace the current Privacy
Impact Assessment
Section 2: Definitions
Agency – means any entity that falls within the definition of the term “executive agency” as
defined in 31 U.S.C. § 102.
Certifying Official – The Bureau Privacy and Civil Liberties Officer(s) who certify that all
requirements in TD and TD P 25-07 have been completed so a PCLIA can be reviewed and
approved by the Treasury Deputy Assistant Secretary for Privacy, Transparency, and Records.
Collect (including “collection”) – means the retrieval, receipt, gathering, or acquisition of any
PII and its storage or presence in a Treasury system. This term should be given its broadest
possible meaning.
Contractors and service providers – are private companies that provide goods or services
under a contract with the Department of the Treasury or one of its bureaus. This includes, but is
not limited to, information providers, information processors, and other organizations providing
information system development, information technology services, and other outsourced
applications.
Data mining – means a program involving pattern-based queries, searches, or other analyses of
1 or more electronic databases, where – (a) a department or agency of the federal government,
or a non-federal entity acting on behalf of the federal government, is conducting the queries,
searches, or other analyses to discover or locate a predictive pattern or anomaly indicative of
terrorist or criminal activity on the part of any individual or individuals; (b) the queries, searches,
or other analyses are not subject-based and do not use personal identifiers of a specific
individual, or inputs associated with a specific individual or group of individuals, to retrieve
information from the database or databases; and (c) the purpose of the queries, searches, or other
2
analyses is not solely – (i) the detection of fraud, waste, or abuse in a government agency or
program; or (ii) the security of a government computer system.
Disclosure – When it is clear from its usage that the term “disclosure” refers to records provided
to the public in response to a request under the Freedom of Information Act (5 U.S.C. § 552,
“FOIA”) or the Privacy Act (5 U.S.C. § 552a), its application should be limited in that manner.
Otherwise, the term should be interpreted as synonymous with the terms “sharing” and
“dissemination” as defined in this manual.
Dissemination – as used in this manual, is synonymous with the terms “sharing” and
“disclosure” (unless it is clear from the context that the use of the term “disclosure” refers to a
FOIA/Privacy Act disclosure).
E-Government – means the use of digital technologies to transform government operations to
improve effectiveness, efficiency, and service delivery.
Federal information system – means a discrete set of information resources organized for the
collection, processing, maintenance, transmission, and dissemination of information owned or
under the control of a federal agency, whether automated or manual.
Final Rule – After the NPRM comment period closes, the agency reviews and analyzes the
comments received (if any). The agency has the option to proceed with the rulemaking as
proposed, issue a new or modified proposal, or withdraw the proposal before reaching its final
decision. The agency can also revise the supporting analyses contained in the NPRM (e.g., to
address a concern raised by a member of the public in response to the NPRM).
Government information – means information created, collected, used, maintained, processed,
disseminated, or disposed of by or for the federal government.
Individual – means a citizen of the United States or an alien lawfully admitted for permanent
residence. If a question does not specifically inquire about or an issue does not clearly involve a
Privacy Act system of records, the term should be given its common, everyday meaning. In
certain contexts, the term individual may also include citizens of other countries who are covered
by the terms of an international or other agreement that involves information stored in the system
or used by the project.
Information – means any representation of knowledge such as facts, data, or opinions in any
medium or form, regardless of its physical form or characteristics. This term should be given the
broadest possible meaning. This term includes, but is not limit to, information contained in a
Privacy Act system of records.
Information technology (IT) – means any equipment or interconnected system or subsystem of
equipment, used in the automatic acquisition, storage, analysis, evaluation, manipulation,
management, movement, control, display, switching, interchange, transmission, or reception of
data or information by the executive agency, if the equipment is used by the executive agency
directly or is used by a contractor under a contract with the executive agency that requires the
3
use: (i) of that equipment; or (ii) of that equipment to a significant extent in the performance of a
service or the furnishing of a product. It includes computers, ancillary equipment (including
imaging peripherals, input, output, and storage devices necessary for security and surveillance),
peripheral equipment designed to be controlled by the central processing unit of a computer,
software, firmware and similar procedures, services (including support services), and related
resources; but does not include any equipment acquired by a federal contractor incidental to a
federal contract. Clinger-Cohen Act of 1996, 40 U.S.C. § 11101(6).
Major Information system – embraces “large” and “sensitive” information systems and means
“a system or project that requires special management attention because of its importance to an
agency mission; its high development, operating, or maintenance costs; or its significant role in
the administration of agency programs, finances, property, or other resources.” OMB Circular A-
130, § 6.u. This definition includes all systems that contain PII and are rated as “MODERATE
or HIGH impact” under Federal Information Processing Standard 199.
National Security systems – a telecommunications or information system operated by the
federal government, the function, operation or use of which involves: (1) intelligence activities,
(2) cryptologic activities related to national security, (3) command and control of military forces,
(4) equipment that is an integral part of a weapon or weapons systems, or (5) systems critical to
the direct fulfillment of military or intelligence missions, but does not include systems used for
routine administrative and business applications, such as payroll, finance, logistics, and
personnel management. Clinger-Cohen Act of 1996, 40 U.S.C. § 11103.
Notice of Proposed Rule Making (NPRM) – the Privacy Act (Section (J) and (k)) allow
agencies to use the rulemaking process to exempt particular systems of records from some of the
requirements in the Act. This process is often referred to as “notice-and-comment rulemaking.”
The agency publishes an NPRM to notify the public that the agency is proposing a rule and
provides an opportunity for the public to comment on the proposal before the agency can issue a
final rule.
Personally Identifiable Information (PII) –any information that can be used to distinguish or
trace an individual’s identity, either alone or when combined with other personal or identifying
information that is linked or linkable to a specific individual.
