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**Privacy Impact Assessment (PIA)**

**for the**

**USDA Forest Service Computer Base Legacy**

**(FSCB Legacy)**

Version 1.1

September 12, 2007

*Prepared by:*

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# REVISION AND HISTORY

  ------------ ------------- --------------------------- ----------- -------- --------------
  **Document   **Revision    **Description of Change**   **Section   **Page   **Initials**
  Version \#** Date**                                    #/          \#**     
                                                         Paragraph            
                                                         \#**                 

  1.1          9/12/2007\`   Major changes to entire                          klw
                             document                                         

                                                                              

                                                                              

                                                                              

                                                                              

                                                                              
  ------------ ------------- --------------------------- ----------- -------- --------------

# REVIEW PAGE

The following signatures represent the review and acceptance of the
Privacy Impact Assessment for the Forest Service (FS) Forest Service
Computing Base Legacy Servers (FSCB Legacy).

  -- -------------- -- ------------------------------- -- ---------------------- --
                                                                                 

     **Date**          **IRM C&A Project Manager**        **Signature**          

                                                                                 

     **Comment:**                                                                

                                                                                 

                                                                                 

                                                                                 

                                                                                 

                                                                                 

     **Date**          **IRM C&A System Project           **Signature**          
                       Manager**                                                 

                                                                                 

     **Comment:**                                                                

                                                                                 

                                                                                 

                                                                                 

                                                                                 

                                                                                 

     **Date**          **Information System Security      **Signature**          
                       Officer**                                                 

                                                                                 

     **Comment:**                                                                

                                                                                 

                                                                                 

                                                                                 

                                                                                 

                                                                                 

     **Date**          **System Owner**                   **Signature**          

                                                                                 

     **Comment:**                                                                

                                                                                 

                                                                                 

                                                                                 
  -- -------------- -- ------------------------------- -- ---------------------- --

# TABLE OF CONTENTS

[REVISION AND HISTORY i](#revision-and-history)

[REVIEW PAGE ii](#review-page)

[TABLE OF CONTENTS iii](#table-of-contents)

[FOREWORD 1](#foreword)

[INTRODUCTION 2](#introduction)

[A. CONTACT INFORMATION 2](#contact-information)

[B. SYSTEM APPLICATION/GENERAL INFORMATION
4](#system-applicationgeneral-information)

[ATTACHMENT A: USDA PRIVACY IMPACT ASSESSMENT
5](#attachment-a-usda-privacy-impact-assessment)

[1.1 INTRODUCTION 5](#introduction-1)

[1.2 THE ASSESSMENT 5](#the-assessment)

# FOREWORD

*The need to address the privacy of a system is an increasingly
important piece of the development process. Privacy while using a system
is potentially the most important aspect of a system, as it ensures that
the system maintains the appropriate security controls in order to
operate in a secure manner. A Privacy Impact Assessment (PIA) is a
document that analyzes the privacy implications of the application. It
looks at compliance with the Privacy Act of 1993, Children's Online
Privacy Protection Act of 1998, Freedom of Information Act, Paperwork
Reduction Act of 1995, Office of Management and Budget Memoranda M-99-18
dated June 2, 1998 and M-00-13 dated June 22, 2000 and DM3515-001 Web
Page Cookies & Privacy Requirements, DR 3410-1, Information Collection
Activities, DR3450-001 Individual Privacy Data, and DR 3080-1, Records
Disposition, but also at wider privacy issues and concerns. The PIA is a
framework to manage Privacy Risks.*

# INTRODUCTION

**Name of Project:** USDA Forest Service (FS) Computer Base (FSCB
Legacy)

**Program Office:** USDA Forest Service

**Project's Unique ID:** FSCB Legacy

## [CONTACT INFORMATION]{.underline}

1.  **Who is the author of this document?**

> Name: Mike Grube
>
> Title: Information Security Operations and Compliance
>
> Agency: USDA, Forest Service
>
> Address: 200 WT Weaver Blvd, Asheville, NC 28804
>
> Telephone Number: 828-257-4823
>
> E-mail: mgrube@fs.fed.us

2.  **Who is the System Owner?**

> Name: Grant Dekker
>
> Title: Chief Technology Officer
>
> Agency: USDA, Forest Service
>
> Address: 1621 Kent Street, RPE 800, Arlington, VA 22209
>
> E-mail: <gdekker@fs.fed.us>

3.  **Who is the project/system manager for this general support
    system?**

> Name: Grant Dekker
>
> Title: Chief Technology Officer
>
> Agency: USDA, Forest Service
>
> Address: 1621 Kent Street, RPE 800, Arlington, Va 22209
>
> E-mail: <gdekker@fs.fed.us>

