Privacy and Civil Liberties Impact Assessment

Template version 4.4 

Surety Information Management System (SIMS IV)

November 28, 2018

Bureau Certifying Official

David J. Ambrose

Chief Security Officer and Chief Privacy Officer

Bureau of the Fiscal Service

Department of the Treasury

The mission of the Bureau of the Fiscal Service (Fiscal Service) is to promote the financial 

integrity and operational efficiency of the federal government through exceptional accounting, 

financing, collections, payments, and shared services. 

This Privacy and Civil Liberties Impact Assessment (PCLIA) is a public document and will be 

made available to the general public via the Fiscal Service Privacy and Civil Liberties Impact 

Assessment (PCLIA) webpage (PCLIA WEBPAGE). 
1

Section 1: Introduction

It is the policy of the Department of the Treasury (“Treasury” or “Department”) and its Bureaus 

to conduct a Privacy and Civil Liberties Impact Assessment (“PCLIA”) when personally 

identifiable information (“PII”) is maintained in a system or by a project. PCLIAs are required 

for all systems and projects that collect, maintain, or disseminate PII, regardless of the manner in 

which the information is retrieved.

This assessment is being completed pursuant to Section 208 of the E-Government Act of 2002

(“E-Gov Act”), 44 U.S.C. § 3501, Office of the Management and Budget (“OMB”) 

Memorandum 03-22, “OMB Guidance for Implementing the Privacy Provisions of the EGovernment Act of 2002,” and Treasury Directive 25-07, “Privacy and Civil Liberties Impact 

Assessment (PCLIA).”

Privacy and Civil Liberties Impact Assessment (PLCIA) is being conducted for Surety 

Information Management System (SIMS IV) for the first time to replace the current Privacy 

Impact Assessment 

Section 2: Definitions

Agency – means any entity that falls within the definition of the term “executive agency” as 

defined in 31 U.S.C. § 102.

Certifying Official – The Bureau Privacy and Civil Liberties Officer(s) who certify that all 

requirements in TD and TD P 25-07 have been completed so a PCLIA can be reviewed and 

approved by the Treasury Deputy Assistant Secretary for Privacy, Transparency, and Records.

Collect (including “collection”) – means the retrieval, receipt, gathering, or acquisition of any 

PII and its storage or presence in a Treasury system. This term should be given its broadest 

possible meaning.

Contractors and service providers – are private companies that provide goods or services 

under a contract with the Department of the Treasury or one of its bureaus. This includes, but is 

not limited to, information providers, information processors, and other organizations providing 

information system development, information technology services, and other outsourced 

applications.

Data mining – means a program involving pattern-based queries, searches, or other analyses of 

1 or more electronic databases, where – (a) a department or agency of the federal government, 

or a non-federal entity acting on behalf of the federal government, is conducting the queries, 

searches, or other analyses to discover or locate a predictive pattern or anomaly indicative of 

terrorist or criminal activity on the part of any individual or individuals; (b) the queries, searches, 

or other analyses are not subject-based and do not use personal identifiers of a specific 

individual, or inputs associated with a specific individual or group of individuals, to retrieve

information from the database or databases; and (c) the purpose of the queries, searches, or other 
2

analyses is not solely – (i) the detection of fraud, waste, or abuse in a government agency or 

program; or (ii) the security of a government computer system.

Disclosure – When it is clear from its usage that the term “disclosure” refers to records provided 

to the public in response to a request under the Freedom of Information Act (5 U.S.C. § 552, 

“FOIA”) or the Privacy Act (5 U.S.C. § 552a), its application should be limited in that manner. 

Otherwise, the term should be interpreted as synonymous with the terms “sharing” and 

“dissemination” as defined in this manual. 

Dissemination – as used in this manual, is synonymous with the terms “sharing” and 

“disclosure” (unless it is clear from the context that the use of the term “disclosure” refers to a 

FOIA/Privacy Act disclosure).

E-Government – means the use of digital technologies to transform government operations to 

improve effectiveness, efficiency, and service delivery.

Federal information system – means a discrete set of information resources organized for the 

collection, processing, maintenance, transmission, and dissemination of information owned or 

under the control of a federal agency, whether automated or manual.

Final Rule – After the NPRM comment period closes, the agency reviews and analyzes the 

comments received (if any). The agency has the option to proceed with the rulemaking as 

proposed, issue a new or modified proposal, or withdraw the proposal before reaching its final 

decision. The agency can also revise the supporting analyses contained in the NPRM (e.g., to 

address a concern raised by a member of the public in response to the NPRM).

Government information – means information created, collected, used, maintained, processed, 

disseminated, or disposed of by or for the federal government.

Individual – means a citizen of the United States or an alien lawfully admitted for permanent 

residence. If a question does not specifically inquire about or an issue does not clearly involve a 

Privacy Act system of records, the term should be given its common, everyday meaning. In 

certain contexts, the term individual may also include citizens of other countries who are covered 

by the terms of an international or other agreement that involves information stored in the system 

or used by the project.

Information – means any representation of knowledge such as facts, data, or opinions in any 

medium or form, regardless of its physical form or characteristics. This term should be given the 

broadest possible meaning. This term includes, but is not limit to, information contained in a 

Privacy Act system of records.

Information technology (IT) – means any equipment or interconnected system or subsystem of 

equipment, used in the automatic acquisition, storage, analysis, evaluation, manipulation, 

management, movement, control, display, switching, interchange, transmission, or reception of 

data or information by the executive agency, if the equipment is used by the executive agency 

directly or is used by a contractor under a contract with the executive agency that requires the 
3

use: (i) of that equipment; or (ii) of that equipment to a significant extent in the performance of a 

service or the furnishing of a product. It includes computers, ancillary equipment (including 

imaging peripherals, input, output, and storage devices necessary for security and surveillance), 

peripheral equipment designed to be controlled by the central processing unit of a computer, 

software, firmware and similar procedures, services (including support services), and related 

resources; but does not include any equipment acquired by a federal contractor incidental to a 

federal contract. Clinger-Cohen Act of 1996, 40 U.S.C. § 11101(6).

Major Information system – embraces “large” and “sensitive” information systems and means 

“a system or project that requires special management attention because of its importance to an 

agency mission; its high development, operating, or maintenance costs; or its significant role in 

the administration of agency programs, finances, property, or other resources.” OMB Circular A130, § 6.u. This definition includes all systems that contain PII and are rated as “MODERATE 

or HIGH impact” under Federal Information Processing Standard 199. 