Privacy and Civil Liberties Impact Assessment (PCLIA) – a PCLIA is:
(1) a process conducted to: (a) identify privacy and civil liberties risks in systems,
programs, and other activities that maintain PII; (b) ensure that information systems,
programs, and other activities comply with legal, regulatory, and policy requirements;
(c) analyze the privacy and civil liberties risks identified; (d) identify remedies,
protections, and alternative or additional privacy controls necessary to mitigate those
risks; and (e) provide notice to the public of privacy and civil liberties protection
practices.
(2) a document that catalogues the outcome of that privacy and civil liberties risk
assessment process.
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Protected Information – as the term is used in this PCLIA, protected information the same
definition given to that term in TD 25-10, section 4.
Privacy Act Record – any item, collection, or grouping of information about an individual that
is maintained by an agency, including, but not limited to, the individual’s education, financial
transactions, medical history, and criminal or employment history and that contains the
individual’s name, or the identifying number, symbol, or other identifying particular assigned to
the individual, such as a finger or voice print or a photograph. 5 U.S.C. § 552a (a)(4).
Reviewing Official – The Deputy Assistant Secretary for Privacy, Transparency, and Records
who reviews and approves all PCLIAs as part of her/his duties as a direct report to the Treasury
Senior Agency Official for Privacy.
Routine Use – with respect to the disclosure of a record outside of Treasury (i.e., external
sharing), the sharing of such record for a purpose which is compatible with the purpose for
which it was collected 5 U.S.C. § 552a(a)(7).
Sharing – any Treasury initiated distribution of information to government employees or agency
contractors or grantees, including intra- or inter-agency transfers or exchanges of Treasury
information, regardless of whether it is covered by the Privacy Act. It does not include responses
to requests for agency records under FOIA or the Privacy Act. It is synonymous with the term
“dissemination” as used in this assessment. It is also synonymous with the term “disclosure” as
used in this assessment unless it is clear from the context in which the term is used that it refers
to disclosure to the public in response to a request for agency records under FOIA or the Privacy
Act.
System – as the term used in this manual, includes both federal information systems and
information technology.
System Owner – Official responsible for the overall procurement, development, integration,
modification, or operation and maintenance of a system.
System of Records – a group of any records under the control of Treasury from which
information is retrieved by the name of the individual or by some identifying number, symbol, or
other identifying particular assigned to the individual. 5 U.S.C. § 552a (a)(5).
System of Records Notice – Each agency that maintains a system of records shall publish in the
Federal Register upon establishment or revision a notice of the existence and character of the
system of records, which notice shall include: (A) the name and location of the system; (B) the
categories of individuals on whom records are maintained in the system; (C) the categories of
records maintained in the system; (D) each routine use of the records contained in the system,
including the categories of users and the purpose of such use; (E) the policies and practices of the
agency regarding storage, retrievability, access controls, retention, and disposal of the records;
(F) the title and business address of the agency official who is responsible for the system of
records; (G) the agency procedures whereby an individual can be notified at her/his request if the
system of records contains a record pertaining to him; (H) the agency procedures whereby an
5
individual can be notified at her/his request how she/he can gain access to any record pertaining
to him contained in the system of records, and how she/he can contest its content; and (I) the
categories of sources of records in the system. 5 U.S.C. § 552a (e)(4).
Section 3: System Overview
Section 3.1: System and Purpose
SIMS IV is minor automated storage and processing computer system for supporting the Surety
Bond Branch (SBB) in administering the Surety Bond Program. The legal basis for the SBB
program stems from Public Law Title 31, USC 9304-9308, which authorizes the acceptance of
corporate surety companies on bonds running to the United States. The Secretary of the Treasury
has delegated the responsibility for administering the Federal Surety Bond Program to the
Bureau of the Fiscal Service who in turn established the SBB to carry out the function.
Companies that wish to direct-write Federal bonds, reinsure Federal bonds, or be recognized as
Admitted Reinsurers must apply and be approved by Fiscal Service.
SIMS IV is a Java 2 Platform Enterprise Edition (J2EE) web-based application on a
WebSphere Application Server (WAS) accessible from ALEX the Fiscal Service Intranet. The
SIMS IV WAS resides on the Regatta Complex located at the Kansas City Regional Operations
Center (KROC) with no interconnections to other systems. All data for the system resides in a
DB2 database on the Regatta. SIMS IV is used by the SBB to perform quarterly and annual
reviews, review new applications, re-certify approximately 350 insurance companies each year,
and publish a list of Treasury Certified companies in the Fiscal Service Circular 570.
PII is used to identify and store information on executive officials representing Surety insurance
companies.
Estimated Number of Individuals Whose Personally Identifiable Information is
Maintained in the System or by the Project
☐ 0 – 999
☒ 1000 – 9,999
☐ 10,000 – 99,999
☐ 100,000 – 499,999
☐
10,000,000 – 99,999,999
☐ 500,000 – 999,999
☐
100,000,000 – 999,999,999
☐ 1,000,000 – 9,999,999
☐
1,000,000,000 +
Section 3.2: Authority to Collect
The authorities for operating this system are: Auditor, Senior Auditor, Manager, Acting
Manager, System Administrator and Clerk
Section 4: Information Collection
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Section 4.1: Relevant and Necessary
Section 4.1(a) Please check all of the following that are true:
1. ☐ None of the PII maintained in the system or by the project is part of a Privacy Act
system of records;
2. ☒ All of the PII maintained in the system or by the project is part of a system of records
and none of it is exempt from the Privacy Act relevant and necessary requirement;
3. ☐ All of the PII maintained in the system or by the project is part of a system of records
and all of it is exempt from the Privacy Act relevant and necessary requirement;
4. ☐ Some, but not all, of the PII maintained in the system or by the project is part of a
system of records and the records to which the Privacy Act applies are exempt from the
relevant and necessary requirement; and
5. ☐ Some, but not all, of the PII maintained in the system or by the project is part of a system
of records and none of the records to which the Privacy Act applies are exempt from the
relevant and necessary requirement.
