+-------------+--------------------------------------------------------+
| ![](m       |                                                        |
| edia/image1 |                                                        |
| .png){width |                                                        |
| ="7.1743055 |                                                        |
| 55555556in" |                                                        |
| height="    |                                                        |
| 1.124305555 |                                                        |
| 5555554in"} |                                                        |
+-------------+--------------------------------------------------------+
| ![](        | **eGOVERNMENT PROGRAM**                                |
| media/image |                                                        |
| 2.png){widt | **Privacy Impact Assessment**                          |
| h="1.325in" |                                                        |
| height=     | **(PIA)**                                              |
| "8.08819444 |                                                        |
| 4444444in"} | **Including**                                          |
|             |                                                        |
|             | > **Privacy Act and Public Burden Statements**         |
|             | >                                                      |
|             | > **Privacy Act System of Records**                    |
|             | >                                                      |
|             | > **Information Collection Supporting Statement**      |
|             |                                                        |
|             | **For**                                                |
|             |                                                        |
|             | **USDA eAuthentication**                               |
|             |                                                        |
|             | Version 1.0                                            |
|             |                                                        |
|             | October 20, 2006                                       |
|             |                                                        |
|             | **UNITED STATES DEPARTMENT OF AGRICULTURE**            |
|             |                                                        |
|             | **Office of the Chief Information Officer**            |
|             |                                                        |
|             | **Information Technology Management**                  |
|             |                                                        |
|             | **Washington, DC 20250**                               |
+-------------+--------------------------------------------------------+

**Document Control**

  ------------ ---------------- ------------- -----------------------------------
  **Date**     **Author**       **Version**   **Description of Changes**

  10/20/2006   SAIC             1.0           Original document. Created by SAIC,
                                              reviewed by STG (ST&E), and
                                              approved by Tony Capo (ISSPM).
  ------------ ---------------- ------------- -----------------------------------

## Document Sign-off {#document-sign-off .unnumbered}

  -------------------- -------------------- ------------------------------------------
  [Date]{.smallcaps}   [Name]{.smallcaps}   [Title]{.smallcaps}

  10/20/2006           Tony Capo            Information Systems Security Program
                                            Manager
  -------------------- -------------------- ------------------------------------------

**Table of Contents**

[1 Introduction 1](#introduction)

[1.1 eAuthentication Overview 1](#eauthentication-overview)

[1.2 Purpose 1](#purpose)

[2 Privacy Impact Assessment 2](#privacy-impact-assessment)

[2.1 Purpose and Use of Collected Information
2](#purpose-and-use-of-collected-information)

[2.2 Authority to Collect Information
2](#authority-to-collect-information)

[2.3 Information Collection 3](#information-collection)

[2.3.1 USDA Customers 3](#usda-customers)

[2.3.2 USDA Employees 4](#usda-employees)

[2.4 Information Sources 5](#information-sources)

[2.4.1 USDA Customers 5](#usda-customers-1)

[2.4.2 USDA Employees 6](#usda-employees-1)

[2.5 Data Attributes 6](#data-attributes)

[2.5.1 Necessity 6](#necessity)

[2.5.2 Completeness 6](#completeness)

[2.5.3 Accuracy 6](#accuracy)

[2.6 Information Sharing 7](#information-sharing)

[2.6.1 USDA Applications 7](#usda-applications)

[2.6.2 Federal Government E-Authentication
7](#federal-government-e-authentication)

[2.6.3 Data Sharing Requirements 7](#data-sharing-requirements)

[2.6.4 Data Attributes Sharing Policy
8](#data-attributes-sharing-policy)

[2.7 Access to System Data 8](#access-to-system-data)

[2.8 System Security 9](#system-security)

[2.9 Data Storage, Retention, and Disposal
9](#data-storage-retention-and-disposal)

[2.10 Privacy Notice 10](#privacy-notice)

[Appendix A - Privacy Impact Assessment Questionnaire
12](#appendix-a---privacy-impact-assessment-questionnaire)

[Appendix B - Privacy Act and Public Burden Statements
20](#appendix-b---privacy-act-and-public-burden-statements)

[Appendix C - Privacy Act System of Records
21](#appendix-c---privacy-act-system-of-records)

[Appendix D - Information Collection Supporting Statement
24](#appendix-d---information-collection-supporting-statement)

# Introduction

## eAuthentication Overview

The USDA eAuthentication Service (eAuthentication or eAuth) provides
single sign-on capability for access to USDA web applications,
management of user credentials, and verification of identity. USDA
eAuthentication enables secure electronic transactions by providing an
electronic identity validation to allow electronic signatures and
non-repudiation. Through a self-registration process USDA customers and
employees are able to obtain accounts as authorized users that will
enable them to access USDA Web applications and services via the
Internet.

The eAuthentication Service enables users to securely and confidently
conduct business transactions with the USDA electronically via the
Internet. It is imperative to provide individuals with a clear
understanding of eAuthentication's policies and procedures for ensuring
privacy protection of customer and employee information.

## Purpose

This document details a Privacy Impact Assessment (PIA) of the USDA
eAuthentication Service. The purpose of this document is the following:

-   Provide clear well-defined documentation on how eAuthentication
    manages customer and employee data.

-   Build trust and reliance in eAuthentication's ability to provide
    secure online transactions and protect user information from
    unauthorized access.

-   Provide awareness on the information that eAuthentication collects
    and the purpose for what it is used.

-   Assure USDA customers and employees that collected information is
    necessary, and is used to perform the system's designed functions.

-   Discuss the security controls used by eAuthentication to protect
    user information and discuss how the system mitigates privacy risks.

# Privacy Impact Assessment

## Purpose and Use of Collected Information

The eAuthentication Service collects customer and employee information
for the purpose of creating eAuthentication accounts that are used to
authenticate users to USDA Web applications. In addition, customer and
employee account information is provided to USDA applications which the
user chooses to access, in order to facilitate authorization and
business transactions.

## Authority to Collect Information

The USDA eAuthentication Service derives the authority to collect user
information from the following statutes and regulations:

**E-Government Act of 2002 (H.R. 2458)**

This legislation ensures strong leadership of information technology
activities of Federal agencies, a comprehensive framework for
information security standards and programs, and uniform safeguards to
protect the confidentiality of information provided by the public.

**Government Paperwork Elimination Act (GPEA, Pub. L. 105-277) of 1998**

The Government Paperwork Elimination Act (GPEA) required agencies, by
October 21, 2003, to provide an electronic option for maintenance,
submission, or disclosure of information, when practicable as a
substitute for paper. GPEA also entails the use and acceptance of
electronic signatures, when practicable.

**Freedom to E-File Act (Pub. L. 106-222) of 2000**

To the maximum extent practicable, this act establishes an
Internet-based system that enables agricultural producers to access all
forms of the agencies of the Department of Agriculture.

**Electronic Signatures in Global and National Commerce Act (E-SIGN,
Pub. L. 106-229) of 2000**

The E-SIGN Act recognizes the validity of contracts in electronic form.
It not only authorizes digital signatures, which enables electronic
authentication, but also empowers the use of online contracting and
provision of notices.

USDA eAuthentication operates under the aforementioned regulations and
collects information solely to accomplish its designed purpose as noted
in the regulations. The authority to collect information is approved by
the Office of Management and Budget (OMB) under OMB Control Number
0503-0014. Furnishing the requested information is voluntary. However,
if this information is not provided, electronic access to USDA Web
applications that are protected by eAuthentication will not be
permitted.

## Information Collection

The USDA eAuthentication Service collects user information in order to
provide authorized user accounts that facilitate access to USDA
resources protected by eAuthentication.

The eAuthentication Web site does not collect information that is
considered of a sensitive nature such as race, religious beliefs, and
sexual behavior and attitude.

In addition to the identity information collected at registration and
described in sections 2.3.1 and 2.3.2, each eAuthentication account also
contains an associated user ID and password that was created by the
user. In addition, each account may contain associated roles or
permissions, given by specific USDA administrators, which allow the user
to access certain requested applications. The user ID and password and
permissions associated with an account are what enable users to access
requested USDA resources.

For more information on the procedures for applying for an
eAuthentication account please review the eAuthentication *Security
Features User's Guide (SFUG)*.