National Security systems – a telecommunications or information system operated by the 

federal government, the function, operation or use of which involves: (1) intelligence activities, 

(2) cryptologic activities related to national security, (3) command and control of military forces, 

(4) equipment that is an integral part of a weapon or weapons systems, or (5) systems critical to 

the direct fulfillment of military or intelligence missions, but does not include systems used for 

routine administrative and business applications, such as payroll, finance, logistics, and 

personnel management. Clinger-Cohen Act of 1996, 40 U.S.C. § 11103. 

Notice of Proposed Rule Making (NPRM) – the Privacy Act (Section (J) and (k)) allow 

agencies to use the rulemaking process to exempt particular systems of records from some of the 

requirements in the Act. This process is often referred to as “notice-and-comment rulemaking.” 

The agency publishes an NPRM to notify the public that the agency is proposing a rule and 

provides an opportunity for the public to comment on the proposal before the agency can issue a 

final rule. 

Personally Identifiable Information (PII) –any information that can be used to distinguish or 

trace an individual’s identity, either alone or when combined with other personal or identifying 

information that is linked or linkable to a specific individual. 

Privacy and Civil Liberties Impact Assessment (PCLIA) – a PCLIA is:

(1) a process conducted to: (a) identify privacy and civil liberties risks in systems, 

programs, and other activities that maintain PII; (b) ensure that information systems, 

programs, and other activities comply with legal, regulatory, and policy requirements; 

(c) analyze the privacy and civil liberties risks identified; (d) identify remedies, 

protections, and alternative or additional privacy controls necessary to mitigate those 

risks; and (e) provide notice to the public of privacy and civil liberties protection 

practices.

(2) a document that catalogues the outcome of that privacy and civil liberties risk 

assessment process.
4

Protected Information – as the term is used in this PCLIA, protected information the same 

definition given to that term in TD 25-10, section 4.

Privacy Act Record – any item, collection, or grouping of information about an individual that 

is maintained by an agency, including, but not limited to, the individual’s education, financial 

transactions, medical history, and criminal or employment history and that contains the 

individual’s name, or the identifying number, symbol, or other identifying particular assigned to 

the individual, such as a finger or voice print or a photograph. 5 U.S.C. § 552a (a)(4).

Reviewing Official – The Deputy Assistant Secretary for Privacy, Transparency, and Records 

who reviews and approves all PCLIAs as part of her/his duties as a direct report to the Treasury 

Senior Agency Official for Privacy. 

Routine Use – with respect to the disclosure of a record outside of Treasury (i.e., external 

sharing), the sharing of such record for a purpose which is compatible with the purpose for 

which it was collected 5 U.S.C. § 552a(a)(7).

Sharing – any Treasury initiated distribution of information to government employees or agency 

contractors or grantees, including intra- or inter-agency transfers or exchanges of Treasury 

information, regardless of whether it is covered by the Privacy Act. It does not include responses 

to requests for agency records under FOIA or the Privacy Act. It is synonymous with the term 

“dissemination” as used in this assessment. It is also synonymous with the term “disclosure” as 

used in this assessment unless it is clear from the context in which the term is used that it refers 

to disclosure to the public in response to a request for agency records under FOIA or the Privacy 

Act. 

System – as the term used in this manual, includes both federal information systems and 

information technology.

System Owner – Official responsible for the overall procurement, development, integration, 

modification, or operation and maintenance of a system.

System of Records – a group of any records under the control of Treasury from which 

information is retrieved by the name of the individual or by some identifying number, symbol, or 

other identifying particular assigned to the individual. 5 U.S.C. § 552a (a)(5).

System of Records Notice – Each agency that maintains a system of records shall publish in the 

Federal Register upon establishment or revision a notice of the existence and character of the 

system of records, which notice shall include: (A) the name and location of the system; (B) the 

categories of individuals on whom records are maintained in the system; (C) the categories of 

records maintained in the system; (D) each routine use of the records contained in the system, 

including the categories of users and the purpose of such use; (E) the policies and practices of the 

agency regarding storage, retrievability, access controls, retention, and disposal of the records; 

(F) the title and business address of the agency official who is responsible for the system of 

records; (G) the agency procedures whereby an individual can be notified at her/his request if the 

system of records contains a record pertaining to him; (H) the agency procedures whereby an 
5

individual can be notified at her/his request how she/he can gain access to any record pertaining 

to him contained in the system of records, and how she/he can contest its content; and (I) the 

categories of sources of records in the system. 5 U.S.C. § 552a (e)(4).

Section 3: System Overview 

Section 3.1: System and Purpose

SIMS IV is minor automated storage and processing computer system for supporting the Surety 

Bond Branch (SBB) in administering the Surety Bond Program. The legal basis for the SBB 

program stems from Public Law Title 31, USC 9304-9308, which authorizes the acceptance of 

corporate surety companies on bonds running to the United States. The Secretary of the Treasury 

has delegated the responsibility for administering the Federal Surety Bond Program to the 

Bureau of the Fiscal Service who in turn established the SBB to carry out the function. 

Companies that wish to direct-write Federal bonds, reinsure Federal bonds, or be recognized as 

Admitted Reinsurers must apply and be approved by Fiscal Service.

SIMS IV is a Java 2 Platform Enterprise Edition (J2EE) web-based application on a

WebSphere Application Server (WAS) accessible from ALEX the Fiscal Service Intranet. The 

SIMS IV WAS resides on the Regatta Complex located at the Kansas City Regional Operations 

Center (KROC) with no interconnections to other systems. All data for the system resides in a 

DB2 database on the Regatta. SIMS IV is used by the SBB to perform quarterly and annual 

reviews, review new applications, re-certify approximately 350 insurance companies each year, 

and publish a list of Treasury Certified companies in the Fiscal Service Circular 570.

PII is used to identify and store information on executive officials representing Surety insurance 

companies.