Section 4.1(b) ☒ Yes ☐ No ☐ N/A With respect to PII maintained in the system or by the
project that is subject to the Privacy Act’s relevant and necessary requirement, was an
assessment conducted prior to collection (e.g., during Paperwork Reduction Act analysis) to
determine which PII types (see Section 4.2 below) were relevant and necessary to meet the
system’s or project’s mission requirements?
Section 4.1(c) ☒ Yes ☐ No ☐ N/A With respect to PII currently maintained in the system or
by the project that is subject to the Privacy Act’s relevant and necessary requirement, is the PII
limited to only that which is relevant and necessary to meet the system’s or project’s mission
requirements?
Section 4.1(d) ☐ Yes ☐ No ☒ N/A With respect to PII maintained in the system or by the
project that is subject to the Privacy Act’s relevant and necessary requirement, is there a
process to continuously reevaluate and ensure that the PII remains relevant and necessary?
The PII is provided by the annual NAICS reports.
Section 4.2: PII and/or information types or groupings
To perform their missions, federal agencies must necessarily collect various types of
information. The checked boxes below represent the types of information maintained in the
system or by the project. Information identified below is used by the system or project to fulfill
the purpose stated in Section 3.2 – Authority to Collect.
☒
Name
☐ Gender ☐ Group/Organization Membership
7
☐
Date of Birth
☐ Race ☐ Military Service Information
☐
Home Physical/Postal
Mailing Address
☐ Ethnicity ☐ Personal Home Phone or Fax
Number
☐
Zip Code
☐ Personal Cell Number ☐ Alias (including nickname)
☒
Business Physical/Postal
Mailing Address
☐ Business Cell Number
☒
Business Phone or Fax Number
☐ Personal e-mail address ☐ Nationality ☐ Mother’s Maiden Name
☐ Business e-mail address ☐ Country of Birth ☐ Spouse Information
☐ Personal Financial
Information (including loan
information)
☐ City or County of Birth ☐ Children Information
☐
Business Financial
Information (including loan
information)
☐ Immigration Status ☐ Information about other relatives.
☐ Marital Status
☐
Citizenship
☐ Professional/personal references
or other information about an
individual’s friends, associates or
acquaintances.
☐ Religion/Religious Preference ☐ Device settings or preferences
(e.g., security level, sharing
options, ringtones).
☐ Global Positioning System
(GPS)/Location Data
☐ Sexual Orientation ☐ User names, avatars, etc. ☐ Secure Digital (SD) Card or
Other Data stored on a card or other
technology
☐ Cell tower records (e.g., logs.
user location, time etc.)
☐ Network communications data ☐ Cubical or office number
☐ Contact lists and directories
(known to contain personal
information)
☐ Contact lists and directories
(not known to contain personal
information, but uncertain)
☐ Contact lists and directories
(known to contain only business
information)
☐
Education Information
☐ Resume or curriculum vitae ☐ Other (please describe):
☐
Other (please describe):
☐ Other (please describe):
______________________
☐ Other (please describe):
______________________
Identifying Numbers
☐
Full Social Security number
☐ Health Plan Beneficiary Number
☐ Truncated/Partial Social Security number (e.g.,
last 4 digits)
☐ Alien Registration Number
☐
Personal Taxpayer Identification Number
☐ Business Taxpayer Identification Number (If
known: ☐ sole proprietor; ☐ non-sole proprietor)
☐ Personal Credit Card Number ☐ Business Credit Card Number (If known: ☐ sole
proprietor; ☐ non-sole proprietor)
☐ Personal Vehicle Identification Number ☐ Business Vehicle Identification Number (If
known: ☐ sole proprietor; ☐ non-sole proprietor)
8
☐ Personal License Plate Number ☐ Business License Plate Number (If known: ☐
sole proprietor; ☐ non-sole proprietor)
☐ File/Case ID Number (individual) ☐ File/Case ID Number (business) (If known: ☐
sole proprietor; ☐ non-sole proprietor)
☐
Personal Professional License Number
☐ Business Professional License Number (If known:
☐ sole proprietor; ☐ non-sole proprietor)
☐ Employee Identification Number ☐ Patient ID Number
☐ Business Bank Account Number ☐ Personal Bank Account Number
☐ Commercially obtained internet
navigation/purchasing habits of individuals
☐ Government obtained internet
navigation/purchasing habits of individuals
☐ Business License Plate Number (non-sole-
proprietor)
☐ Driver’s License Number
☐ Personal device identifiers or serial numbers ☐ Other Identifying Numbers (please
describe):____________________________
☐ Passport Number and Passport information
(including full name, passport number, DOB, POB,
sex, nationality, issuing country photograph and
signature) (use “Other” if some but not all elements
are collected)
☐ Other Identifying Numbers (please
describe):____________________________
☐
Medical/Health Information
☐
Worker’s Compensation Act
Information
☐
Patient ID Number
☐
Mental Health Information
☐
Disability Information
☐
Emergency Contact Information
(e.g., a third party to contact in case
of emergency)
☐
☐
Physical description/
characteristics (e.g., hair, eye
color, weight, height, sex,
gender)
☐
Signatures
☐
Vascular scans
☐
Fingerprints
☐
Photos
☐
Retina/Iris Scans
☐
Palm prints
☐
Video
☐
Dental Profile
☐
Voice audio recording
☐
Scars, marks, tattoos
☐
DNA Sample or Profile
☐
Other (please describe):
______________________
☐
Other (please describe):
_______________________
☐
Other (please describe):
_______________________
☐
Taxpayer Information/Tax
Return Information
☐
Law Enforcement Information
☐
Security Clearance/Background
Check Information
☐
Civil/Criminal History
Information/Police Records
(government source)
☐
Credit History Information
(government source)
☐
Bank Secrecy Act Information
9
☐
Civil/Criminal History
Information/Police Records
(commercial source)
☐ Credit History Information
(commercial source)
☐
National Security/Classified
Information
☐
Protected Information (as
defined in Treasury Directive 25-
10)
☐
Case files
☐
Personnel Files
☐
Information provided under a
confidentiality agreement
☐
Information subject to the
terms of an international or other
agreement
☐
Other (please describe):
______________________
☒
User ID assigned to or
generated by a user of Treasury IT
☒
Date and time an individual
access a facility, system, or other
IT
☐
Files accessed by a user of
Treasury IT (e.g., web navigation
habits)
☒
Passwords generated by or
assigned to a user of Treasury IT
☐
Internet or other queries run
by a user of Treasury IT
☐
Contents of files accessed by a
user of Treasury IT
☐
Biometric information used to
access Treasury facilities or IT
☐
Video of individuals derived
from security cameras
☐
Public Key Information (PKI).