### USDA Customers

User accounts are obtained through a voluntary self-registration process
provided by the eAuthentication Web site, located at
www.eauth.egov.usda.gov. USDA customers can self-register for a Level 1
or Level 2 Access account. A Level 1 Access account provides users with
limited access to USDA Web site portals and applications that have
minimal security requirements. A Level 2 Access account enables users to
conduct official electronic business transactions via the Internet,
enter into a contract with USDA, and submit forms electronically via the
Internet to USDA Agencies. Due to the increased customer access
associated with a Level 2 Access account, customers must be
authenticated in person at a USDA Service Center by a Local Registration
Authority (LRA), in addition to an electronic self-registration. This
provides a level of assurance in the customer's identity that is not
present through the self-registration.

The following information is collected from customers through the
electronic self-registration process:

+------------------------------------+---------------------------------+
| **Level 1 Access**                 | **Level 2 Access**              |
+------------------------------------+---------------------------------+
| ***Required***                     | ***Required***                  |
+------------------------------------+---------------------------------+
| User ID                            | User ID                         |
+------------------------------------+---------------------------------+
| Password                           | Password                        |
+------------------------------------+---------------------------------+
| Email Address                      | Email Address                   |
+------------------------------------+---------------------------------+
| First Name                         | First Name                      |
+------------------------------------+---------------------------------+
| Last Name                          | Last Name                       |
+------------------------------------+---------------------------------+
| Country Name                       | Address                         |
+------------------------------------+---------------------------------+
| ***Optional***                     | City                            |
+------------------------------------+---------------------------------+
| Middle Initial                     | State                           |
+------------------------------------+---------------------------------+
| Home Postal/ZIP Code               | Home Postal/ZIP Code            |
+------------------------------------+---------------------------------+
|                                    | Country Name                    |
+------------------------------------+---------------------------------+
|                                    | Mother\'s Maiden Name           |
+------------------------------------+---------------------------------+
|                                    | 4 digit PIN                     |
+------------------------------------+---------------------------------+
|                                    | Date of Birth                   |
+------------------------------------+---------------------------------+
|                                    | ***Optional***                  |
+------------------------------------+---------------------------------+
|                                    | Middle Initial                  |
+------------------------------------+---------------------------------+
|                                    | Home Phone                      |
+------------------------------------+---------------------------------+
|                                    | International Home Phone        |
+------------------------------------+---------------------------------+
|                                    | Alternate Phone                 |
+------------------------------------+---------------------------------+
|                                    | International Alternate Phone   |
|                                    |                                 |
|                                    | SCIMS Account Number            |
+------------------------------------+---------------------------------+
|                                    |                                 |
+------------------------------------+---------------------------------+

During the in-person identity proofing process for Level 2 accounts, the
credential document type and expiration date is also recorded. At this
time, the Service Center Information Management System (SCIMS) account
number may be also entered into the record by the Local Registration
Authority, if the customer has had previous business with the USDA
Service Center Agencies. Information about the SCIMS system can be found
at <http://www.fsa.usda.gov/dam/kcmo/itsd/scit_projects.htm>.

  ------------------------------------ ----------------------------------
                                       ***Identity-Proofing
                                       Information***

                                       Name of LRA

                                       Credential Document Type

                                       Credential Expiration Date
  ------------------------------------ ----------------------------------

### USDA Employees

The USDA employee self-registration process provides a Level 2 Access
account electronically. Identity confirmation is accomplished by
verifying inputted information against employee data from the Common
Employee Database (CED). This database includes information found on
earnings and leave statements created by the National Finance Center.
This online registration process also provides a level of assurance in
the employee's identity, without the in-person identity-proofing
required of customers.

The following information is collected from employees through the
electronic self-registration process:

+-----------------------------------------------------------------------+
| **Employee Account**                                                  |
+-----------------------------------------------------------------------+
| ***Required***                                                        |
+-----------------------------------------------------------------------+
| User ID                                                               |
+-----------------------------------------------------------------------+
| Password                                                              |
+-----------------------------------------------------------------------+
| Email Address                                                         |
+-----------------------------------------------------------------------+
| First Name                                                            |
+-----------------------------------------------------------------------+
| Last Name                                                             |
+-----------------------------------------------------------------------+
| Address                                                               |
+-----------------------------------------------------------------------+
| City                                                                  |
+-----------------------------------------------------------------------+
| State                                                                 |
+-----------------------------------------------------------------------+
| Home Postal/ZIP Code                                                  |
+-----------------------------------------------------------------------+
| Country Name                                                          |
+-----------------------------------------------------------------------+
| Mother\'s Maiden Name                                                 |
+-----------------------------------------------------------------------+
| 4 digit PIN                                                           |
+-----------------------------------------------------------------------+
| Date of Birth                                                         |
|                                                                       |
| Agency Name                                                           |
|                                                                       |
| Social Security Number                                                |
|                                                                       |
| Duty Station Code                                                     |
|                                                                       |
| Service Comp. Date                                                    |
|                                                                       |
| Net Amount of Paycheck                                                |
|                                                                       |
| Pay Plan, Grade, and Step                                             |
+-----------------------------------------------------------------------+
| ***Optional***                                                        |
+-----------------------------------------------------------------------+
| Middle Initial                                                        |
+-----------------------------------------------------------------------+
| Home Phone                                                            |
+-----------------------------------------------------------------------+
| International Home Phone                                              |
+-----------------------------------------------------------------------+
| Alternate Phone                                                       |
+-----------------------------------------------------------------------+
| International Alternate Phone                                         |
+-----------------------------------------------------------------------+

## Information Sources

### USDA Customers

The eAuthentication Service collects information from any individual
requesting access to USDA online resources that are protected by
eAuthentication. The information is collected through a one-time
electronic self-registration form provided through the eAuthentication
website, located at www.eauth.egov.usda.gov. This enables customers and
employees to register for an eAuthentication account that will provide
access to protected USDA Web applications and services.

Identity-proofing information is collected by the Local Registration
Authority (LRA). During the time of in-person identity-proofing the LRA
must record the credential document type and expiration date. In
addition, the SCIMS account number may be also entered into the record
by the Local Registration Authority, if the customer has had previous
business with the USDA Service Center Agencies. Information about the
SCIMS system can be found at
<http://www.fsa.usda.gov/dam/kcmo/itsd/scit_projects.htm>.

### USDA Employees

In addition to the self-registration process, the eAuthentication System
also obtains data from the USDA Common Employee Database (CED) to
validate entered employee information. eAuthentication verifies the
identity of employees during the registration process by comparing the
entered information against data in CED. This allows employees to
register without the in-person identity-proofing required of customers.
More information about CED is available through Departmental Regulation
3630-001.

## Data Attributes

### Necessity

The USDA eAuthentication Service collects customer and employee
information in order to provide a level of assurance of the identity of
the user, prior to allowing access to USDA Web resources. Information is
collected for 2 reasons:

-   to initially validate the user's identity

-   to verify that the returning user is the same identity-proofed
    customer or employee (via the user ID and password)

### Completeness

Customers and employees must register through an online
self-registration process in order to obtain an eAuthentication account.
The online self-registration forms contain required and optional fields
for users to enter their personal information. Completeness of data is
ensured by requiring users to complete all required fields prior to
submission. The eAuthentication Service prohibits users from submitting
their registration without the required minimum user information.

### Accuracy

The online self-registration forms include automatic format validation
of some entered user data. Customers and employees are prohibited from
submitting registration forms unless all required data fields are
completed in a valid format. In addition, form data requires users to
enter their password twice and uses dropdown lists for predictable
fields such as state and country. These controls ensure that user data
is accurately collected in a proper format.

In addition, for a Level 2 Access account, customers are required to
travel to a USDA Service Center to validate their registration data
against a government ID.

Customer and employee information is kept current by allowing users to
electronically update their own basic personal information such as
address and email. Once a user submits their modified information, the
system is immediately updated to reflect these changes.

## Information Sharing

### USDA Applications

The USDA eAuthentication Service provides Site Protection to USDA Web
applications. As part of this function, eAuthentication discloses user
identity and credential information, such as level of assurance, to the
requested application to enable user access. The eAuthentication Service
shares this data upon initial access to the Web application. Target
application owners are then responsible for securing the data within
their application.

### Federal Government E-Authentication

The eAuthentication Service also serves as a Credential Service Provider
in the government's federated architecture. In this capacity,
eAuthentication discloses user credential information to external
applications that are also integrated with the government's federated
architecture if the user has chosen to access these applications.

All applications must have completed a Certification and Accreditation
(C&A), as well as the GSA boarding process, in order to join the
Federation. The GSA boarding process requires agencies to be compliant
with the Paperwork Reduction Act and complete a System of Records
Notice. GSA also requires agencies to meet architecture/technical
interface requirements to ensure a secure and effective technical
environment.