Estimated Number of Individuals Whose Personally Identifiable Information is 

Maintained in the System or by the Project

☐ 0 – 999 ☒ 1000 – 9,999 ☐ 10,000 – 99,999

☐ 100,000 – 499,999

☐ 10,000,000 – 99,999,999

☐ 500,000 – 999,999

☐ 100,000,000 – 999,999,999

☐ 1,000,000 – 9,999,999

☐ 1,000,000,000 +

Section 3.2: Authority to Collect

The authorities for operating this system are: Auditor, Senior Auditor, Manager, Acting 

Manager, System Administrator and Clerk

Section 4: Information Collection
6

Section 4.1: Relevant and Necessary

Section 4.1(a) Please check all of the following that are true:

1. ☐ None of the PII maintained in the system or by the project is part of a Privacy Act 

system of records;

2. ☒ All of the PII maintained in the system or by the project is part of a system of records

and none of it is exempt from the Privacy Act relevant and necessary requirement;

3. ☐ All of the PII maintained in the system or by the project is part of a system of records

and all of it is exempt from the Privacy Act relevant and necessary requirement;

4. ☐Some, but not all, of the PII maintained in the system or by the project is part of a 

system of records and the records to which the Privacy Act applies are exempt from the 

relevant and necessary requirement; and

5. ☐Some, but not all, of the PII maintained in the system or by the project is part of a system 

of records and none of the records to which the Privacy Act applies are exempt from the 

relevant and necessary requirement.

Section 4.1(b) ☒ Yes ☐ No ☐ N/A With respect to PII maintained in the system or by the 

project that is subject to the Privacy Act’s relevant and necessary requirement, was an 

assessment conducted prior to collection (e.g., during Paperwork Reduction Act analysis) to 

determine which PII types (see Section 4.2 below) were relevant and necessary to meet the 

system’s or project’s mission requirements? 

Section 4.1(c) ☒ Yes ☐No ☐N/A With respect to PII currently maintained in the system or 

by the project that is subject to the Privacy Act’s relevant and necessary requirement, is the PII

limited to only that which is relevant and necessary to meet the system’s or project’s mission 

requirements?

Section 4.1(d) ☐ Yes ☐No ☒ N/A With respect to PII maintained in the system or by the 

project that is subject to the Privacy Act’s relevant and necessary requirement, is there a 

process to continuously reevaluate and ensure that the PII remains relevant and necessary? 

The PII is provided by the annual NAICS reports.

 

Section 4.2: PII and/or information types or groupings

To perform their missions, federal agencies must necessarily collect various types of 

information. The checked boxes below represent the types of information maintained in the 

system or by the project. Information identified below is used by the system or project to fulfill 

the purpose stated in Section 3.2 – Authority to Collect.

Biographical/General Information 

☒ Name ☐ Gender ☐ Group/Organization Membership
7

☐ Date of Birth ☐ Race ☐ Military Service Information

☐ Home Physical/Postal 

Mailing Address

☐ Ethnicity ☐ Personal Home Phone or Fax 

Number

☐ Zip Code ☐ Personal Cell Number ☐ Alias (including nickname)

☒ Business Physical/Postal 

Mailing Address

☐ Business Cell Number ☒ Business Phone or Fax Number

☐ Personal e-mail address ☐ Nationality ☐ Mother’s Maiden Name

☐ Business e-mail address ☐ Country of Birth ☐ Spouse Information

☐ Personal Financial 

Information (including loan 

information)

☐ City or County of Birth ☐ Children Information

☐ Business Financial 

Information (including loan 

information)

☐ Immigration Status ☐ Information about other relatives.

☐ Marital Status ☐ Citizenship ☐ Professional/personal references 

or other information about an 

individual’s friends, associates or 

acquaintances.

☐ Religion/Religious Preference ☐ Device settings or preferences 

(e.g., security level, sharing 

options, ringtones).

☐ Global Positioning System 

(GPS)/Location Data

☐ Sexual Orientation ☐ User names, avatars, etc. ☐ Secure Digital (SD) Card or 

Other Data stored on a card or other 

technology

☐ Cell tower records (e.g., logs. 

user location, time etc.)

☐ Network communications data ☐ Cubical or office number

☐ Contact lists and directories 

(known to contain personal 

information)

☐ Contact lists and directories 

(not known to contain personal 

information, but uncertain)

☐ Contact lists and directories 

(known to contain only business 

information)

☐ Education Information ☐ Resume or curriculum vitae ☐ Other (please describe): 

 ☐ Other (please describe): ☐ Other (please describe): 

______________________

☐ Other (please describe):

______________________

Identifying Numbers 

☐ Full Social Security number ☐ Health Plan Beneficiary Number

☐ Truncated/Partial Social Security number (e.g., 

last 4 digits)

☐ Alien Registration Number

☐ Personal Taxpayer Identification Number ☐ Business Taxpayer Identification Number (If 

known: ☐ sole proprietor; ☐ non-sole proprietor)

☐ Personal Credit Card Number ☐ Business Credit Card Number (If known: ☐ sole 

proprietor; ☐ non-sole proprietor)

☐ Personal Vehicle Identification Number ☐ Business Vehicle Identification Number (If 

known: ☐ sole proprietor; ☐ non-sole proprietor)
8

☐ Personal License Plate Number ☐ Business License Plate Number (If known: ☐ 

sole proprietor; ☐ non-sole proprietor)

☐ File/Case ID Number (individual) ☐ File/Case ID Number (business) (If known: ☐ 

sole proprietor; ☐ non-sole proprietor)

☐ Personal Professional License Number ☐ Business Professional License Number (If known: 

☐ sole proprietor; ☐ non-sole proprietor)

☐ Employee Identification Number ☐ Patient ID Number 

☐ Business Bank Account Number ☐ Personal Bank Account Number

☐ Commercially obtained internet 

navigation/purchasing habits of individuals

☐ Government obtained internet 

navigation/purchasing habits of individuals

☐ Business License Plate Number (non-soleproprietor)☐ Driver’s License Number

☐ Personal device identifiers or serial numbers ☐ Other Identifying Numbers (please 

describe):____________________________

☐ Passport Number and Passport information 

(including full name, passport number, DOB, POB, 

sex, nationality, issuing country photograph and 

signature) (use “Other” if some but not all elements 

are collected)

☐ Other Identifying Numbers (please 

describe):____________________________

Medical/Emergency Information Regarding Individuals

☐ Medical/Health Information ☐ Worker’s Compensation Act 

Information

☐ Patient ID Number

☐ Mental Health Information ☐ Disability Information ☐ Emergency Contact Information 

(e.g., a third party to contact in case 

of emergency)