☐
Information revealing an
individual’s presence in a
particular location as derived from
security token/key fob, employee
identification card scanners or
other IT or devices
☐
Still photos of individuals
derived from security cameras.
☐
Internet Protocol (IP) Address
☐
Other (please describe):
☐
Other (please describe):
☐
Other (please describe):
_____________________
☐ Other (please describe: ______________
☐ Other (please describe: _______________
☐ Other (please describe: ______________
☐ Other (please describe: _______________
Section 4.3: Sources of information and the method and manner of collection
National Association
of Insurance
Commissioners
<<Source name>> <<Source name>> <<Source name>>
Specific PII identified in
Section 4.2 that was
acquired from this
source:
Name, Business
Physical/Postal Mailing
Address, and Business
Phone or Fax Number
Specific PII identified in
Section 4.2 that was
acquired from this
source:__________
(identify all).
Specific PII identified in
Section 4.2 that was
acquired from this
source:__________
(identify all).
Specific PII identified in
Section 4.2 that was
acquired from this
source:__________
(identify all).
Manner in which
information is acquired
from source by the
Treasury project/system:
(select all that apply):
Manner in which
information is acquired
from source by the
Treasury project/system:
(select all that apply):
Manner in which
information is acquired
from source by the
Treasury project/system:
(select all that apply):
Manner in which
information is acquired
from source by the
Treasury project/system:
(select all that apply):
10
☒
From a paper or
electronic form provided
to individuals, the public
or members of a
particular group
☐
From a paper or
electronic form provided
to individuals, the public
or members of a particular
group
☐ From a paper or
electronic form provided
to individuals, the public
or members of a particular
group
☐ From a paper or
electronic form provided
to individuals, the public
or members of a
particular group
Please identify the form
name (or description)
and/or number (e.g.,
OMB Control Number):
NAIC FORM 11
_________________
Please identify the form
name (or description)
and/or number (e.g., OMB
Control Number):
_________________
Please identify the form
name (or description)
and/or number (e.g., OMB
Control Number):
_________________
Please identify the form
name (or description)
and/or number (e.g.,
OMB Control Number):
_________________
☐ Received in paper
format other than a form.
☐ Received in paper
format other than a form.
☐ Received in paper
format other than a form.
☐ Received in paper
format other than a form.
☐
Delivered to the
project on disk or other
portable device and
uploaded to the system.
☐
Delivered to the project
on disk or other portable
device and uploaded to the
system.
☐
Delivered to the project
on disk or other portable
device and uploaded to the
system.
☐
Delivered to the
project on disk or other
portable device and
uploaded to the system.
☐
Accessed and
downloaded or otherwise
acquired via the internet
☐
Accessed and
downloaded or otherwise
acquired via the internet
☐
Accessed and
downloaded or otherwise
acquired via the internet
☐
Accessed and
downloaded or otherwise
acquired via the internet
☒
Email
☐
Email
☐
Email
☐
Email
☐
Scanned documents
uploaded to the system.
☐ Scanned documents
uploaded to the system.
☐ Scanned documents
uploaded to the system.
☐ Scanned documents
uploaded to the system.
☐
Bulk transfer
☐
Bulk transfer
☐
Bulk transfer
☐
Bulk transfer
☐
Extracted from
particular technology
(e.g., radio frequency
identification data
(RFID) devices, video or
photographic cameras,
biometric collection
devices).
☐
Extracted from
particular technology (e.g.,
radio frequency
identification data (RFID)
devices, video or
photographic cameras,
biometric collection
devices).
☐
Extracted from
particular technology (e.g.,
radio frequency
identification data (RFID)
devices, video or
photographic cameras,
biometric collection
devices).
☐
Extracted from
particular technology
(e.g., radio frequency
identification data
(RFID) devices, video or
photographic cameras,
biometric collection
devices).
☐
Fax
☐
Fax
☐
Fax
☐
Fax
☐
Extracted from notes
of a phone interview or
face to face contact
☐
Extracted from notes of
a phone interview or face
to face contact
☐
Extracted from notes of
a phone interview or face
to face contact
☐
Extracted from notes
of a phone interview or
face to face contact
☐ Other: Please describe:
_________________
☐ Other: Please describe:
_________________
☐ Other: Please describe:
_________________
☐ Other: Please describe:
_________________
☐
Other: Please describe:
_________________
☐
Other: Please describe:
_________________
☐
Other: Please describe:
_________________
☐
Other: Please describe:
_________________
Section 4.4: Privacy and/or civil liberties risks related to collection
11
Notice of Authority, Principal Uses, Routine Uses, and Effect of not Providing
Information
When federal agencies use a form to obtain information from an individual that will be
maintained in a system of records, they must inform the individual of the following: “(A) the
authority (whether granted by statute, or by executive order of the President) which authorizes
the solicitation of the information and whether disclosure of such information is mandatory or
voluntary; (B) the principal purpose or purposes for which the information is intended to be
used; (C) the routine uses which may be made of the information as published pursuant to
paragraph (4)(D) of this subsection; and (D) the effects on her/him, if any, of not providing all or
any part of the requested information.” 5 U.S.C § 522a(e)(3).
Section 4.4(a)
☐
Yes
☒
No Is any of the PII maintained in the system or by the project
collected directly from an individual?