### Data Sharing Requirements

Additional data passed to any system must meet the following conditions:

-   System owner must provide a written request and justification as to
    why the eAuthentication data elements are required.

-   Target system has an approved and current Certification and
    Accreditation (C&A) Authority to Operate (ATO) in effect.

-   The target system must have a current Privacy Impact Assessment
    (PIA) on file with the USDA Information Officer, for any shared data
    that would compromise the identity of the user.

-   System owner must sign a Memorandum of Understanding (MOU) with
    eAuthentication agreeing that they will use the information only as
    stipulated in the request, will not transfer received data to other
    external parties, and will maintain sufficient security as
    stipulated in their C&A Security Test and Evaluation (ST&E).

### Data Attributes Sharing Policy

The eAuthentication Service does not share sensitive data attributes
such as user ID, password, or account security attributes under any
circumstances. Confidential data such as name, address, and contact
information is conditionally shared. Internal data such as organization
information for employees is also conditionally shared.

The USDA eAuthentication Service will also disclose personal information
to government entities for law compliance purposes. A complete
description of these information uses is described in Appendix C --
Privacy Act System of Records.

## Access to System Data

The USDA eAuthentication Service is responsible for protecting the
privacy rights of customers and employees who provide their personal
information. Access to system data is granted on a limited basis to USDA
customers, employees, administrators, help desk individuals, and other
federal agencies to facilitate electronic user authentication and
authorization.

USDA customers and employees are granted access to their own basic
personal information. Users can use their account's user ID and password
to access and modify basic personal data such as address and email.
Users do not have access to modify sensitive data such as level of
access and permissions associated with an account. Only system
administrators have access to update sensitive fields, and only do so
when a ticket is escalated from the help desk.

System administrators have access to user information on a limited basis
allowing them to only perform their specific job function. Access is
limited to administrators on a least privileged basis utilizing
separation of duties. Administrators and help desk persons have
eAuthentication accounts with the appropriate level of access and
permissions which allow them to access and modify user data. These
permissions are granted by a limited number of management personnel.

The eAuthentication system contains effective reporting capabilities to
report access to system data. eAuthentication is able to report account
creation and data modification facts. For account credentials,
eAuthentication is able to report the date, time, and individual
responsible for granted permissions and increased level of access.

## System Security

The USDA eAuthentication Service has conducted a comprehensive and
thorough Certification and Accreditation (C&A) and was fully authorized
to operate on November 20, 2003. The eAuthentication Service is
accredited and formally declared to have implemented appropriate
security controls and have a satisfactory level of security present in
the system.

Furthermore, the eAuthentication Service is fully compliant with the
Federal Information Security Management Act (FISMA) of 2002 and meets or
exceeds standard security controls set forth by the National Institute
of Standards and Technology (NIST). These regulations require all
federal agencies to provide security for the information and information
systems that support the operations and assets of the agency. In
addition, the following security controls are utilized and continuously
reviewed to ensure a high level of security control for the
eAuthentication system.

-   Vulnerability Assessments

-   Host-Based Intrusion Detection

-   Network-Based Intrusion Detection

-   Firewall Alerting

-   USDA Intrusion Detection

-   Active Directory Monitoring

-   Database Monitoring

-   Site Protection Monitoring

-   Identity Management Monitoring

-   Virus Protection

-   Machine Health

All systems interacting with eAuthentication are required to have
appropriate security controls. This includes the hosting facility, Web
Farm, and integrated applications supported and managed by OCIO-ITS.
Integrated target systems must have a valid C&A ATO in effect and
memorandum of understanding to ensure that information is only used in
the intended manner. Please refer to [Section 2.6: Information
Sharing](#information-sharing) of this document for more information on
the security precautions that are taken before a target system
integrates with the eAuthentication solution.

## Data Storage, Retention, and Disposal

Information obtained by the eAuthentication Service is stored and
maintained electronically on secure USDA-owned and operated systems in
St. Louis, MO, and Ft. Collins, CO. The eAuthentication system,
including the data repositories, is replicated between the two locations
to ensure consistency. These systems are formally declared to have
implemented appropriate security controls and have a valid C&A ATO in
effect.

The USDA eAuthentication Service is responsible for maintaining a record
of the facts of registration for a period beyond expiration or
revocation of a user's credential. Departmental regulation requires
eAuthentication to retain user data for a minimum time period. This
minimum time period varies with the assurance level of the credential as
follows:

-   Level 1 credentials -- no minimum retention period.

-   Level 2 and 3 credentials -- seven years and six months.

eAuthentication also maintains records of user registrations, user
logons, and account data (data entered, modified, or deleted) through
the eAuthentication system. Departmental regulation requires
eAuthentication to retain these database auditing logs for a minimum of
7 years. Currently, eAuthentication account records are maintained
indefinitely. Agencies are responsible for maintaining records of
application access and data transactions conducted through their
applications.

Backups of critical eAuthentication files are taken daily while full
server backups are performed on a weekly basis. These critical file
backups and server backups are used for a variety of functions from
restoring a single audit file that was accidentally deleted to
recovering from a hard disk crash. Data, files, directories, and logs
are readily available for restore in case of an emergency.

Non-scheduled backups are performed under the following circumstances:

-   Before a major software or application installation.

-   Before a major hardware installation, transfer, move, or upgrade.

-   At the request of the data owner.

Backups are stored on tapes with recognized barcode labels so that in
the event of a disaster they are easily identified. They are securely
stored in a locked storage cabinet in a different computer room from
where the servers are located to prevent losing both the server and the
backups in an emergency.

## Privacy Notice

The USDA eAuthentication Service notifies users of privacy information
through the following:

-   Privacy Act and Public Burden Statements

-   Privacy Act System of Records Notice

-   Information Collection Notice and Package

The USDA eAuthentication Service notifies customers and employees of the
purpose and authority to collect their information through the
eAuthentication Privacy Act Statement and Public Burden Statement. The
Privacy Act Statement informs users of the authority by which
information is collected, purpose and use of the collected information,
and repercussions for not providing the information. The Public Burden
Statement informs users of the OMB control number by which
eAuthentication collects information and provides estimates on the time
required to complete the registration process. The OMB control number is
also listed on all customer registration forms. Users can view the
Privacy Act and Public Burden Statements on the Privacy Policy page of
the eAuthentication Web site. Copies of these statements are included in
[Appendix B - Privacy Act and Public Burden
Statements](#appendix-b---privacy-act-and-public-burden-statements).

The USDA eAuthentication Service also notifies customers and employees
of system properties and the collection and management of user data
through the USDA eAuthentication Service System of Records, which is
published in the federal register.

The Information Collection Package provides a detailed description of
the eAuthentication information collection process. The information
collection notice is also published in the federal register. Copies of
these documents are included in [Appendix C - Privacy Act System of
Records](#appendix-c---privacy-act-system-of-records) and [Appendix D -
Information Collection Supporting
Statement](#appendix-d---information-collection-supporting-statement).

# Appendix A - Privacy Impact Assessment Questionnaire {#appendix-a---privacy-impact-assessment-questionnaire .unnumbered}

**Introduction**

This document reports the results of a Privacy Impact Assessment
conducted on the USDA eAuthentication Service in July 2005. The
assessment was conducted according to the guidelines set forth in *Cyber
Security Guidance on Privacy Impact Assessments (PIAs)*, and presents
the information requested in Attachment 2, USDA Privacy Impact
Assessment Form.

**Assessment Results**

**Project Name:** USDA eAuthentication

**Program/Project Description:**

The USDA eAuthentication provides USDA Agency customers and employees
single sign-on capability and electronic authentication and
authorization for USDA Web applications and services. Through an online
self-registration process, USDA Agency customers and employees can
obtain accounts as authorized users that will provide access to USDA
resources without needing to reauthenticate within the context of a
single internet session. Once an account is activated, users may use the
associated user ID and password that they created to access USDA
resources that are protected by eAuthentication.

**Privacy Office/Analyst:**

The OCIO privacy officer is [Howard Baker]{.underline} (202) 720-8657.

The USDA eAuthentication privacy analyst is [Owen Unangst]{.underline}
(970) 295-5538.