☐ Other (please describe): ____________________________________________________

Biometrics/Distinguishing Features/Characteristics of Individuals

☐ Physical description/

characteristics (e.g., hair, eye 

color, weight, height, sex, 

gender)

☐ Signatures ☐ Vascular scans

☐ Fingerprints ☐ Photos ☐ Retina/Iris Scans

☐ Palm prints ☐ Video ☐ Dental Profile

☐ Voice audio recording ☐ Scars, marks, tattoos ☐ DNA Sample or Profile

☐ Other (please describe): 

______________________

☐ Other (please describe): 

_______________________

☐ Other (please describe): 

_______________________

Specific Information/File Types 

☐ Taxpayer Information/Tax 

Return Information

☐ Law Enforcement Information ☐ Security Clearance/Background 

Check Information

☐ Civil/Criminal History 

Information/Police Records 

(government source)

☐ Credit History Information 

(government source)

☐ Bank Secrecy Act Information
9

☐ Civil/Criminal History 

Information/Police Records 

(commercial source)

☐ Credit History Information 

(commercial source)

☐ National Security/Classified 

Information

☐ Protected Information (as 

defined in Treasury Directive 25-

10)

☐ Case files ☐ Personnel Files

☐ Information provided under a 

confidentiality agreement 

☐ Information subject to the 

terms of an international or other 

agreement 

☐ Other (please describe): 

______________________

Audit Log and Security Monitoring Information

☒ User ID assigned to or 

generated by a user of Treasury IT

☒ Date and time an individual 

access a facility, system, or other 

IT

☐ Files accessed by a user of 

Treasury IT (e.g., web navigation 

habits)

☒ Passwords generated by or 

assigned to a user of Treasury IT

☐ Internet or other queries run 

by a user of Treasury IT

☐ Contents of files accessed by a 

user of Treasury IT

☐ Biometric information used to 

access Treasury facilities or IT

☐ Video of individuals derived 

from security cameras

☐ Public Key Information (PKI).

☐ Information revealing an 

individual’s presence in a 

particular location as derived from 

security token/key fob, employee 

identification card scanners or 

other IT or devices

☐ Still photos of individuals 

derived from security cameras.

☐ Internet Protocol (IP) Address

☐ Other (please describe): ☐ Other (please describe): ☐ Other (please describe):

_____________________

Other

☐ Other (please describe: ______________ ☐ Other (please describe: _______________

☐ Other (please describe: ______________ ☐ Other (please describe: _______________

Section 4.3: Sources of information and the method and manner of collection

National Association 

of Insurance 

Commissioners

<<Source name>> <<Source name>> <<Source name>>

Specific PII identified in 

Section 4.2 that was 

acquired from this 

source: 

Name, Business 

Physical/Postal Mailing 

Address, and Business 

Phone or Fax Number

Specific PII identified in 

Section 4.2 that was 

acquired from this 

source:__________ 

(identify all).

Specific PII identified in 

Section 4.2 that was 

acquired from this 

source:__________ 

(identify all).

Specific PII identified in 

Section 4.2 that was 

acquired from this 

source:__________ 

(identify all).

Manner in which 

information is acquired 

from source by the 

Treasury project/system: 

(select all that apply):

Manner in which 

information is acquired 

from source by the 

Treasury project/system: 

(select all that apply):

Manner in which 

information is acquired 

from source by the 

Treasury project/system: 

(select all that apply):

Manner in which 

information is acquired 

from source by the 

Treasury project/system: 

(select all that apply):
10

☒ From a paper or 

electronic form provided 

to individuals, the public 

or members of a 

particular group

☐ From a paper or 

electronic form provided 

to individuals, the public 

or members of a particular 

group

☐ From a paper or 

electronic form provided 

to individuals, the public 

or members of a particular 

group

☐ From a paper or 

electronic form provided 

to individuals, the public 

or members of a 

particular group

Please identify the form 

name (or description) 

and/or number (e.g., 

OMB Control Number): 

NAIC FORM 11

_________________

Please identify the form 

name (or description) 

and/or number (e.g., OMB 

Control Number): 

_________________

Please identify the form 

name (or description) 

and/or number (e.g., OMB 

Control Number): 

_________________

Please identify the form 

name (or description) 

and/or number (e.g., 

OMB Control Number): 

_________________

☐ Received in paper 

format other than a form.

☐ Received in paper 

format other than a form.

☐ Received in paper 

format other than a form.

☐ Received in paper 

format other than a form.

☐ Delivered to the 

project on disk or other 

portable device and 

uploaded to the system.

☐ Delivered to the project 

on disk or other portable 

device and uploaded to the 

system.

☐ Delivered to the project 

on disk or other portable 

device and uploaded to the 

system.

☐ Delivered to the 

project on disk or other 

portable device and 

uploaded to the system.

☐ Accessed and 

downloaded or otherwise 

acquired via the internet

☐ Accessed and 

downloaded or otherwise 

acquired via the internet

☐ Accessed and 

downloaded or otherwise 

acquired via the internet

☐ Accessed and 

downloaded or otherwise 

acquired via the internet

☒ Email ☐ Email ☐ Email ☐ Email 

☐ Scanned documents 

uploaded to the system.

☐ Scanned documents 

uploaded to the system.

☐ Scanned documents 

uploaded to the system.

☐ Scanned documents 

uploaded to the system.

☐ Bulk transfer ☐ Bulk transfer ☐ Bulk transfer ☐ Bulk transfer

☐ Extracted from 

particular technology 

(e.g., radio frequency 

identification data 

(RFID) devices, video or 

photographic cameras, 

biometric collection 

devices).

☐ Extracted from 

particular technology (e.g., 

radio frequency 

identification data (RFID) 

devices, video or 

photographic cameras, 

biometric collection 

devices).

☐ Extracted from 

particular technology (e.g., 

radio frequency 

identification data (RFID) 

devices, video or 

photographic cameras, 

biometric collection 

devices).

☐ Extracted from 

particular technology 

(e.g., radio frequency 

identification data 

(RFID) devices, video or 

photographic cameras, 

biometric collection 

devices).