Section 4.4(b) ☐ Yes ☐ No ☒ N/A Was the information collected from the individual using
a form (paper or electronic)?
Section 4.4(c) ☐ Yes ☐ No ☒ N/A If the answer to Section 4.4(b) was “yes,” was the
individual notified (on the form in which the PII was collected or on a separate form that can
be retained by the individual) about the following at the point where the information was
collected (e.g., in a form; on a website).
☐ The authority (whether granted by statute, or by Executive order of the President)
which authorizes the solicitation of the information.
☐ Whether disclosure of such information is mandatory or voluntary.
☐ The principal purpose or purposes for which the information is intended to be used.
☐ The individuals or organizations outside of Treasury with whom the information
may be/ will be shared.
☐ The effects on the individual, if any, if they decide not to provide all or any part of
the requested information.
Use of Social Security Numbers
Social Security numbers (“SSNs”) are commonly used by identity thieves to commit fraudulent
acts against individuals. The SSN is one data element that has a heightened ability to harm the
individual and requires more protection when used. Therefore, in an effort to reduce risk to
individuals and federal agencies, government-wide initiatives aimed at eliminating unnecessary
collection, use, and display of SSN have been underway since OMB required agencies to review
their SSN practices in 2007.
In addition, the Privacy Act provides that: “It shall be unlawful for any federal, state or local
government agency to deny to any individual any right, benefit, or privilege provided by law
12
because of such individual’s refusal to disclose his social security account number.” Pub. L. No.
93–579, § 7. This provision does not apply to: (1) any disclosure which is required by federal
statute; or (2) any disclosure of an SSN to any federal, state, or local agency maintaining a
system of records in existence and operating before January 1, 1975, if such disclosure was
required under statute or regulation adopted prior to such date to verify the identity of an
individual. Id. at § 7(a)(2)(A)-(B).
Section 4.4(d) ☒ Yes ☐ No ☐ N/A Does the system or project maintain SSNs?
Section 4.4(e) ☐ Yes ☒ No ☐ N/A Are there any alternatives to the SSNs as a personal
identifier?
Section 4.4(f) ☐ Yes ☒ No ☐ N/A Will an individual be denied any right, benefit, or
privilege provided by law if the individual refuses to disclose their SSN? If yes, please
check the applicable box::
☐ SSN disclosure is required by Federal statute or Executive Order. ; or
☐ the SSN is disclosed to any federal, state, or local agency maintaining a system of
records in existence and operating before January 1, 1975, and disclosure was
required under statute or regulation adopted prior to such date to verify the identity of
an individual. If checked, please provide the name of the system of records below.
Section 4.4(g) ☐ Yes ☐ No ☒ N/A When the SSN is collected, are individuals given notice
whether disclosure is mandatory or voluntary, the legal authority such number is solicited,
and what uses will be made of it?
First Amendment Activities
The Privacy Act provides that federal agencies “maintain no record describing how any
individual exercises rights guaranteed by the First Amendment unless expressly authorized by
statute or by the individual about whom the record is maintained or unless pertinent to and within
the scope of an authorized law enforcement activity.” 5 U.S.C. § 552a(e)(7).
13
Section 4.4(h) ☐ Yes ☒ No Does the system or project maintain any information describing
how an individual exercises their rights guaranteed by the First Amendment?
Section 4.4(i) If the system or project maintains information describing how an individual
exercises their rights guaranteed by the First Amendment, do any of the following
exceptions apply (the information may be maintained if any of the exceptions apply)?
☒ N/A (system or project does not maintain any information describing how an
individual exercises their rights guaranteed by the First Amendment so no exceptions
are needed)
☐ The individual about whom the information was collected or maintained expressly
authorizes its collection/maintenance.
☐ The information maintained is pertinent to and within the scope of an authorized
law enforcement activity.
☐ There is a statute that expressly authorizes its collection.
Section 5: Maintenance, use, and sharing of the information
The following sections require a clear description of the system’s or project’s use of information.
Section 5.1: Describe how and why the system or project uses the information it
collects and maintains
Please describe all of the uses of the information types and groupings collected and maintained
by the system or project (see Section 4.2), including a discussion of why the information is used
for this purpose and how it relates to the mission of the bureau or office that owns the system.
The information collected is from the National Association of Insurance Commissioners
(NAIC). The NAIC no longer requires social security numbers for the insurance
executives. The database for SIMS IV still contains the social security numbers that were
provided prior to the change in the NAICs files. The information collected and
maintained in the system is used for the following purposes: 1: ensures that financially
sound companies receive Treasury recognition
2: to continually monitor and review financial status of certified insurance companies
The certified companies’ businesses financial information assists auditors in conducting
review of each company's financial condition to determine the company’s qualification as an
acceptable surety and/or reinsurer of Federal bonds.
This usage is consistent with the Bureau
of Fiscal Services’ mission because it allows the bureau to monitor the solvency of Surety
companies and assure that they could perform the obligated task of a Surety
14
Collecting Information Directly from the Individual When Using it to Make Adverse
Determinations About Them
The Privacy Act requires that federal agencies “collect information to the greatest extent
practicable directly from the subject individual when the information may result in adverse
determinations about an individual’s rights, benefits, and privileges under federal programs.” 5
U.S.C. § 552a(e)(2).
Section 5.1(a) ☐ Yes ☒ No Is it possible that the information maintained in the system or
by the project may be used by Treasury to make an adverse determination about an
individual’s rights, benefits, and privileges under federal programs (e.g., decisions about
whether the individual will receive a financial benefit, get a clearance or access to a Treasury
facility, obtain employment with Treasury)?
Section 5.1(b) ☐ Yes ☒ No Is it possible that Treasury will share information maintained in
the system or by the project with a third party external to the Department that will use the
information to make an adverse determination about an individual’s rights, benefits, and
privileges under federal programs?
Section 5.1(c) ☐ Yes ☐ No ☒ N/A If information could potentially be used to make an
adverse determination about an individual’s rights, benefits, and privileges under federal
programs, does the system or project collect information (to the greatest extent practicable)
directly from the individual?