**DATA IN THE SYSTEM**

+------------------------------+---------------------------------------+
| **1. Generally describe the  | **Webusers**                          |
| information to be used in    |                                       |
| the system in each of the    | Level 1:                              |
| following categories:        |                                       |
| Customer, Employee, and      | User ID\*       EAuth Internal ID     |
| Other.**                     |                                       |
|                              |             Password\* Level of       |
|                              | Assurance                             |
|                              |                                       |
|                              |             First Name\*              |
|                              |                                       |
|                              |             Middle Initial            |
|                              |                                       |
|                              |             Last Name\*               |
|                              |                                       |
|                              |             Home Postal/Zip Code      |
|                              |                                       |
|                              |             Country name\*            |
|                              |                                       |
|                              | Email\*                               |
|                              |                                       |
|                              |                                       |
|                              |                                       |
|                              | Level 2:                              |
|                              |                                       |
|                              |             SCIMS ID EAuth Internal   |
|                              | ID                                    |
|                              |                                       |
|                              |             User                      |
|                              | ID\*                        Level of  |
|                              | Assurance                             |
|                              |                                       |
|                              |             Password\* Identity Proof |
|                              | Type                                  |
|                              |                                       |
|                              |             First Name\* Credential   |
|                              | Issuer                                |
|                              |                                       |
|                              |             Middle Initial Credential |
|                              | Document Type                         |
|                              |                                       |
|                              |             Last Name\* Credential    |
|                              | Expiration                            |
|                              |                                       |
|                              | Home Address\*                        |
|                              |                                       |
|                              |             City\*                    |
|                              |                                       |
|                              |             State\*                   |
|                              |                                       |
|                              | Home Postal/Zip Code\*                |
|                              |                                       |
|                              |             Country name\*            |
|                              |                                       |
|                              | Email\*                               |
|                              |                                       |
|                              |             Home Phone                |
|                              |                                       |
|                              |             International Home Phone  |
|                              |                                       |
|                              | Alternate Phone                       |
|                              |                                       |
|                              |             International Alternate   |
|                              | Phone                                 |
|                              |                                       |
|                              |             Mother's Maiden Name\*    |
|                              |                                       |
|                              |             4 digit PIN\*             |
|                              |                                       |
|                              |             Date of Birth (DOB)       |
|                              |                                       |
|                              |                                       |
|                              |                                       |
|                              | **Employees**                         |
|                              |                                       |
|                              | eAuthentication AD: Common Employee   |
|                              | Database:                             |
|                              |                                       |
|                              | FIPS State County Code Social         |
|                              | Security Number (SSN)                 |
|                              |                                       |
|                              |             CAMS Employee ID Duty     |
|                              | Station Code\*                        |
|                              |                                       |
|                              |             EAuth Internal ID Service |
|                              | Comp. Date\*                          |
|                              |                                       |
|                              | User ID\* Net Amount of Paycheck\*    |
|                              |                                       |
|                              |             Password\* Pay Plan,      |
|                              | Grade, and Step\*                     |
|                              |                                       |
|                              | Home Address\*                        |
|                              |                                       |
|                              | Home Postal/Zip Code\*                |
|                              |                                       |
|                              |             Home Phone                |
|                              |                                       |
|                              |             International Home Phone  |
|                              |                                       |
|                              | Alternate Phone                       |
|                              |                                       |
|                              |             International Alternate   |
|                              | Phone                                 |
|                              |                                       |
|                              |             Country name\*            |
|                              |                                       |
|                              |             E-mail\*                  |
|                              |                                       |
|                              |           Mother's Maiden Name\*      |
|                              |                                       |
|                              |             4 digit PIN\*             |
|                              |                                       |
|                              | Date of Birth (DOB)\*                 |
|                              |                                       |
|                              |             Agency Name\*             |
|                              |                                       |
|                              |             First Name\*              |
|                              |                                       |
|                              | Middle Initial                        |
|                              |                                       |
|                              | Last Name\*                           |
|                              |                                       |
|                              | State\*                               |
|                              |                                       |
|                              | City\*                                |
|                              |                                       |
|                              | Level of Assurance\*                  |
|                              |                                       |
|                              | (\*) Required                         |
|                              | information**           **            |
+------------------------------+---------------------------------------+
| **2a. What are the sources   | 1\) Individuals registering for       |
| of the information in the    | accounts                              |
| system?**                    |                                       |
|                              | 2\) USDA Common Employee Database     |
|                              |                                       |
|                              | 3\) USDA Service Center Information   |
|                              | Management System (SCIMS) database.   |
+------------------------------+---------------------------------------+
| **2b. What USDA files and    | Common Employee Database (CED) --     |
| databases are used? What is  | USDA OCIO                             |
| the source agency?**         |                                       |
+------------------------------+---------------------------------------+
| **2c. What Federal Agencies  | 1\) The United States Department of   |
| are providing data for use   | Agriculture                           |
| in the system?**             |                                       |
|                              | 2\) In the long term, USDA will       |
|                              | accept data from other Federal        |
|                              | Agencies that are certified as        |
|                              | credential providers by General       |
|                              | Services Administration (GSA) as part |
|                              | of the E-Authentication initiative.   |
+------------------------------+---------------------------------------+
| **2d. What State and Local   | No state or local agency is providing |
| Agencies are providing data  | data for use in the system.           |
| for use in the system?**     |                                       |
+------------------------------+---------------------------------------+
| **2e. From what other third  | Data will not be collected from other |
| party sources will data be   | third party sources.                  |
| collected?**                 |                                       |
+------------------------------+---------------------------------------+
| **2f. What information will  | **Webusers**                          |
| be collected from the        |                                       |
| customer/employee?**         | Level 1:                              |
|                              |                                       |
|                              |             User                      |
|                              | ID\*                                  |
|                              |                                       |
|                              |             Password\*                |
|                              |                                       |
|                              |             First Name\*              |
|                              |                                       |
|                              |             Middle Initial            |
|                              |                                       |
|                              |             Last Name\*               |
|                              |                                       |
|                              |             Home Postal/Zip Code      |
|                              |                                       |
|                              |             Country name\*            |
|                              |                                       |
|                              | Email\*                               |
|                              |                                       |
|                              |                                       |
|                              |                                       |
|                              | Level 2:                              |
|                              |                                       |
|                              |             User                      |
|                              | ID\*                                  |
|                              |                                       |
|                              |             Password\*                |
|                              |                                       |
|                              |             First Name\*              |
|                              |                                       |
|                              |             Middle Initial            |
|                              |                                       |
|                              |             Last Name\*               |
|                              |                                       |
|                              | Home Address\*                        |
|                              |                                       |
|                              |             City\*                    |
|                              |                                       |
|                              |             State\*                   |
|                              |                                       |
|                              | Home Postal/Zip Code\*                |
|                              |                                       |
|                              |             Country name\*            |
|                              |                                       |
|                              | Email\*                               |
|                              |                                       |
|                              |             Home Phone                |
|                              |                                       |
|                              |             International Home Phone  |
|                              |                                       |
|                              | Alternate Phone                       |
|                              |                                       |
|                              |             International Alternate   |
|                              | Phone                                 |
|                              |                                       |
|                              |             Mother's Maiden Name\*    |
|                              |                                       |
|                              |             4 digit PIN\*             |
|                              |                                       |
|                              |             Date of Birth (DOB)\*     |
|                              |                                       |
|                              |                                       |
|                              |                                       |
|                              | **Employees**                         |
|                              |                                       |
|                              |             UserName                  |
|                              |                                       |
|                              |             Password                  |
|                              |                                       |
|                              | Home Address                          |
|                              |                                       |
|                              | Home Postal/Zip Code                  |
|                              |                                       |
|                              |             Home Phone                |
|                              |                                       |
|                              |             International Home Phone  |
|                              |                                       |
|                              | Alternate Phone                       |
|                              |                                       |
|                              |             International Alternate   |
|                              | Phone                                 |
|                              |                                       |
|                              |             Country name              |
|                              |                                       |
|                              |             Email                     |
|                              |                                       |
|                              |            Social Security Number     |
|                              | (SSN)                                 |
|                              |                                       |
|                              | Mother's Maiden Name\*                |
|                              |                                       |
|                              |             4 digit PIN\*             |
|                              |                                       |
|                              |             Date of Birth (DOB)\*     |
|                              |                                       |
|                              |             Agency Name\*             |
|                              |                                       |
|                              |             Duty Station Code\*       |
|                              |                                       |
|                              |             Service Comp. Date\*      |
|                              |                                       |
|                              |             First Name\*              |
|                              |                                       |
|                              | Middle Initial                        |
|                              |                                       |
|                              | Last Name\*                           |
|                              |                                       |
|                              | State\*                               |
|                              |                                       |
|                              | City\*                                |
|                              |                                       |
|                              | Net Amount of Paycheck\*              |
|                              |                                       |
|                              | Pay Plan, Grade, and Step\*           |
|                              |                                       |
|                              | \* Required                           |
|                              | information**           **            |
+------------------------------+---------------------------------------+
| **3a. How will data          | All information is provided by the    |
| collected from sources other | customer or from USDA records.        |
| than the USDA records and    |                                       |
| the customer be verified for |                                       |
| accuracy?**                  |                                       |
+------------------------------+---------------------------------------+
| **3b. How will data be       | Customer information is self-service  |
| checked for completeness?**  | entered. For Level 2 Access accounts, |
|                              | customer information is validated by  |
|                              | a Local Registration Authority (LRA). |
|                              | The LRA checks the information in the |
|                              | USDA eAuthentication Service against  |
|                              | the customer's identification.        |
|                              |                                       |
|                              | Employee information is validated     |
|                              | against USDA payroll and personnel    |
|                              | information from a common employee    |
|                              | database.                             |
|                              |                                       |
|                              | Self-registration includes            |
|                              | validations such as entry of required |
|                              | fields, confirming passwords by       |
|                              | entering it twice and using dropdown  |
|                              | lists for "state" and other           |
|                              | predictable fields. A registration    |
|                              | form cannot be submitted unless all   |
|                              | required fields are entered           |
|                              | correctly.                            |
+------------------------------+---------------------------------------+