☐ Fax ☐ Fax ☐ Fax ☐ Fax

☐ Extracted from notes 

of a phone interview or 

face to face contact

☐ Extracted from notes of 

a phone interview or face 

to face contact

☐ Extracted from notes of 

a phone interview or face 

to face contact

☐ Extracted from notes 

of a phone interview or 

face to face contact

☐ Other: Please describe:

_________________

☐ Other: Please describe:

_________________

☐ Other: Please describe:

_________________

☐ Other: Please describe:

_________________

☐ Other: Please describe:

_________________

☐ Other: Please describe:

_________________

☐ Other: Please describe:

_________________

☐ Other: Please describe:

_________________

Section 4.4: Privacy and/or civil liberties risks related to collection
11

Notice of Authority, Principal Uses, Routine Uses, and Effect of not Providing 

Information

When federal agencies use a form to obtain information from an individual that will be 

maintained in a system of records, they must inform the individual of the following: “(A) the 

authority (whether granted by statute, or by executive order of the President) which authorizes 

the solicitation of the information and whether disclosure of such information is mandatory or 

voluntary; (B) the principal purpose or purposes for which the information is intended to be 

used; (C) the routine uses which may be made of the information as published pursuant to 

paragraph (4)(D) of this subsection; and (D) the effects on her/him, if any, of not providing all or 

any part of the requested information.” 5 U.S.C § 522a(e)(3).

Section 4.4(a) ☐ Yes ☒ No Is any of the PII maintained in the system or by the project 

collected directly from an individual? 

Section 4.4(b) ☐ Yes ☐No ☒ N/A Was the information collected from the individual using 

a form (paper or electronic)? 

Section 4.4(c) ☐ Yes ☐No ☒ N/A If the answer to Section 4.4(b) was “yes,” was the 

individual notified (on the form in which the PII was collected or on a separate form that can 

be retained by the individual) about the following at the point where the information was 

collected (e.g., in a form; on a website).

☐ The authority (whether granted by statute, or by Executive order of the President) 

which authorizes the solicitation of the information.

☐ Whether disclosure of such information is mandatory or voluntary.

☐ The principal purpose or purposes for which the information is intended to be used.

☐The individuals or organizations outside of Treasury with whom the information 

may be/ will be shared.

☐The effects on the individual, if any, if they decide not to provide all or any part of 

the requested information.

Use of Social Security Numbers

Social Security numbers (“SSNs”) are commonly used by identity thieves to commit fraudulent 

acts against individuals. The SSN is one data element that has a heightened ability to harm the 

individual and requires more protection when used. Therefore, in an effort to reduce risk to 

individuals and federal agencies, government-wide initiatives aimed at eliminating unnecessary 

collection, use, and display of SSN have been underway since OMB required agencies to review 

their SSN practices in 2007. 

In addition, the Privacy Act provides that: “It shall be unlawful for any federal, state or local 

government agency to deny to any individual any right, benefit, or privilege provided by law 
12

because of such individual’s refusal to disclose his social security account number.” Pub. L. No. 

93–579, § 7. This provision does not apply to: (1) any disclosure which is required by federal 

statute; or (2) any disclosure of an SSN to any federal, state, or local agency maintaining a 

system of records in existence and operating before January 1, 1975, if such disclosure was 

required under statute or regulation adopted prior to such date to verify the identity of an 

individual. Id. at § 7(a)(2)(A)-(B).

Section 4.4(d) ☒ Yes ☐No ☐N/A Does the system or project maintain SSNs?

Section 4.4(e) ☐ Yes ☒ No ☐N/A Are there any alternatives to the SSNs as a personal 

identifier?

Section 4.4(f) ☐ Yes ☒ No ☐N/A Will an individual be denied any right, benefit, or 

privilege provided by law if the individual refuses to disclose their SSN? If yes, please 

check the applicable box::

☐ SSN disclosure is required by Federal statute or Executive Order. ; or

☐ the SSN is disclosed to any federal, state, or local agency maintaining a system of 

records in existence and operating before January 1, 1975, and disclosure was 

required under statute or regulation adopted prior to such date to verify the identity of 

an individual. If checked, please provide the name of the system of records below. 

Section 4.4(g) ☐ Yes ☐ No ☒ N/A When the SSN is collected, are individuals given notice 

whether disclosure is mandatory or voluntary, the legal authority such number is solicited, 

and what uses will be made of it?

First Amendment Activities

The Privacy Act provides that federal agencies “maintain no record describing how any 

individual exercises rights guaranteed by the First Amendment unless expressly authorized by 

statute or by the individual about whom the record is maintained or unless pertinent to and within 

the scope of an authorized law enforcement activity.” 5 U.S.C. § 552a(e)(7).
13

Section 4.4(h) ☐Yes ☒ No Does the system or project maintain any information describing 

how an individual exercises their rights guaranteed by the First Amendment? 

Section 4.4(i) If the system or project maintains information describing how an individual 

exercises their rights guaranteed by the First Amendment, do any of the following 

exceptions apply (the information may be maintained if any of the exceptions apply)?

☒ N/A (system or project does not maintain any information describing how an 

individual exercises their rights guaranteed by the First Amendment so no exceptions 

are needed)

☐The individual about whom the information was collected or maintained expressly 

authorizes its collection/maintenance. 

☐The information maintained is pertinent to and within the scope of an authorized 

law enforcement activity.

☐There is a statute that expressly authorizes its collection. 

Section 5: Maintenance, use, and sharing of the information

The following sections require a clear description of the system’s or project’s use of information.

Section 5.1: Describe how and why the system or project uses the information it 

collects and maintains

Please describe all of the uses of the information types and groupings collected and maintained 

by the system or project (see Section 4.2), including a discussion of why the information is used 

for this purpose and how it relates to the mission of the bureau or office that owns the system. 

The information collected is from the National Association of Insurance Commissioners 

(NAIC). The NAIC no longer requires social security numbers for the insurance 

executives. The database for SIMS IV still contains the social security numbers that were 

provided prior to the change in the NAICs files. The information collected and 

maintained in the system is used for the following purposes: 1: ensures that financially 

sound companies receive Treasury recognition

2: to continually monitor and review financial status of certified insurance companies

The certified companies’ businesses financial information assists auditors in conducting 

review of each company's financial condition to determine the company’s qualification as an 

acceptable surety and/or reinsurer of Federal bonds. This usage is consistent with the Bureau 

of Fiscal Services’ mission because it allows the bureau to monitor the solvency of Surety

companies and assure that they could perform the obligated task of a Surety 
14

Collecting Information Directly from the Individual When Using it to Make Adverse 

Determinations About Them

The Privacy Act requires that federal agencies “collect information to the greatest extent 

practicable directly from the subject individual when the information may result in adverse 

determinations about an individual’s rights, benefits, and privileges under federal programs.” 5 

U.S.C. § 552a(e)(2).