Data Mining
As required by Section 804 of the Implementing the 9/11 Commission Recommendations Act of
2007 (“9-11 Commission Act”), Treasury reports annually to Congress on its data mining
activities. For a comprehensive overview of Treasury’s data mining activities, please review the
Department’s Annual Privacy reports available at: http://www.treasury.gov/privacy/annual-
reports.
Section 5.1(d) ☐ Yes ☒ No Is information maintained in the system or by the project used
to conduct “data-mining” activities as that term is defined in the Implementing the 9-11
Commission Act?
Section 5.2: Ensuring accuracy, completeness, and timeliness of information
collected, maintained, and shared
Exemption from Accuracy, Relevance, Timeliness, and Completeness Requirements
The Privacy Act requires that federal agencies “maintain all records which are used by the
agency in making any determination about any individual with such accuracy, relevance,
timeliness, and completeness as is reasonably necessary to assure fairness to the individual in the
15
determination.” 5 U.S.C. § 552a(e)(5). If a particular system of records meets certain
requirements (including the NPRM process defined in Section 2 above), an agency may exempt
the system of records (or a portion of the records) from this requirement.
Section 5.2(a)
☒
Yes
☐
No Is all or any portion of the information maintained in the
system or by the project: (a) part of a system of records and (b) exempt from the accuracy,
relevance, timeliness, and completeness requirements in sections (e)(5) of the Privacy Act?
Computer Matching
The Computer Matching and Privacy Protection Act of 1988 amended the Privacy Act, imposing
additional requirements when Privacy Act systems of records are used in computer matching
programs.
Matching programs must be conducted pursuant to a matching agreement between the source
and recipient agencies. The matching agreement describes the purpose and procedures of the
matching and establishes protections for matching records.
Section 5.2(b)
☐
Yes
☒
No Is any of the information maintained in the system or by the
project (a) part of a system of records and (b) used as part of a matching program?
Section 5.2(c) ☐ Yes ☐ No ☒ N/A Is there a matching agreement in place that contains
the information required by Section (o) of the Privacy Act?
Section 5.2(d) ☐ Yes ☐ No ☒ N/A Are assessments made regarding the accuracy of the
records that will be used in the matching program?
Section 5.2(e) ☐ Yes ☐ No ☒ N/A Does the bureau or office that owns the system or
project independently verify the information, provide the individual notice and an
opportunity to contest the findings, or obtain Data Integrity Board approval in accordance
with Section (p) of the Privacy Act before taking adverse action against the individual?
Ensuring Fairness in Making Adverse Determinations About Individuals
Federal agencies are required to “maintain all records which are used by the agency in making
any determination about any individual with such accuracy, relevance, timeliness, and
completeness as is reasonably necessary to assure fairness to the individual in the
determination.” 5 U.S.C. § 552a(e)(5). This requirement also applies when merging records
from two or more sources where the merged records are used by the agency to make any
determination about any individual.
16
Section 5.2(f)
☐
Yes
☒
No With respect to the information maintained in the system or
by the project, are steps taken to ensure all information used to make a determination about
an individual is maintained with such accuracy, relevance, timeliness, and completeness as
is
reasonably necessary to assure fairness to the individual in the determination? The
information maintained in the system is not used to make a determination about an
individual.
Merging Information About Individuals
Section 5.2(g)
☐
Yes
☒
No Is information maintained in the system or by the project
merged with electronic or non-electronic information from internal or external sources (e.g.,
other files or systems)?
Section 5.2(h) ☐ Yes ☐ No ☒ N/A Once merged, is the information used in making
determinations about individuals (e.g., decisions about whether the individual will receive a
financial benefit or payment, get a clearance or access to a Treasury facility, obtain
employment with Treasury, etc.)?
Section 5.2(i) ☐ Yes ☐ No ☒ N/A Are there documented policies or procedures for how
information is merged?
Section 5.2(j) ☐ Yes ☐ No ☒ N/A Do the documented policies or procedures address how
to proceed when partial matches (where some, but not all of the information being merged
matches a particular individual) are discovered after the information is merged?
Section 5.2(k) ☐ Yes ☐ No ☒ N/A If information maintained in the system or by the
project is used to make a determination about an individual, are steps taken to ensure the
accuracy, relevance, timeliness, and completeness of the information as is reasonably
necessary to assure fairness to the individual?
Policies and Standard Operating Procedures or Technical Solutions Designed to
Ensure Information Accuracy, Completeness, and Timeliness
Section 5.2(l)
☐
Yes
☐
No
☒
N/A If information maintained in the system or by the
project is used to make any determination about an individual (even if it is an exempt
system of records), are there documented policies or standard operating procedures for the
system or project that address the accuracy, completeness, and timeliness of the information?
Section 5.2(m) ☐ Yes ☒ No Does the system or project use any software or other technical
solutions designed to improve the accuracy, completeness, and timeliness of the information
used to make an adverse determination about an individual's rights, benefits, and/or privileges
(regardless of if it is an exempt system of records)?
17
Accuracy, Completeness, and Timeliness of Information Received from the Source
Section 5.2(n)
☒
Yes
☐
No
Did Treasury or the bureau receive any guarantee, assurance,
or other information from any information source(s) regarding the accuracy, timeliness and
completeness of the information maintained in the system or by the project?
Disseminating Notice of Corrections of or Amendments to PII
Section 5.2(o) ☐ Yes ☐ No ☒ N/A Where feasible and appropriate, is there a process in
place for disseminating corrections of or amendments to the PII maintained in the system or
by the project to all internal and external information-sharing partners?
Section 5.2(p) ☐ Yes ☐ No ☒ N/A Where feasible and appropriate, does the process for
disseminating corrections or amendments include notifying the individual whose information
is corrected or amended?
Section 5.3: Information sharing within the Department of the Treasury
Internal Information Sharing
Section 5.3(a) ☐ Yes ☒ No Is PII maintained in the system or by the project shared with
other Treasury bureaus?