**ACCESS TO THE DATA**

+------------------------------+---------------------------------------+
| **1. Who will have access to | Users have limited access to their    |
| the data in the system       | own data.                             |
| (Users, Managers, System     |                                       |
| Administrators, Developers,  | System Administrators, database       |
| Other)?**                    | administrators, and help desk persons |
|                              | have access to data fields on a least |
|                              | privileged basis.                     |
+------------------------------+---------------------------------------+
| **2. How is access to the    | End users have access only to their   |
| data by a user determined?   | own information and have write        |
| Are criteria, procedures,    | privileges to a very limited subset   |
| controls, and                | of this information.                  |
| responsibilities regarding   |                                       |
| access documented?**         | System administrators, database       |
|                              | administrators and help desk persons  |
|                              | have access based on criteria         |
|                              | limiting access to only that needed   |
|                              | for the individuals to do their       |
|                              | specified job.                        |
|                              |                                       |
|                              | Controls have been established for    |
|                              | access management and are documented  |
|                              | in the system's Certification and     |
|                              | Accreditation.                        |
+------------------------------+---------------------------------------+
| **3. Will users have access  | End users have access only to their   |
| to all data on the system or | own information and have write        |
| will the user's access be    | privileges to a very limited subset   |
| restricted? Explain.**       | of this information.                  |
|                              |                                       |
|                              | System administrators, database       |
|                              | administrators and help desk persons  |
|                              | have access based on criteria         |
|                              | limiting access to only that needed   |
|                              | for the individuals to do their       |
|                              | specified job.                        |
|                              |                                       |
|                              | Controls have been established for    |
|                              | access management and are documented  |
|                              | in the system's Certification and     |
|                              | Accreditation.                        |
+------------------------------+---------------------------------------+
| **4. What controls are in    | Access is limited to system           |
| place to prevent the misuse  | administrators, data base             |
| (e.g. browsing, unauthorized | administrators, and help desk users   |
| use) of data by those having | on a least privilege basis utilizing  |
| access?**                    | separation of duties.                 |
+------------------------------+---------------------------------------+
| **5a. Do other systems share | eAuthentication provides a standard   |
| data or have access to data  | set of user information to integrated |
| in this system? If yes,      | applications in order that            |
| explain.**                   | authentication and authorization can  |
|                              | occur. Only certain data is shared    |
|                              | with applications according to our    |
|                              | data sharing policy.                  |
+------------------------------+---------------------------------------+
| **5b. Who will be            | The USDA eAuthentication Service      |
| responsible for protecting   | shares data with applications upon    |
| the privacy rights of the    | initial authorization. Application    |
| customers and employees      | owners are then responsible for       |
| affected by the interface.** | securing information within their     |
|                              | application.                          |
+------------------------------+---------------------------------------+
| **6a. Will other agencies    | In the long term, USDA will accept    |
| share data or have access to | data and transfer data to other       |
| data in this system          | Federal Agencies that are part of the |
| (International, Federal,     | E-Authentication Federation           |
| State, Local, Other)?**      | initiative.                           |
+------------------------------+---------------------------------------+
| **6b. How will the data be   | The data is used by agency            |
| used by the agency?**        | applications to make authentication   |
|                              | and authorization decisions and to    |
|                              | facilitate business transactions.     |
+------------------------------+---------------------------------------+
| **6c. Who is responsible for | The USDA eAuthentication shares data  |
| assuring proper use of the   | with applications upon initial        |
| data?**                      | authorization. Application owners are |
|                              | then responsible for securing         |
|                              | information within their application. |
+------------------------------+---------------------------------------+

**ATTRIBUTES OF THE DATA**

+------------------------------+---------------------------------------+
| **1. Is the use of the data  | Yes, the system was designed as a     |
| both relevant and necessary  | security front-end to provide         |
| to the purpose for which the | authentication and authorization to   |
| system is being designed?**  | web-based applications. The data      |
|                              | stored within the USDA                |
|                              | eAuthentication Service is used to    |
|                              | determine authentication and          |
|                              | application access.                   |
+------------------------------+---------------------------------------+
| **2a. Will the system derive | The eAuthentication Service relies    |
| new data or create           | upon existing data sources and        |
| previously unavailable data  | information collected directly from   |
| about an individual through  | the customer or employee. The system  |
| aggregation from the         | itself does not derive or create new  |
| information collected?**     | data.                                 |
+------------------------------+---------------------------------------+
| **2b. Will the new data be   | Not Applicable.                       |
| placed in the individual's   |                                       |
| record (customer or          |                                       |
| employee)?**                 |                                       |
+------------------------------+---------------------------------------+
| **2c. Can the system make    | Not Applicable.                       |
| determinations about         |                                       |
| customers or employees that  |                                       |
| would not be possible        |                                       |
| without the new data?**      |                                       |
+------------------------------+---------------------------------------+
| **2d. How will the new data  | Not Applicable.                       |
| be verified for relevance    |                                       |
| and accuracy?**              |                                       |
+------------------------------+---------------------------------------+
| **3a. If data is being       | Customer data is not consolidated.    |
| consolidated, what controls  |                                       |
| are in place to protect the  | Employee data is consolidated in the  |
| data from unauthorized       | Common Employee Database (CED). CED   |
| access or use?**             | is a component of USDA Enterprise     |
|                              | Shared Services (ESS). More           |
|                              | information about CED is available    |
|                              | through Departmental Regulation       |
|                              | 3630-001.                             |
+------------------------------+---------------------------------------+
| **3b. If processes are being | Processes are not consolidated.       |
| consolidated, are the proper |                                       |
| controls remaining in place  |                                       |
| to protect the data and      |                                       |
| prevent unauthorized access? |                                       |
| Explain.**                   |                                       |
+------------------------------+---------------------------------------+
| **4a. How will the data be   | Data is retrieved to make             |
| retrieved? Can it be         | authentication and authorization      |
| retrieved by personal        | decisions by the eAuthentication      |
| identifier? If yes,          | Service once a user (employee or      |
| explain.**                   | customer) enters their ID/Password.   |
+------------------------------+---------------------------------------+
| **4b. What are the potential | Not Applicable.                       |
| effects on the due process   |                                       |
| rights of customers and      |                                       |
| employees of:**              |                                       |
|                              |                                       |
| -   **consolidation and      |                                       |
|     linkage of files and     |                                       |
|     systems**                |                                       |
|                              |                                       |
| -   **derivation of data**   |                                       |
|                              |                                       |
| -   **accelerated            |                                       |
|     information processing   |                                       |
|     and decision making**    |                                       |
|                              |                                       |
| -   **use of new             |                                       |
|     technologies**           |                                       |
+------------------------------+---------------------------------------+
| **4c. How are the effects to | Not Applicable.                       |
| be mitigated?**              |                                       |
+------------------------------+---------------------------------------+