Section 5.1(a) ☐Yes ☒ No Is it possible that the information maintained in the system or 

by the project may be used by Treasury to make an adverse determination about an 

individual’s rights, benefits, and privileges under federal programs (e.g., decisions about 

whether the individual will receive a financial benefit, get a clearance or access to a Treasury 

facility, obtain employment with Treasury)? 

Section 5.1(b) ☐Yes ☒ No Is it possible that Treasury will share information maintained in 

the system or by the project with a third party external to the Department that will use the 

information to make an adverse determination about an individual’s rights, benefits, and 

privileges under federal programs? 

Section 5.1(c) ☐Yes ☐No ☒ N/A If information could potentially be used to make an 

adverse determination about an individual’s rights, benefits, and privileges under federal 

programs, does the system or project collect information (to the greatest extent practicable) 

directly from the individual? 

Data Mining

As required by Section 804 of the Implementing the 9/11 Commission Recommendations Act of 

2007 (“9-11 Commission Act”), Treasury reports annually to Congress on its data mining 

activities. For a comprehensive overview of Treasury’s data mining activities, please review the 

Department’s Annual Privacy reports available at: http://www.treasury.gov/privacy/annualreports.

Section 5.1(d) ☐Yes ☒ No Is information maintained in the system or by the project used 

to conduct “data-mining” activities as that term is defined in the Implementing the 9-11 

Commission Act? 

Section 5.2: Ensuring accuracy, completeness, and timeliness of information 

collected, maintained, and shared

Exemption from Accuracy, Relevance, Timeliness, and Completeness Requirements

The Privacy Act requires that federal agencies “maintain all records which are used by the 

agency in making any determination about any individual with such accuracy, relevance, 

timeliness, and completeness as is reasonably necessary to assure fairness to the individual in the 
15

determination.” 5 U.S.C. § 552a(e)(5). If a particular system of records meets certain 

requirements (including the NPRM process defined in Section 2 above), an agency may exempt 

the system of records (or a portion of the records) from this requirement. 

Section 5.2(a) ☒ Yes ☐ No Is all or any portion of the information maintained in the 

system or by the project: (a) part of a system of records and (b) exempt from the accuracy, 

relevance, timeliness, and completeness requirements in sections (e)(5) of the Privacy Act? 

Computer Matching

The Computer Matching and Privacy Protection Act of 1988 amended the Privacy Act, imposing 

additional requirements when Privacy Act systems of records are used in computer matching 

programs. 

Matching programs must be conducted pursuant to a matching agreement between the source 

and recipient agencies. The matching agreement describes the purpose and procedures of the 

matching and establishes protections for matching records. 

Section 5.2(b) ☐ Yes ☒ No Is any of the information maintained in the system or by the 

project (a) part of a system of records and (b) used as part of a matching program? 

Section 5.2(c) ☐ Yes ☐ No ☒ N/A Is there a matching agreement in place that contains 

the information required by Section (o) of the Privacy Act? 

Section 5.2(d) ☐ Yes ☐ No ☒ N/A Are assessments made regarding the accuracy of the 

records that will be used in the matching program? 

Section 5.2(e) ☐ Yes ☐ No ☒ N/A Does the bureau or office that owns the system or 

project independently verify the information, provide the individual notice and an 

opportunity to contest the findings, or obtain Data Integrity Board approval in accordance 

with Section (p) of the Privacy Act before taking adverse action against the individual? 

Ensuring Fairness in Making Adverse Determinations About Individuals

Federal agencies are required to “maintain all records which are used by the agency in making 

any determination about any individual with such accuracy, relevance, timeliness, and 

completeness as is reasonably necessary to assure fairness to the individual in the 

determination.” 5 U.S.C. § 552a(e)(5). This requirement also applies when merging records 

from two or more sources where the merged records are used by the agency to make any 

determination about any individual. 
16

Section 5.2(f) ☐ Yes ☒ No With respect to the information maintained in the system or

by the project, are steps taken to ensure all information used to make a determination about

an individual is maintained with such accuracy, relevance, timeliness, and completeness as

is reasonably necessary to assure fairness to the individual in the determination? The 

information maintained in the system is not used to make a determination about an 

individual. 

Merging Information About Individuals

Section 5.2(g) ☐ Yes ☒ No Is information maintained in the system or by the project 

merged with electronic or non-electronic information from internal or external sources (e.g., 

other files or systems)? 

Section 5.2(h) ☐ Yes ☐ No ☒ N/A Once merged, is the information used in making 

determinations about individuals (e.g., decisions about whether the individual will receive a 

financial benefit or payment, get a clearance or access to a Treasury facility, obtain 

employment with Treasury, etc.)? 

Section 5.2(i) ☐ Yes ☐ No ☒ N/A Are there documented policies or procedures for how 

information is merged? 

Section 5.2(j) ☐ Yes ☐ No ☒ N/A Do the documented policies or procedures address how 

to proceed when partial matches (where some, but not all of the information being merged 

matches a particular individual) are discovered after the information is merged?

Section 5.2(k) ☐ Yes ☐ No ☒ N/A If information maintained in the system or by the 

project is used to make a determination about an individual, are steps taken to ensure the 

accuracy, relevance, timeliness, and completeness of the information as is reasonably 

necessary to assure fairness to the individual?

Policies and Standard Operating Procedures or Technical Solutions Designed to 

Ensure Information Accuracy, Completeness, and Timeliness

 Section 5.2(l) ☐ Yes ☐ No ☒ N/A If information maintained in the system or by the

project is used to make any determination about an individual (even if it is an exempt

system of records), are there documented policies or standard operating procedures for the 

system or project that address the accuracy, completeness, and timeliness of the information? 

Section 5.2(m) ☐ Yes ☒ No Does the system or project use any software or other technical 

solutions designed to improve the accuracy, completeness, and timeliness of the information 

used to make an adverse determination about an individual's rights, benefits, and/or privileges 

(regardless of if it is an exempt system of records)? 
17

Accuracy, Completeness, and Timeliness of Information Received from the Source

Section 5.2(n) ☒ Yes ☐ No Did Treasury or the bureau receive any guarantee, assurance, 

or other information from any information source(s) regarding the accuracy, timeliness and 

completeness of the information maintained in the system or by the project? 