4.  **Who is the IT Security Manager who reviewed this document?**

Name: ISSO Framework Team:

Kari Wardell

Application Hosting Line of Service

SME -- Systems

303-275-5751

<kwardell@fs.fed.us>

Dan Glover,

ISO Desktop Security Liaison

SME -- Desktops

719-553-1463

<dglover@fs.fed.us>

Carla Veach

Network Operations Center

SME -- Network

503-808-3017

<cveach@fs.fed.us>

> David Munk,
>
> Reporting -- Enterprise Operations Center SME
>
> 703-605-4579
>
> <david_munk@sra.com>

5.  **Did the Agency Freedom of Information/Privacy Act Officer review
    this document?**

  ------------ ----------- --------------------------- -------- ----------
  **YES**                                              **NO**   **X**

  ------------ ----------- --------------------------- -------- ----------

6.  **Who is the Agency Authorizing Official?**

> Name: Hank Kashden
>
> Title: Deputy Chief, Business Operations
>
> Agency: USDA, Forest Service
>
> Address: 201 14^th^ Street SW
>
> Telephone Number: 202-205-1707
>
> E-mail: <hkashden@fs.fed.us>

## [SYSTEM APPLICATION/GENERAL INFORMATION]{.underline}

1.  **Does this system contain any information about individuals?**

> Yes, in the Lotus Notes Enterprise Directory

a)  Is this information identifiable to the individual?

  ------------ ----------- --------------------------- -------- ----------
  **YES**      **x**                                   **NO**   

  ------------ ----------- --------------------------- -------- ----------

b)  **Is the information about the individual members of the public?**

  ------------ ----------- --------------------------- -------- ----------
  **YES**                                              **NO**   **X**

  ------------ ----------- --------------------------- -------- ----------

c)  Is the information about employees?

  ------------ ----------- --------------------------- -------- ----------
  **YES**      **x**                                   **NO**   

  ------------ ----------- --------------------------- -------- ----------

2.  **What is the purpose of the general support system?**

> FSCB Legacy is a general support system that provides resources for
> daily operations of the Washington Office, Regional offices, Research
> Stations, International Institute of Tropical Forestry (IITF) Forests
> and Districts. Although information about individuals may traverse
> through FSCB Legacy resources, individual applications and their
> management are responsible for reporting privacy act impact and
> completion of the USDA Privacy Impact Assessment Checklist.

3.  **What legal authority authorizes the purchase or development of
    this system/application?**

> Not Applicable

**NOTE:** If no personally identifiable information is collected,
maintained, or used by the system, the remainder of the Privacy Impact
Assessment does not have to be completed past this section.

# ATTACHMENT A: USDA PRIVACY IMPACT ASSESSMENT

## INTRODUCTION

The Privacy Impact Assessment (PIA) is intended to assist USDA FS
employees in identifying information privacy when planning, developing,
implementing, and operating agency owned applications. The PIA will help
USDA FS employees consider and evaluate whether existing statutory
requirements are being applied to systems that contain personal
information. These requirements are drawn from the Privacy Act of 1993,
Children's Online Privacy Protection Act of 1998, Freedom of Information
Act, Paperwork Reduction Act of 1995, Office of Management and Budget
Memoranda M-99-18 dated June 2, 1998 and M-00-13 dated June 22, 2000 and
OCIO memorandum, Use of Cookies on Web Pages, DR 3410-1, Information
Collection Activities, and DR 3080-1, Records Disposition

The PIA is a government requirement that helps to ensure that system
owners and developers consider and evaluate existing statutory
information management requirements that must be applied to new or
modified applications that contain personal information. The goals
accomplished in completing this PIA include:

-   Providing USDA FS management with the tools to make informed policy
    and system design decisions.

-   Ensuring accountability for privacy issues.

-   Ensuring a consistent format and structured process for analyzing
    both technical and legal compliance of the application.

-   Providing basic documentation on the flow of personal information
    within the application.

## THE ASSESSMENT

A review of the general support system, as installed by USDA FS,
indicates that FSCB does maintain identifiable form of information on
individual members of the agency through the Lotus Notes enterprise
system.

**USDA PRIVACY IMPACT ASSESSMENT FORM**

**Project Name:** Forest Service (FS) Computer Base (FSCB Legacy)

**Description of Your Program/Project:** FSCB Legacy is a general
support system that provides resources for daily operations of the
Washington Office, regional offices, research stations, the
International Institute of Tropical Forestry (IITF) forests and
districts. Although information about individuals may traverse through
FSCB Legacy resources, individual applications and their management are
responsible for reporting privacy act impact and completion of the USDA
Privacy Impact Assessment Checklist.