**MAINTENANCE OF ADMINISTRATIVE CONTROLS**

+------------------------------+---------------------------------------+
| **1a. Explain how the system | The USDA eAuthentication Service      |
| and its use will ensure      | centralizes the authentication and    |
| equitable treatment of       | authorization process for Web-based   |
| customers and employees.**   | applications. Access control is       |
|                              | centrally managed ensuring equitable  |
|                              | treatment for all employees and       |
|                              | customers using Web-based             |
|                              | applications protected by the USDA    |
|                              | eAuthentication Service.              |
+------------------------------+---------------------------------------+
| **2a. If the system is       | The eAuthentication Service is        |
| operated in more than one    | operated in two sites (Fort Collins,  |
| site, how will consistent    | Colorado and St. Louis, Missouri).    |
| use of the system and data   | The system including the data         |
| be maintained in all         | repositories are replicated between   |
| sites?**                     | the cities to ensure consistency.     |
+------------------------------+---------------------------------------+
| **2b. Explain any            | All customers are required to follow  |
| possibility of disparate     | the same registration and             |
| treatment of individuals or  | identity-proofing process.            |
| groups.**                    |                                       |
|                              | All USDA employees are required to    |
|                              | follow the same registration and      |
|                              | online identity-proofing process.     |
+------------------------------+---------------------------------------+
| **2c. What are the retention | Data is retained within the USDA      |
| periods of data in this      | eAuthentication Service for a period  |
| system?**                    | of                                    |
|                              |                                       |
|                              | -   Level 1 credentials -- no minimum |
|                              |     retention period,                 |
|                              |                                       |
|                              | -   Levels 2 and 3 credentials --     |
|                              |     minimum of seven years and six    |
|                              |     months,                           |
|                              |                                       |
|                              | after the termination of the record   |
|                              | as per the USDA disposition           |
|                              | authority.                            |
+------------------------------+---------------------------------------+
| **2d. What are the           | The procedures have not been created  |
| procedures for eliminating   | as of this point in time since the    |
| the data at the end of the   | USDA eAuthentication Service has only |
| retention period? Where are  | been in existence since November      |
| the procedures documented?** | 2003.                                 |
+------------------------------+---------------------------------------+
| **2e. While the data is      | Certain data is refreshed from its    |
| retained in the system, what | sources periodically and other data   |
| are the requirements for     | is maintained by the user. The source |
| determining if the data is   | applications are responsible for      |
| still sufficiently accurate, | maintaining current and complete      |
| relevant, timely, and        | data.                                 |
| complete to ensure fairness  |                                       |
| in making determinations?**  |                                       |
+------------------------------+---------------------------------------+
| **3a. Is the system using    | The system is not using technologies  |
| technologies in ways that    | in ways that the USDA has not         |
| the USDA has not previously  | previously employed.                  |
| employed (e.g. Caller-ID)?** |                                       |
+------------------------------+---------------------------------------+
| **3b. How does the use of    | Authorized data is shared within      |
| this technology affect       | USDA.                                 |
| customer/employee privacy?** |                                       |
+------------------------------+---------------------------------------+
| **4a. Will this system       | eAuthentication does not locate or    |
| provide the capability to    | monitor individuals.                  |
| identify, locate, and        |                                       |
| monitor                      |                                       |
| [individuals]{.underline}?   |                                       |
| If yes, explain.**           |                                       |
+------------------------------+---------------------------------------+
| **4b. Will this system       | eAuthentication does not identify,    |
| provide the capability to    | locate, or monitor groups of people.  |
| identify, locate, and        |                                       |
| monitor [groups of           |                                       |
| people]{.underline}? If yes, |                                       |
| explain.**                   |                                       |
+------------------------------+---------------------------------------+
| **4c. What controls will be  | Not Applicable.                       |
| used to prevent unauthorized |                                       |
| monitoring?**                |                                       |
+------------------------------+---------------------------------------+
| **5a. Under which Systems of | The USDA eAuthentication Service      |
| Record notice (SOR) does the | System of Records is in progress. The |
| system operate? Provide      | number is yet to be assigned.         |
| number and name.**           |                                       |
+------------------------------+---------------------------------------+
| **5b. If the system is being | The new System of Records, which is   |
| modified, will the Systems   | in progress, is up to date.           |
| of Record (SOR) require      |                                       |
| amendment or revision?       |                                       |
| Explain.**                   |                                       |
+------------------------------+---------------------------------------+

## Appendix B - Privacy Act and Public Burden Statements {#appendix-b---privacy-act-and-public-burden-statements .unnumbered}

The following statements notify users of the purpose and use of
collected information and provide an estimate of the time burden
associated with obtaining an eAuthentication account. The statements are
provided to users online in the Privacy Policy page of the
eAuthentication Web site, located at www.eauth.egov.usda.gov.

**Privacy Act Statement**

The following statement is made in accordance with the Privacy Act of
1974 (5 USC 552a) as amended. The authority for requesting the following
information is the Government Paperwork Elimination Act, GPEA (Pub. L.
105-277), the Freedom to E-File Act (Pub. L. 106-222), the Electronic
Signatures in Global and National Commerce Act, E-SIGN (Pub. L.
106-229), and the E-Government Act of 2002 (H.R. 2458). The information
will be used to establish secure information transactions by enabling
the electronic authentication and authorization of users desiring access
to USDA Web applications and services via the Internet. Furnishing the
requested information is voluntary. However, if this information is not
provided, electronic access to USDA Web applications and services will
not be permitted. This information may be provided to other agencies,
IRS, Department of Justice, or other State and Federal Law enforcement
agencies, and in response to a court magistrate or administrative
tribunal. The provisions of criminal and civil fraud statutes, including
18 USC 286, 287, 371, 641, 651, 1001; 15 USC 714m; and 31 USC 3729, may
be applicable to the information provided.

**Public Burden Statement**

According to the Paperwork Reduction Act of 1995, an agency may not
conduct or sponsor, and a person is not required to respond to, a
collection of information unless it displays a valid OMB control number.
The valid OMB control number for this information collection is
0560-0219. The time required to complete this information collection is
estimated to average 8 minutes per response for an eAuthentication Level
1 Access account and 1.17 hours per response for an eAuthentication
Level 2 Access account, including the time for reviewing instructions,
searching existing data sources, gathering and maintaining the data
needed, and completing and reviewing the collection of information.

## Appendix C - Privacy Act System of Records {#appendix-c---privacy-act-system-of-records .unnumbered}

**USDA eAuthentication Service System of Records**

**System Name:**

USDA eAuthentication Service

**Security Classification:**

None

**System Location:**

USDA-NRCS Information Technology Center, 2150 Centre Avenue Building A,
Fort Collins, CO 80526-1891; USDA-Rural Development, 1520 Market Street,
St. Louis, MO 63103

**Categories of Individuals Covered by the System:**

This system contains records and related correspondence on individuals
who can access USDA applications and services that are protected by
eAuthentication. This includes members of the public and USDA employees.

**Categories of Records in the System:**

The eAuthentication system will collect the following information from
individuals when transacting electronically with USDA: name, address,
country of residence, telephone, email address, date of birth, and
mother's maiden name. The system will also require users to create a
user ID and password.

**Authority for Maintenance on the System:**

Government Paperwork Elimination Act (GPEA, Pub. L. 105-277) of 1998;
Freedom to E-File Act (Pub. L. 106-222) of 2000; Electronic Signatures
in Global and National Commerce Act (E-SIGN, Pub. L. 106-229) of 2000;
eGovernment Act of 2002 (H.R. 2458).

**Purpose(s):**

The records in this system are used to electronically authenticate and
authorize users accessing protected USDA applications and services.

**Routine Uses of Records Maintained in the System, Including Categories
of Users and the Purposes of Such Uses:**

1.  Disclosure to USDA applications protected by eAuthentication, as a
    user requests access to individual applications.

2.  Disclosure to external web applications integrated with the
    government's federated architecture for authentication. Under this
    architecture, the user will request access to an external
    application with their USDA credential prior to any disclosure of
    information. All external applications will have undergone rigorous
    testing before joining the architecture.

3.  Referral to the appropriate agency, whether Federal, state, local,
    or foreign, charged with the responsibility of investigating or
    prosecuting violation of law, or of enforcing or implementing a
    statute, rule, regulation, or order issued pursuant thereto, of any
    record within this system when information available indicates a
    violation or potential violation of law, whether civil, criminal, or
    regulatory in nature.