Disseminating Notice of Corrections of or Amendments to PII

Section 5.2(o) ☐Yes ☐No ☒ N/A Where feasible and appropriate, is there a process in 

place for disseminating corrections of or amendments to the PII maintained in the system or 

by the project to all internal and external information-sharing partners?

Section 5.2(p) ☐Yes ☐No ☒ N/A Where feasible and appropriate, does the process for 

disseminating corrections or amendments include notifying the individual whose information 

is corrected or amended? 

Section 5.3: Information sharing within the Department of the Treasury

Internal Information Sharing

Section 5.3(a) ☐Yes ☒ No Is PII maintained in the system or by the project shared with 

other Treasury bureaus?

Section 5.3(b) ☒ Yes ☐No Does the Treasury bureau or office that receives the PII limit 

access to those Treasury officers and employees who have a need for the PII in the 

performance of their official duties (i.e., those who have a “need to know”)?

Memorandum of Understanding (MOU)/Other Agreements Limiting Treasury’s 

Internal Use/Disclosure of PII

Section 5.3(c) ☐Yes ☐No ☒ N/A Is any of the PII maintained in the system or by the 

project subject to the requirements of a Memorandum of Understanding or other agreement 

(e.g., agreement with another federal or state agency that provided the information to the 

Treasury or subject to an international agreement or treaty) that limits or places conditions on 

Treasury’s internal use, maintenance, handling, or disclosure of the PII? 

Section 5.4: Information sharing with external (i.e., outside Treasury) organizations 

and individuals

External Information Sharing
18

Section 5.4(a) ☐Yes ☒ No Is PII maintained in the system or by the project shared 

with agencies, organizations, or individuals external to Treasury? 

Accounting of Disclosures

Section 5.4(b) ☐ Yes ☐No ☒ N/A With respect to records maintained in the system or by 

the project that are subject to the Privacy Act, do you maintain a paper or electronic log or 

other record of the date, nature, and purpose of each disclosure (not including intra-agency 

disclosures and FOIA disclosures) of a record to any person or to another agency (outside of 

Treasury) and the name and address of the person or agency to whom the disclosure is made? 

See 5 U.S.C § 552a(c). 

Section 5.4(c) ☐ Yes ☐No ☒ N/A If you do not keep a running tabulation of every 

disclosure at the time it is made, are you able to reconstruct an accurate and complete 

accounting of disclosures so as to be able to respond to Privacy Act requests in a timely 

fashion? 

Section 5.4(d) ☐ Yes ☐No ☒ N/A With respect to records maintained in the system or by 

the project that are subject to the Privacy Act, do you retain the log or other record of the 

date, nature, and purpose of each disclosure, for at least five years or the life of the record, 

whichever is longer, after the disclosure for which the accounting is made? 

Section 5.4(e) ☐Yes ☐ No ☒ N/A With respect to records maintained in the system or by 

the project that are subject to the Privacy Act, does your bureau or office exempt the system 

of records (as allowed by the Privacy Act in certain circumstances) from the requirement to 

make the accounting available to the individual named in the record? 

Section 5.4(f) ☐Yes ☐ No ☒ N/A With respect to records maintained in the system or by 

the project that are subject to the Privacy Act, does your bureau or office exempt the system 

of records (as allowed by the Privacy Act in certain circumstances) from the requirement to 

inform any person or other agency about any correction or notation of dispute made by the 

agency of any record that has been disclosed to the person or agency if an accounting of the 

disclosure was made?

Statutory or Regulatory Restrictions on Disclosure

Section 5.4(g) ☐ Yes ☒ No In addition to the Privacy Act, are there any other statutory or 

regulatory restrictions on the sharing of any of the PII maintained in the system or by the 

project (e.g., 26 U.S.C § 6103 for tax returns and return information)? 
19

Data store in SIMS IV is for internally use only and governed by the Privacy Act. It does not 

share information with any internal or external entities.

Memorandum of Understanding Related to External Sharing

Section 5.4(h) ☐Yes ☐No ☒ N/A Has Treasury (including bureaus and offices) executed a 

Memorandum of Understanding, or entered into any other type of agreement, with any 

external agencies, organizations, or individuals with which/whom it shares PII maintained in 

the system or by the project?

Memorandum of Understanding Limiting Treasury’s Use or Disclosure of PII

Section 5.4(i) ☐Yes ☒ No Is any of the PII maintained in the system or by the project 

subject to the requirements of a Memorandum of Understanding or other agreement (e.g., 

agreement with another federal or state agency, an international agreement or treaty, or 

contract with private vendor that provided the information to Treasury or one of its bureaus) 

that limits or places conditions on Treasury’s internal use or external (i.e., outside Treasury) 

sharing of the PII? 

Memorandum of Understanding Limiting External Party’s Use or Disclosure of PII

Section 5.4(j) ☐Yes ☒ No Is any of the PII maintained in the system or by the project 

subject to the requirements of a Memorandum of Understanding or other agreement in which 

Treasury limits or places conditions on an external party’s use, maintenance, handling, or 

disclosure of PII shared by Treasury? 

Obtaining Consent Prior to New Disclosures Not Included in the SORN or Authorized 

by the Privacy Act

Section 5.4(k) ☐ Yes ☐ No ☒ N/A Is the individual’s consent obtained, where feasible and 

appropriate, prior to any new disclosures of previously collected records in a system of 

records (those not expressly authorized by the Privacy Act or contained in the published 

SORN (e.g., in the routine uses))? 

Section 6: Compliance with federal information management 

requirements

Responses to the questions below address the practical, policy, and legal consequences of 

failing to comply with one or more of the following federal information management 

requirements (to the extent required) and how those risks were or are being mitigated: (1) the 

Privacy Act System of Records Notice Requirement; (2) the Paperwork Reduction Act; (3) the 
20 

Federal Records Act; (4) the E-Gov Act security requirements; and (5) Section 508 of the 

Rehabilitation Act of 1973. 

Section 6.1: Privacy Act System of Records Notice (SORN) 

For collections of PII that meet certain requirements, the Privacy Act requires that the agency 

publish a SORN in the Federal Register. 

System of Records

Section 6.1(a) ☒ Yes ☐No Does the system or project retrieve records about an individual 

using an identifying number, symbol, or other identifying particular assigned to the 

individual? (See items selected in Section 4.2 above). 