Section 5.3(b) ☒ Yes ☐ No Does the Treasury bureau or office that receives the PII limit
access to those Treasury officers and employees who have a need for the PII in the
performance of their official duties (i.e., those who have a “need to know”)?
Memorandum of Understanding (MOU)/Other Agreements Limiting Treasury’s
Internal Use/Disclosure of PII
Section 5.3(c) ☐ Yes ☐ No ☒ N/A Is any of the PII maintained in the system or by the
project subject to the requirements of a Memorandum of Understanding or other agreement
(e.g., agreement with another federal or state agency that provided the information to the
Treasury or subject to an international agreement or treaty) that limits or places conditions on
Treasury’s internal use, maintenance, handling, or disclosure of the PII?
Section 5.4: Information sharing with external (i.e., outside Treasury) organizations
and individuals
External Information Sharing
18
Section 5.4(a) ☐ Yes ☒ No Is PII maintained in the system or by the project shared
with agencies, organizations, or individuals external to Treasury?
Accounting of Disclosures
Section 5.4(b) ☐ Yes ☐ No ☒ N/A With respect to records maintained in the system or by
the project that are subject to the Privacy Act, do you maintain a paper or electronic log or
other record of the date, nature, and purpose of each disclosure (not including intra-agency
disclosures and FOIA disclosures) of a record to any person or to another agency (outside of
Treasury) and the name and address of the person or agency to whom the disclosure is made?
See 5 U.S.C § 552a(c).
Section 5.4(c) ☐ Yes ☐ No ☒ N/A If you do not keep a running tabulation of every
disclosure at the time it is made, are you able to reconstruct an accurate and complete
accounting of disclosures so as to be able to respond to Privacy Act requests in a timely
fashion?
Section 5.4(d) ☐ Yes ☐ No ☒ N/A With respect to records maintained in the system or by
the project that are subject to the Privacy Act, do you retain the log or other record of the
date, nature, and purpose of each disclosure, for at least five years or the life of the record,
whichever is longer, after the disclosure for which the accounting is made?
Section 5.4(e) ☐ Yes ☐ No ☒ N/A With respect to records maintained in the system or by
the project that are subject to the Privacy Act, does your bureau or office exempt the system
of records (as allowed by the Privacy Act in certain circumstances) from the requirement to
make the accounting available to the individual named in the record?
Section 5.4(f) ☐ Yes ☐ No ☒ N/A With respect to records maintained in the system or by
the project that are subject to the Privacy Act, does your bureau or office exempt the system
of records (as allowed by the Privacy Act in certain circumstances) from the requirement to
inform any person or other agency about any correction or notation of dispute made by the
agency of any record that has been disclosed to the person or agency if an accounting of the
disclosure was made?
Statutory or Regulatory Restrictions on Disclosure
Section 5.4(g)
☐
Yes
☒
No In addition to the Privacy Act, are there any other statutory or
regulatory restrictions on the sharing of any of the PII maintained in the system or by the
project (e.g., 26 U.S.C § 6103 for tax returns and return information)?
19
Data store in SIMS IV is for internally use only and governed by the Privacy Act. It does not
share information with any internal or external entities.
Memorandum of Understanding Related to External Sharing
Section 5.4(h) ☐ Yes ☐ No ☒ N/A Has Treasury (including bureaus and offices) executed a
Memorandum of Understanding, or entered into any other type of agreement, with any
external agencies, organizations, or individuals with which/whom it shares PII maintained in
the system or by the project?
Memorandum of Understanding Limiting Treasury’s Use or Disclosure of PII
Section 5.4(i) ☐ Yes ☒ No Is any of the PII maintained in the system or by the project
subject to the requirements of a Memorandum of Understanding or other agreement (e.g.,
agreement with another federal or state agency, an international agreement or treaty, or
contract with private vendor that provided the information to Treasury or one of its bureaus)
that limits or places conditions on Treasury’s internal use or external (i.e., outside Treasury)
sharing of the PII?
Memorandum of Understanding Limiting External Party’s Use or Disclosure of PII
Section 5.4(j) ☐ Yes ☒ No Is any of the PII maintained in the system or by the project
subject to the requirements of a Memorandum of Understanding or other agreement in which
Treasury limits or places conditions on an external party’s use, maintenance, handling, or
disclosure of PII shared by Treasury?
Obtaining Consent Prior to New Disclosures Not Included in the SORN or Authorized
by the Privacy Act
Section 5.4(k)
☐ Yes
☐
No ☒ N/A Is the individual’s consent obtained, where feasible and
appropriate, prior to any new disclosures of previously collected records in a system of
records (those not expressly authorized by the Privacy Act or contained in the published
SORN (e.g., in the routine uses))?
Section 6: Compliance with federal information management
requirements
Responses to the questions below address the practical, policy, and legal consequences of
failing to comply with one or more of the following federal information management
requirements (to the extent required) and how those risks were or are being mitigated: (1) the
Privacy Act System of Records Notice Requirement; (2) the Paperwork Reduction Act; (3) the
20
Federal Records Act; (4) the E-Gov Act security requirements; and (5) Section 508 of the
Rehabilitation Act of 1973.
Section 6.1: Privacy Act System of Records Notice (SORN)
For collections of PII that meet certain requirements, the Privacy Act requires that the agency
publish a SORN in the Federal Register.
System of Records
Section 6.1(a) ☒ Yes ☐ No Does the system or project retrieve records about an individual
using an identifying number, symbol, or other identifying particular assigned to the
individual? (See items selected in Section 4.2 above).
(Treasury/Fiscal Service SORNs: https://fiscal.treasury.gov/privacy.html)
Section 6.1(b) ☒ Yes ☐ No ☐ N/A Was a SORN published in the Federal Register for this
system of records?