4.  Disclosure to a court, magistrate, or administrative tribunal, or to
    opposing counsel in a proceeding before a court, magistrate, or
    administrative tribunal, of any record within the system that
    constitutes evidence in that proceeding, or which is sought in the
    course of discovery, to the extent that USDA determines that the
    records sought are relevant to the proceeding.

5.  Disclosure to a congressional office from the record of an
    individual in response to any inquiry from the congressional office
    made at the request of that individual.

6.  Disclosure at the individuals' request to any federal department,
    state or local agencies, or USDA partner utilizing or interfacing
    with eAuthentication to provide electronic authentication for
    electronic transactions. The disclosure of this information is
    required to securely provide, monitor, and analyze the requested
    program, service, registration, or other transaction.

7.  Disclosure to USDA employees or contractors, partner agency
    employees or contractors, or private industry employed to identify
    patterns, trends, and anomalies indicative of fraud, waste, or
    abuse.

8.  Disclosure to determine compliance with program requirements.

**Policies and Practices for Storing, Retrieving, Accessing, Retaining,
and Disposing of Records in the System:**

**Storage:**

Records are stored and maintained electronically on USDA owned and
operated systems in St. Louis, MO, and Ft. Collins, CO.

**Retrievably:**

Records can be retrieved by name, username, or system ID.

**Safeguards:**

Records are accessible only to authorized personnel. Protection of the
records is ensured by appropriate technical controls. The physical
security of the system is provided by restricted building access. In
addition, increased security is provided by encryption of data when
transmitted. The system has undergone a Certification and Accreditation.

**Retention and Disposal:**

Since records are maintained electronically, they will be retained
indefinitely.

**System Manager and Address:**

Owen Unangst, NRCS Information Technology Center, 2150 Centre Avenue
Building A, Fort Collins, CO 80526-1891.

**Notification Procedure:**

An individual may request information regarding this system of records
or information as to whether the system contains records pertaining to
such individual from the Ft. Collins office. The request for information
should contain the individual's name, username, address, and email
address. Before information of any record is released, the system
manager may require the individual to provide proof of identity or
require the requester to furnish authorization from the individual to
permit release of information.

**Record Access Procedures:**

An individual may obtain information as to the procedures for gaining
access to a record in the system, which pertains to such individual, by
submitting a request to the Privacy Act Officer, 1400 Independence
Avenue SW, South Building, Washington, DC 20250-3700. The envelope and
letters should be marked "Privacy Act Request." A request for
information should contain name, address, username, name of system of
records, year of records in question, and any other pertinent
information to help identify the file.

**Contesting Record Procedures:**

Procedures for contesting records are the same as procedures for record
access. Include the reason for contesting the record and the proposed
amendment to the information with supporting documentation to show how
the record is inaccurate.

**Record Source Categories:**

Information from the system will be submitted by the user. When a user
wishes to transact with USDA or its partner organizations
electronically, the user must enter name, address, country of residence,
telephone, date of birth, mother's maiden name, username, and password.
As the USDA eAuthentication Service is integrated with other government
or private sector authentication systems, data may be obtained from
those systems to facilitate single-sign on capabilities.

**Exemptions Claimed for this System:**

None.

## Appendix D - Information Collection Supporting Statement {#appendix-d---information-collection-supporting-statement .unnumbered}

The following is the Supporting Statement from the eAuthentication
Information Collection Package created in July 2005 in compliance with
the Paperwork Reduction Act of 1995.

**Justification**

1.  **Explain the circumstances that make the collection of information
    necessary.**

> The Freedom to E-File Act, Government Paperwork Elimination Act, and
> the President's Management Agenda prescribe eGovernment functions as
> alternatives to traditional paper-based processes. Conducting online
> transactions necessitates processes for authenticating and authorizing
> online users and completing transactions with an electronic equivalent
> to traditional ink signatures. The information collected from the
> eAuthentication Web site enables the electronic authentication and
> authorization of users to USDA Web-based applications.

2.  **Indicate how, by whom, how frequently, and for what purpose the
    information is to be used.**

> The USDA eAuthentication Service provides public and government
> businesses single sign-on capability for USDA applications, management
> of user credentials, and verification of identity, authorization, and
> electronic signatures. USDA eAuthentication obtains customer
> information through an electronic self-registration process provided
> through the eAuthentication Web site. This voluntary online
> self-registration process applies to USDA Agency customers, as well as
> employees, who request access to protected USDA Web applications and
> services via the Internet. Registrants are able to self-register
> online from the eAuthentication Web site, located at
> www.eauth.egov.usda.gov, for a Level 1 or Level 2 Access
> eAuthentication account. An eAuthentication account has an associated
> user ID and password which enables the electronic authentication of
> users. A user will then have access to authorized resources without
> needing to reauthenticate within the context of a single internet
> session. The user ID and password and permissions associated with an
> account are what authenticates and authorizes a user to access a
> requested USDA resource.
>
> A customer **eAuthentication Level 1 Access webusers account**
> provides limited access to USDA Web site portals and applications that
> have minimal security requirements. Level 1 Access does not allow you
> to conduct official business transactions with the USDA via the
> Internet. A Level 1 Access account may be used to customize a web
> portal page, obtain general information about a specific USDA agency,
> and participate in public surveys for a USDA agency. A registrant can
> apply for a Level 1 Access account directly from the USDA
> eAuthentication Web site, located at www.eauth.egov.usda.gov. After
> accessing the eAuthentication Web site the registrant must click on
> the *Create an account* tab located on the left-hand navigation bar
> and subsequently click on the *Level 1 Access* link located within the
> context of the web page. The registrant must then complete and submit
> the registration form. Once the Level 1 Access self-registration form
> is submitted, a Level 1 Access account is created in the
> eAuthentication system and an email is sent to the registrant
> confirming their registration for a Level 1 Access account. In order
> to activate the account the registrant must click on the *ACTIVATE MY
> ACCOUNT* link in the email message. The user is now able to provide
> their eAuthentication account credentials to access protected USDA
> resources requiring a Level 1 Access.
>
> A customer **eAuthentication Level 2 Access webusers account**
> provides access to all the portals and applications that are covered
> by an account with Level 2 Access, and also provides the ability to
> conduct official electronic business transactions with the USDA via
> the Internet. A Level 2 account also enables customers to enter into a
> contract with the USDA and submit forms electronically via the
> Internet with a USDA agency. Similarly, a registrant can apply for an
> eAuthentication Level 2 Access account directly from the USDA
> eAuthentication web site. After the registrant clicks on the
> appropriate Level 2 Access links, completes and submits the Level 2
> Access self-registration form, and responds to the confirmation email,
> a Level 1 Access account is created in the system. An activated Level
> 2 Access account is not provided until the registrant is identity
> proofed. The registrant must then present their government issued
> photo ID at their local USDA Service Center. The USDA Service Center
> employee, a trained local registration authority, confirms the
> registrant's identity and activates their Level 2 Access account.
> Approximately one hour after the Level 2 Access has been activated by
> the USDA Service Center employee, the registrant will have access to
> USDA applications and services that require an account with Level 2
> Access.
>
> Informational data that must be reported through the online
> self-registration form in order to obtain a Level 1 Access account
> are: User ID, Password, First Name, Last Name, Country Name, and Email
> address. Although not required, the registrant may also provide their
> Middle Name, and Zip Code. Due to the increased level of access to
> USDA applications, users must provide additional informational items
> to obtain a Level 2 Access account. in order to obtain a Level 2
> Access account the registrant must also provide their: Home Address,
> City, State, Mother's Maiden Name, 4 digit PIN number, and Date of
> Birth, in addition to the information that must be provided to obtain
> a Level 1 Access account. The registrant also has the option to
> provide their Home Phone number or International Home Phone number (if
> applicable), and an Alternate Phone number or International Alternate
> Home Phone number (if applicable).
>
> The online self-registration process to obtain an eAuthentication
> account is a one-time information collection process. The account
> information can be modified without the need of the user to
> re-register.
>
> An eAuthentication account enables customers to access
> eAuthentication-protected USDA Web-based applications. These resources
> have been integrated with the eAuthentication Service to enable
> electronic authentication and authorization of users. Certain personal
> information collected through the online self-registration process is
> conditionally shared with USDA Agencies in order to integrate USDA
> resources with the eAuthentication service. Sensitive data such as
> Date of Birth, Mother's Maiden Name, Password, and other security
> related data is not shared. The eAuthentication Service ensures that
> shared data is transmitted to a system that has an approved and valid
> Certification and Accreditation (C&A) Authority to Operate (ATO) in
> effect. In addition, the eAuthentication Service ensures that shared
> data is securely managed by requiring a Privacy Impact Assessment
> (PIA) and Memorandum of Understanding (MOI) with the target system.