DATA IN THE SYSTEM

+--------------------------------+-------------------------------------+
| 1\. Generally describe the     | [Customer Data]{.underline}: none   |
| information to be used in the  |                                     |
| system in each of the          | [Employee Data]{.underline}:        |
| following categories:          |                                     |
| Customer, Employee, and Other. | FSCB-GSS contains information on    |
|                                | government employees, including     |
|                                | first name, last name, home unit,   |
|                                | phone number, email address, and    |
|                                | job title.                          |
|                                |                                     |
|                                | Other Data: none                    |
+--------------------------------+-------------------------------------+
| 2a. What are the sources of    | The majority of the information in  |
| the information in the system? | the system is entered by Forest     |
|                                | Service employees either by a       |
|                                | 'system administrator' or by        |
|                                | themselves.                         |
+--------------------------------+-------------------------------------+
| 2b. What USDA files and        | FSCB-GSS has no feeder systems and  |
| databases are used? What is    | is not using any existing USDA      |
| the source agency?             | files or databases.                 |
+--------------------------------+-------------------------------------+
| 2c. What Federal Agencies are  | -   Forest Service                  |
| providing data for use in the  |                                     |
| system?                        | -   Dept of the Interior -- email   |
|                                |     directory                       |
+--------------------------------+-------------------------------------+
| 2d. What State and Local       | none                                |
| Agencies are providing data    |                                     |
| for use in the system?         |                                     |
+--------------------------------+-------------------------------------+
| 2e. From what other third      | none                                |
| party sources will data be     |                                     |
| collected?                     |                                     |
+--------------------------------+-------------------------------------+
| 2f. What information will be   | Employee data that is collected     |
| collected from the             | from government employees includes: |
| customer/employee?             |                                     |
|                                | -   first name, last name           |
|                                |                                     |
|                                | -   home unit, phone number         |
|                                |                                     |
|                                | -   email address, physical address |
+--------------------------------+-------------------------------------+
| 3a. How will data collected    | n/a                                 |
| from sources other than the    |                                     |
| USDA FS records and the        |                                     |
| customer be verified for       |                                     |
| accuracy?                      |                                     |
+--------------------------------+-------------------------------------+
| 3b. How will data be checked   | Forest Service employees verify.    |
| for completeness?              |                                     |
+--------------------------------+-------------------------------------+

[]{.mark}

ACCESS TO THE DATA

+--------------------------------+-------------------------------------+
| 1\. Who will have access to    | Access to data is authorized        |
| the data in the system (Users, | through systems roles. Employees    |
| Managers, System               | have access to their own personal   |
| Administrators, Developers,    | information. A system administrator |
| Other)?                        | can make changes.                   |
+--------------------------------+-------------------------------------+
| 2\. How is access to the data  | Access to the system is available   |
| by a user determined? Are      | by username and password assigned   |
| criteria, procedures,          | by IRM. Once authenticated, access  |
| controls, and responsibilities | to data is through appropriate      |
| regarding access documented?   | system roles. Roles are designated  |
|                                | by an system administrator.         |
|                                | Physical access safeguards are in   |
|                                | place for any documents containing  |
|                                | personal information. Safeguards    |
|                                | include: secured file cabinets,     |
|                                | secured computer rooms, and/or tape |
|                                | libraries that can be accessed only |
|                                | by authorized personnel. Electronic |
|                                | access to records is controlled     |
|                                | through system roles.               |
+--------------------------------+-------------------------------------+
| 3\. Will users have access to  | Access to different roles is        |
| all data on the system or will | determined by IRM system            |
| the user's access be           | administrators and application      |
| restricted? Explain.           | owners.                             |
+--------------------------------+-------------------------------------+
| 4\. What controls are in place | System roles have been established  |
| to prevent the misuse (e.g.    | to control the level of use. System |
| browsing, unauthorized use) of | roles are administered on a local,  |
| data by those having access?   | geographic, and national basis.     |
|                                |                                     |
|                                | Any action taken by a user is       |
|                                | attributed to that username and     |
|                                | documented in the system with date  |
|                                | and time of change.                 |
+--------------------------------+-------------------------------------+
| 5a. Do other systems share     | n/a                                 |
| data or have access to data in |                                     |
| this system? If yes, explain.  |                                     |
+--------------------------------+-------------------------------------+
| 5b. Who will be responsible    | none                                |
| for protecting the privacy     |                                     |
| rights of the customers and    |                                     |
| employees affected by the      |                                     |
| interface.                     |                                     |
+--------------------------------+-------------------------------------+
| 6a. Will other agencies share  | Email addresses are searchable on   |
| data or have access to data in | the internet; no other access is    |
| this system (International,    | available                           |
| Federal, State, Local, Other)? |                                     |
+--------------------------------+-------------------------------------+
| 6b. How will the data be used  | Employee contact information        |
| by the agency?                 |                                     |
+--------------------------------+-------------------------------------+
| 6c. Who is responsible for     | Proper user of the system and       |
| assuring proper use of the     | associated data is the              |
| data?                          | responsibility of the CIO and of    |
|                                | unit managers where the system is   |
|                                | utilized.                           |
+--------------------------------+-------------------------------------+