Treasury .009 - Treasury Financial Management Systems
Social Security Numbers
Section 6.2: The Paperwork Reduction Act
The PRA requires OMB approval before a federal agency may collect standardized data from 10
or more respondents within a 12 month period. OMB requires agencies to conduct a PIA (i.e.,
PCLIA) when initiating, consistent with the PRA, a new electronic collection of PII for 10 or
more persons (excluding agencies, instrumentalities, or employees of the federal government).
Paperwork Reduction Act Compliance
Section 6.2(a) ☒ Yes ☐ No Does the system or project maintain information obtained from
individuals and organizations who are not federal personnel or an agency of the federal
government (i.e., outside the federal government)?
Section 6.2(b) ☐ Yes ☐ No ☒ N/A Does the project or system involve a new collection of
information in identifiable form for 10 or more persons from outside the federal
government?
Section 6.2(c) ☐ Yes ☐ No ☒ N/A Did the project or system complete an Information
Collection Request (“ICR”) and receive OMB approval?
Section 6.3: Records Management - NARA/Federal Records Act Requirements
21
Records retention schedules determine the maximum amount of time necessary to retain
information in order to meet the needs of the project or system. Information is generally either
disposed of or sent to the NARA for permanent retention upon expiration of this period.
NARA Records Retention Requirements
Section 6.3(a) ☒ Yes ☐ No Are the records used in the system or by the project covered
by NARA’s General Records Schedules (“GRS”) or Treasury/bureau Specific Records
Schedule (SRS)?
Section 6.3(b) ☒ Yes ☐ No Did NARA approved a retention schedule for the records
maintained in the system or by the project?
Section 6.3(c) ☐ Yes ☐ No ☒ N/A If NARA did not approve a retention schedule for the
records maintained in the system or by the project and the records are not covered by
NARA’s GRS or Treasury/bureau SRS, has a draft retention schedule (approved by all
applicable Treasury and/or Bureau officials) been developed for the records used in this
project or system?
All Treasury owned data maintained by this system is retained and destroyed in accordance
with the Fiscal Service File Plan. All Treasury owned records schedules and categories
within the Fiscal Service File Plan are approved by NARA.
Section 6.4: E-Government Act/NIST Compliance
The completion of Federal Information Security Modernization Act (FISMA) Security
Assessment & Authorization (SA&A) process is required before a federal information system
may receive Authority to Operate (“ATO”). Different security requirements apply to National
Security Systems.
Federal Information System Subject to FISMA Security Assessment and Authorization
Section 6.4(a) ☒ Yes ☐ No ☐ N/A Is the system a federal information system subject to
FISMA requirements?
Section 6.4(b) ☒ Yes ☐ No ☐ N/A Has the system or project undergone a SA&A and
received an ATO?
Access Controls and Security Requirements
Section 6.4(c) ☒ Yes ☐ No Does the system or project include access controls to ensure
limited access to information maintained by the system or project?
Security Risks in Manner of Collection
22
Section 6.4(d)
☐
Yes
☒
No In Section 4.3 above, you identified the sources for information
used in the system or project and the method and manner of collection. Were any security,
privacy, or civil liberties risks identified with respect to the manner in which the information
is collected from the source(s)?
Security Controls When Sharing Internally or Externally
Section 6.4(e) ☐ Yes ☐ No ☒ N/A Are all Treasury/bureau security requirements met in
the method of transferring information (e.g., bulk transfer, direct access by recipient, portable
disk, paper) from the Treasury project or system to internal or external parties?
Monitoring of Individuals
Section 6.4(f)
☐
Yes
☒
No Will this system or project have the capability to identify,
locate, and monitor individuals or groups of people?
Audit Trails
Section 6.4(g) ☒ Yes ☐ No Are audit trails regularly reviewed for appropriate use,
handling, and disclosure of PII maintained in the system or by the project inside or
outside of the Department?
Section 6.5: Section 508 of the Rehabilitation Act of 1973
When federal agencies develop, procure, maintain, or use Electronic and Information
Technology (“EIT”), Section 508 of the Rehabilitation Act of 1973 (as amended in 1998)
requires that individuals with disabilities (including federal employees) must have access and use
(including privacy policies and directives as well as redress opportunities) that is comparable to
that which is available to individuals who do not have disabilities.
Applicability of and Compliance With the Rehabilitation Act
Section 6.5(a)
☒
Yes
☐
No Will the project or system involve the development,
procurement, maintenance or use of EIT as that term is defined in Section 508 of the
Rehabilitation Act of 1973 (as amended in 1998)?
Section 6.5(b) ☒ Yes ☐ No ☐ N/A Does the system or project comply with all Section 508
requirements, thus ensuring that individuals with disabilities (including federal employees)
have access and use (including access to privacy and civil liberties policies) that is
comparable to that which is available to individuals who do not have disabilities?
23
Section 7: Redress
Access Under the Freedom of Information Act and Privacy Act
Section 7.0(a)
☒
Yes ☐ No Does the agency have a published process in place by which
individuals may seek records under the Freedom of Information Act and Privacy Act?
The Treasury FOIA and PA disclosure regulations can be found at 31 C.F.R. Part 1,
Subtitle A, Subparts A and C.
Privacy Act Access Exemption
Section 7.0(b) ☐ Yes ☒ No Was any of the information that is maintained in system of
records and used in the system or project exempted from the access provisions of the Privacy
Act?
Additional Redress Mechanisms
Section 7.0(c) ☐ Yes ☒ No With respect to information maintained by the project or system
(whether or not it is covered by the Privacy Act), does the bureau or office that owns the
project or system have any additional mechanisms other than Privacy Act and FOIA remedies
(e.g., a customer satisfaction unit; a complaint process) by which an individual may request
access to and/or amendment of their information and/or contest adverse determinations about
denial of their rights, benefits, and privileges under federal programs (e.g., decisions about
whether the individual will receive a financial benefit, get a clearance or access to a Treasury
facility, obtain employment with Treasury)?
<<If YES, provide a short narrative explanation to complete the answer to Section 7.0(c)