(Treasury/Fiscal Service SORNs: https://fiscal.treasury.gov/privacy.html) 

Section 6.1(b) ☒ Yes ☐No ☐N/A Was a SORN published in the Federal Register for this

system of records? 

Treasury .009 - Treasury Financial Management Systems

Social Security Numbers

Section 6.2: The Paperwork Reduction Act 

The PRA requires OMB approval before a federal agency may collect standardized data from 10 

or more respondents within a 12 month period. OMB requires agencies to conduct a PIA (i.e., 

PCLIA) when initiating, consistent with the PRA, a new electronic collection of PII for 10 or 

more persons (excluding agencies, instrumentalities, or employees of the federal government). 

Paperwork Reduction Act Compliance

Section 6.2(a) ☒ Yes ☐No Does the system or project maintain information obtained from 

individuals and organizations who are not federal personnel or an agency of the federal 

government (i.e., outside the federal government)? 

Section 6.2(b) ☐Yes ☐ No ☒ N/A Does the project or system involve a new collection of 

information in identifiable form for 10 or more persons from outside the federal 

government? 

Section 6.2(c) ☐ Yes ☐No ☒ N/A Did the project or system complete an Information 

Collection Request (“ICR”) and receive OMB approval?

Section 6.3: Records Management - NARA/Federal Records Act Requirements
21

Records retention schedules determine the maximum amount of time necessary to retain 

information in order to meet the needs of the project or system. Information is generally either 

disposed of or sent to the NARA for permanent retention upon expiration of this period.

NARA Records Retention Requirements

Section 6.3(a) ☒ Yes ☐No Are the records used in the system or by the project covered 

by NARA’s General Records Schedules (“GRS”) or Treasury/bureau Specific Records 

Schedule (SRS)? 

Section 6.3(b) ☒ Yes ☐No Did NARA approved a retention schedule for the records 

maintained in the system or by the project?

Section 6.3(c) ☐Yes ☐No ☒ N/A If NARA did not approve a retention schedule for the 

records maintained in the system or by the project and the records are not covered by 

NARA’s GRS or Treasury/bureau SRS, has a draft retention schedule (approved by all 

applicable Treasury and/or Bureau officials) been developed for the records used in this 

project or system?

All Treasury owned data maintained by this system is retained and destroyed in accordance 

with the Fiscal Service File Plan. All Treasury owned records schedules and categories 

within the Fiscal Service File Plan are approved by NARA.

Section 6.4: E-Government Act/NIST Compliance

The completion of Federal Information Security Modernization Act (FISMA) Security 

Assessment & Authorization (SA&A) process is required before a federal information system 

may receive Authority to Operate (“ATO”). Different security requirements apply to National 

Security Systems.

Federal Information System Subject to FISMA Security Assessment and Authorization

Section 6.4(a) ☒ Yes ☐No ☐N/A Is the system a federal information system subject to 

FISMA requirements?

Section 6.4(b) ☒ Yes ☐No ☐N/A Has the system or project undergone a SA&A and 

received an ATO? 

Access Controls and Security Requirements

Section 6.4(c) ☒ Yes ☐No Does the system or project include access controls to ensure 

limited access to information maintained by the system or project?

Security Risks in Manner of Collection
22

Section 6.4(d) ☐ Yes ☒ No In Section 4.3 above, you identified the sources for information 

used in the system or project and the method and manner of collection. Were any security, 

privacy, or civil liberties risks identified with respect to the manner in which the information 

is collected from the source(s)? 

Security Controls When Sharing Internally or Externally

Section 6.4(e) ☐ Yes ☐No ☒ N/A Are all Treasury/bureau security requirements met in 

the method of transferring information (e.g., bulk transfer, direct access by recipient, portable 

disk, paper) from the Treasury project or system to internal or external parties? 

Monitoring of Individuals

Section 6.4(f) ☐ Yes ☒ No Will this system or project have the capability to identify, 

locate, and monitor individuals or groups of people? 

Audit Trails

Section 6.4(g) ☒ Yes ☐No Are audit trails regularly reviewed for appropriate use, 

handling, and disclosure of PII maintained in the system or by the project inside or 

outside of the Department? 

Section 6.5: Section 508 of the Rehabilitation Act of 1973

When federal agencies develop, procure, maintain, or use Electronic and Information 

Technology (“EIT”), Section 508 of the Rehabilitation Act of 1973 (as amended in 1998) 

requires that individuals with disabilities (including federal employees) must have access and use 

(including privacy policies and directives as well as redress opportunities) that is comparable to 

that which is available to individuals who do not have disabilities.

Applicability of and Compliance With the Rehabilitation Act

Section 6.5(a) ☒ Yes ☐ No Will the project or system involve the development, 

procurement, maintenance or use of EIT as that term is defined in Section 508 of the 

Rehabilitation Act of 1973 (as amended in 1998)? 

Section 6.5(b) ☒ Yes ☐No ☐N/A Does the system or project comply with all Section 508

requirements, thus ensuring that individuals with disabilities (including federal employees) 

have access and use (including access to privacy and civil liberties policies) that is 

comparable to that which is available to individuals who do not have disabilities? 
23

Section 7: Redress

Access Under the Freedom of Information Act and Privacy Act

Section 7.0(a) ☒ Yes ☐No Does the agency have a published process in place by which 

individuals may seek records under the Freedom of Information Act and Privacy Act? 

The Treasury FOIA and PA disclosure regulations can be found at 31 C.F.R. Part 1, 

Subtitle A, Subparts A and C.

Privacy Act Access Exemption

Section 7.0(b) ☐Yes ☒ No Was any of the information that is maintained in system of 

records and used in the system or project exempted from the access provisions of the Privacy 

Act? 

Additional Redress Mechanisms

Section 7.0(c) ☐Yes ☒ No With respect to information maintained by the project or system 

(whether or not it is covered by the Privacy Act), does the bureau or office that owns the 

project or system have any additional mechanisms other than Privacy Act and FOIA remedies 

(e.g., a customer satisfaction unit; a complaint process) by which an individual may request 

access to and/or amendment of their information and/or contest adverse determinations about 

denial of their rights, benefits, and privileges under federal programs (e.g., decisions about 

whether the individual will receive a financial benefit, get a clearance or access to a Treasury 

facility, obtain employment with Treasury)? 

<<If YES, provide a short narrative explanation to complete the answer to Section 7.0(c)