ATTRIBUTES OF THE DATA

+--------------------------------+-------------------------------------+
| 1\. Is the use of the data     | yes                                 |
| both relevant and necessary to |                                     |
| the purpose for which the      |                                     |
| system is being designed?      |                                     |
+--------------------------------+-------------------------------------+
| 2a. Will the system derive new | no                                  |
| data or create previously      |                                     |
| unavailable data about an      |                                     |
| individual through aggregation |                                     |
| from the information           |                                     |
| collected?                     |                                     |
+--------------------------------+-------------------------------------+
| 2b. Will the new data be       | no                                  |
| placed in the individual's     |                                     |
| record (customer or employee)? |                                     |
+--------------------------------+-------------------------------------+
| 2c. Can the system make        | n/a                                 |
| determinations about customers |                                     |
| or employees that would not be |                                     |
| possible without the new data? |                                     |
+--------------------------------+-------------------------------------+
| 2d. How will the new data be   | n/a                                 |
| verified for relevance and     |                                     |
| accuracy?                      |                                     |
+--------------------------------+-------------------------------------+
| 3a. If data is being           | n/a                                 |
| consolidated, what controls    |                                     |
| are in place to protect the    |                                     |
| data from unauthorized access  |                                     |
| or use?                        |                                     |
+--------------------------------+-------------------------------------+
| 3b. If processes are being     | n/a                                 |
| consolidated, are the proper   |                                     |
| controls remaining in place to |                                     |
| protect the data and prevent   |                                     |
| unauthorized access? Explain.  |                                     |
+--------------------------------+-------------------------------------+
| 4a. How will the data be       | Employee data may be retrieved by   |
| retrieved? Can it be retrieved | searching enterprise mail directory |
| by personal identifier? If     | by last name                        |
| yes, explain.                  |                                     |
+--------------------------------+-------------------------------------+
| 4b. What are the potential     | None                                |
| 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 be  | n/a                                 |
| mitigated?                     |                                     |
+--------------------------------+-------------------------------------+

MAINTENANCE OF ADMINISTRATIVE CONTROLS

  -------------------------------- --------------------------------------
  1a. Explain how the system and   All decisions that affect systems are
  its use will ensure equitable    determined outside of the system.
  treatment of customers and       Documentation regarding the results of
  employees.                       a decision may be documented through
                                   actions within the system.

  2a. If the system is operated in The system is operated by FS IRM. It
  more than one site, how will     is replicated from one master server
  consistent use of the system and to subordinate servers across the
  data be maintained in all sites? enterprise.

  2b. Explain any possibility of   Decisions regarding equitable
  disparate treatment of           treatment of customers and employees
  individuals or groups.           are not part of this system. These
                                   decisions remain with management at
                                   the unit level.

  2c. What are the retention       Retention periods vary per Records
  periods of data in this system?  Management Handbook -- FSH 6209.11

  2d. What are the procedures for  Records Management Handbook -- FSH
  eliminating the data at the end  6209.11
  of the retention period? Where   
  are the procedures documented?   

  2e. While the data is retained   Every 30 days a screen pops up and
  in the system, what are the      asks employees to verify their
  requirements for determining if  information for the enterprise
  the data is still sufficiently   directory.
  accurate, relevant, timely, and  
  complete to ensure fairness in   
  making determinations?           

  3a. Is the system using          no
  technologies in ways that the    
  USDA has not previously employed 
  (e.g. Caller-ID)?                

  3b. How does the use of this     n/a
  technology affect                
  customer/employee privacy?       

  4a. Will this system provide the no
  capability to identify, locate,  
  and monitor                      
  [individuals]{.underline}? If    
  yes, explain.                    

  4b. Will this system provide the no
  capability to identify, locate,  
  and monitor [groups of           
  people]{.underline}? If yes,     
  explain.                         

  4c. What controls will be used   Username and password is required to
  to prevent unauthorized          access the system. System roles permit
  monitoring?                      monitoring on an authorized basis.

  5a. Under which Systems of       None
  Record notice (SOR) does the     
  system operate? Provide number   
  and name.                        

  5b. If the system is being       n/a
  modified, will the SOR require   
  amendment or revision? Explain.  
  -------------------------------- --------------------------------------