3.  **Use of information technology.**

> All technology used in the eAuthentication System is compliant with
> NIST Special Publication 800-63: *Electronic Authentication
> Guideline*. Users can obtain an eAuthentication Level 1 or Level 2
> Access account solely through the online self-registration forms in
> the USDA eAuthentication Web site, located at www.eauth.egov.usda.gov.
> There is not a paper based form available to register for an
> eAuthentication account. Users must access the eAuthentication Web
> site and complete and submit the self-registration forms
> electronically over the Internet. There are separate online
> self-registration forms for a Level 1 and Level 2 Access account. The
> self-registration form for a Level 2 Access account requires
> additional user data due to the increased level of access. The
> self-registration forms can be access directly from the following
> links:
>
> **Level 1 Access -**
> https://eauth.sc.egov.usda.gov/eAuth/selfRegistration/selfRegLevel1Step1.jsp
>
> **Level 2 Access -**
> https://eauth.sc.egov.usda.gov/eAuth/selfRegistration/selfRegLevel2Step1.jsp
>
> Each eAuthentication account contains an associated user ID and
> password that was created by the user. In addition, each account
> contains associated roles or permissions, given by administrators,
> which allow the user to access requested applications. The user ID and
> password and permissions associated with an account are what
> authenticates and authorizes a user to access a requested USDA
> resource.
>
> The eAuthentication Service complies with the Government Paperwork
> Elimination Act (GPEA) by eliminating the need for traditional
> paper-based forms. In addition, eAuthentication provides full
> electronic reporting capabilities as required in the GPEA. However,
> obtaining an active Level 2 Access account electronically is not
> feasible since the higher level of access requires manual validation
> of a user's identity. Once the user is authenticated in-person by a
> trained local registration authority at a USDA Service Center it is
> recorded in the eAuthentication system which can then be accessed for
> auditing purposes.

4.  **Describe efforts to identify duplication.**

> USDA has built the eAuthentication Service with the elimination of
> duplication in mind. eAuthentication prevents users from creating
> and/or maintaining multiple online accounts with USDA. All
> eAuthentication accounts have a unique user ID. Once a registrant
> submits an account application the system automatically searches for
> pre-existing user IDs and prevents duplication of an account's key
> identifier. Not all USDA customers need an eAuthentication account,
> only those who are requesting access to USDA resources that are
> protected by eAuthentication. Therefore, the eAuthentication Service
> can not obtain customer information from other systems. There is also
> no alternate USDA enterprise service for authenticating and
> authorizing users electronically.

5.  **Methods used to minimize burden on small businesses or other small
    entities.**

> The reporting requirements in this information collection package will
> not affect small businesses. The online self-registration form is
> identical for all applicants irrespective to their volume or business.
> Therefore, no additional burden is being placed on businesses of any
> particular size.

6.  **Consequence if the information collection is not conducted or is
    conducted less frequently.**

> The information collected through the online eAuthentication
> self-registration form will only need to be collected once. If the
> information is not ever collected, the user must continue to conduct
> business with USDA through the existing paper-based processes.

7.  **Special Circumstances.**

> The information collected is consistent with provisions of the
> Paperwork Reduction Act of 1995 (PRA, 44 U.S.C. chapter 35), set forth
> in 5 CFR 1320.6.

8.  **Federal Register notice, summarization of comments, and
    consultation with persons outside the agency.**

> *This section will be completed once the 60-day federal register
> notice has been published and 60 days have elapsed.*

9.  **Explain any decision to provide any payment or gift to
    respondents.**

> The agency does not provide any payments or gifts to respondents for
> information collected through the USDA eAuthentication Web site.

10. **Confidentiality provided to respondents.**

> All information collected will be treated as confidential in
> compliance with the Privacy Act and Freedom of Information Act.

11. **Questions of a sensitive nature.**

> The information requested through the eAuthentication Web site is not
> considered of a sensitive nature (such as religious beliefs, sexual
> behavior and attitude, etc.).

12. **Estimate of burden.**

> Refer to the attached burden grid for a breakdown of the burden
> estimate for the online eAuthentication account registration form.
>
> USDA Agency customers can register for an eAuthentication Level 1 and
> Level 2 Access account. Registrants must submit a one-time online
> self-registration form and respond to a confirmation email to obtain
> an activated account. In order to obtain an active Level 2 Access
> account, the registrant's identity must be manually validated at a
> USDA Service Center.
>
> The USDA eAuthentication Service has been operating since October
> 2003. From October 2003 -- May 2005 there has been an average of 2,104
> new Level 1 Access and 1,113 new Level 2 Access account registrations
> each month. During this time period the number of integrated USDA
> applications with eAuthentication has increased from 40 applications
> to over 110 applications. The eAuthentication Service estimates that
> there will be a similar rate of expected new registrations annually.
> Therefore, eAuthentication estimates that there will be 25,248 (2,104
> registrants \* 12 months) new Level 1 Access account registrations
> annually. Similarly, there will be an estimated 13,356 (1,113
> registrants \* 12 months) new Level 2 Access account registrations
> annually. Collectively, eAuthentication estimates 38,604 (25,248 Level
> 1 + 13,356 Level 2) new account registrations annually. There are no
> entries on the online form that requires any applicant to develop new
> information not already known by the applicant.
>
> For a **Level 1 Access account** it is estimated to take 8 minutes
> (0.13 hours) to read, understand, and complete the online
> self-registration form. The estimated annual cost to the public is
> \$30,096, which is based on the annual burden of 3,282 hours (25,248
> responses \* 0.13 hours) times an average hourly wage of \$9.17 per
> customer. The average hourly wage is based on the mean hourly rate of
> Farming, Fishing, and Forestry Occupations in the Agriculture,
> Forestry, Fishing and Hunting sector of the May 2004 National
> Industry-Specific Occupational Employment and Wage Estimates. This
> estimate is provided through the Bureau of Labor Statistics and can be
> directly accessed at
>
> http://www.bls.gov/oes/current/naics2_11.htm#b45-0000.
>
> For a **Level 2 Access account** it is estimated to take 10 minutes
> (0.17 hours) to read, understand, and complete the online
> self-registration form. This amounts to an estimated annual cost to
> the public of \$20,825, which is based on the annual burden of 2,271
> hours (13,356 responses \* 0.17 hours) times an hourly wage of \$9.17
> per customer. In addition, there is a cost associated with the travel
> time to the USDA Service Center for a customer's identity to be
> manually validated. The estimated time of travel for manual
> authentication is 1.0 hour. This amounts to an estimated annual cost
> to the public of \$122,475, which is based on the annual burden of
> 13,356 hours (13,356 responses \* 1.0 hour) times an hourly wage of
> \$9.17 per customer. Collectively, there is an estimated annual cost
> to the public of \$143,300 (\$20,825 online form + \$122,475 travel
> time).

13. **Total annual cost burden to respondents.**

> The information collection and reporting burden does not impose any
> capital or start-up costs to respondents. The information requested is
> already available to respondents and there are no ongoing or follow-up
> reporting requirements that impose any costs but for the one-time
> collection.

14. **Provide estimates of annualized cost to the Federal government.**

> The estimated cost to the Federal government is \$100,821. This
> estimate is based on the cost of gathering, maintaining, retrieving,
> and disseminating the data. Despite fully supporting electronic
> information collection, additional time is sometimes needed to assist
> customers who are having difficulties. The estimated cost is based on
> requiring at least 10 minutes per response (38,604 annual responses)
> times the average of the GS-5 (step 5) through GS-7 (step 5) salary
> income of \$32,598 per year or \$15.67 per hour (\$32,598/2080 hours
> per year).

15. **Reasons for changes in burden.**

> This information collection request represents a new information
> collection to enable USDA customers to access protected USDA Web-based
> applications. Therefore, there are no changes in burden.

16. **Outline plans for tabulation and publication.**

> The information collected is not planned for publication. It will only
> be used to provide the customer authorized access to applications.

17. **Reasons display of expiration date for OMB approval of the
    information collection is inappropriate.**

> The USDA eAuthentication Service requests permission from OMB to not
> post the expiration date. The self-registration form will be used for
> a one-time registration process.

18. **Exceptions to the certification statement identified in Item 19 of
    the OMB 83-I form.**

> There are no exceptions to the certification statement.