Privacy and Civil Liberties Impact Assessment 

for the 

e-Discovery
 

Enterprise Business Solutions
 

March 17, 2022
 

Reviewing Official 

Timothy H. Skinner
 

Bureau Privacy and Civil Liberties Officer
 

Departmental Offices
 

Department of the Treasury
 

1 
 

 

 

 

 

 

 

 

 

Section 1: Introduction 

PCLIAs are required for all systems and projects that collect, maintain, or disseminate personally 

identifiable information (PII). The system owner completed this assessment 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),” which requires Treasury Offices and Bureaus to conduct a PCLIA before: (1) developing or 

procuring information technology (IT) systems or projects that collect, maintain or disseminate PII from 

or about members of the public, or (2) initiating a new collection of information that: (a) will be collected, 

maintained, or disseminated using IT; and (b) includes any PII permitting the physical or online 

contacting of a specific individual, if identical questions have been posed to, or identical reporting 

requirements imposed on, 10 or more persons (not including agencies, instrumentalities, or employees of 

the federal government). 

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

conduct a PCLIA when PII is maintained in a system or by a project. This PCLIA provides the following 

information regarding the system or project: (1) an overview of its purpose and functions; (2) a 

description of the information collected; (3) a description of the how information is maintained, used, and 

shared; (4) an assessment of whether the system or project is in compliance with federal requirements that 

support information privacy; and (5) an overview of the redress/complaint procedures available to 

individuals who may be affected by the use or sharing of information by the system or project. 

Section 2: System Overview 

Section 2.1: System/Project Description and Purpose 

The Electronic Discovery (eDiscovery) is a minor application within the Department of the 

Treasury (“Treasury” or “the Department”) Enterprise Content Management (ECM) Cloud. 

eDiscovery aids in the collection of existing Treasury records and in facilitating the review and 

production of electronically stored information, records, such as emails, computer files, and 

databases. In 2006, the U.S Supreme Courts amendments to the Federal Rules of Civil 

Procedures created a category for electronic records that, for the first time, explicitly named 

emails and other electronically archived information (e.g., instant message chats) as records that 

could be produced during legal investigations when they are relevant. eDiscovery was 

developed as a solution for attorneys and legal personnel who manage cases and review 

documents for litigation and Freedom of Information Act (FOIA) support. eDiscovery allows 

case managers and case administrators the ability to access large cases and complex litigation 

cases, create workflows for efficiently reviewing case documents, and manage initial data import 

and processing. Additionally, eDiscovery allows information to be more proficiently produced 

during legal investigations. Records in eDiscovery come from the Treasury Departmental 

Offices Applications services (DO Apps), mailboxes, (Exchange and Skype), and individual 

network storage locations. Personally identifiable information (PII) is used to support legal 

investigations when they are relevant. The use of PII supports the mission of the Department by 

providing emails and other electronically archived information (e.g., instant message chats, 

emails) as records that could be produced during legal investigation. 

2 
 

 

 

 

 

 

Treasury is updating this PCLIA to reflect a change in the eDiscovery migrating to and 

becoming a minor application of ECM Cloud. 

Please check the statement below that applies to your system or project and provide any 

additional information requested. Please read all possible responses before selecting an answer. 

1.	 ☐ A PCLIA is being done for this system for the first time. 

2.	 ☒ This is an update of a PCLIA previously completed and published under this same 

system or project name. The date the earlier PCLIA was published was 09/09/2014. 

3.	 ☐ This is an update of a PCLIA previously completed and published for a similar system 

or project that is undergoing a substantial modification or migration to a new system or 

project name. The name of that previous PCLIA was ....... and the date of its publication 

was ... 

Section 2.2: Authority to Collect 

Federal agencies must have proper authority before initiating a collection of information. The authority is 

sometimes granted by a specific statute, by Executive order (EO) of the President or other authority. The 

following specific authorities authorize e-Discovery to collect information: 

•	 The Federal Rules of Civil Procedures, as amended in 2006. 

•	 44 U.S.C. 3101; E.O. 9397, as amended by E.O. 13487; and 44 U.S.C. 3534. 

The information may also be collected pursuant to a more general requirement or authority. All Treasury 

systems and projects derive general authority to collect information from: 

•	 31 U.S.C. 321 – General authorities of the Secretary establish the mission of the 

Department of the Treasury
 

•	 5 U.S.C. 301 – Department regulations for the operations of the Department, conduct of 

employees, distribution and performance of its business, the custody, use, and 

preservation of its records, papers, and property. 

Section 2.3: Privacy Act Applicability; SORN Requirement 

Under certain circumstances, federal agencies are allowed to exempt a system of records from certain 

provisions in the Privacy Act. This means that, with respect to information systems and papers files that 

maintain records in that system of records, the agency will not be required to comply with the 

requirements in Privacy Act provisions that are properly exempted. If this system or project contains 

records covered by the Privacy Act, the applicable Privacy Act system of records notice(s) (SORNs) 

(there may be more than one) that cover the records in this system or project must list the exemptions 

claimed for the system of records (it will typically say: “Exemptions Claimed for the System” or words to 

that effect). 

Helpful Hint for answering questions in this section and later questions about Privacy Act exemptions: If 

you know there is a SORN covering the PII in this system, the answer is probably “yes.” If the system 

maintains PII, but that PII is not actually retrieved by a personal identified, the answer is “no.” At the 

bottom of the applicable SORN(s), you will find a section that says: “Exemptions Claimed for the 

System.” If the answer is “None” (or anything that indicates no exemptions are claimed): (1) your bureau 

or office does not exempt the system of records from any Privacy Act requirements; and (2) when you are 

3 
 

 

 

 

 

 

 

 

 

 

asked in this template whether your bureau or office exempts the system of records from certain
 

provisions in the Privacy Act, your answer will always be “No.”
 

All answers in this section must be provided in the space as instructed after checking the appropriate 

box(es).
 

Section 2.3(a) Please check ALL statements below that apply to your system or project and 

provide any additional information requested. Please read all possible responses before 

selecting an answer. 

1.	 ☐ The system or project does not retrieve records about an individual using an 

identifying number, symbol, or other identifying particular assigned to the individual. A 

SORN is not required with respect to the records in this system. 

2.	 ☒ The system or project does retrieve records about an individual using an identifying 

number, symbol, or other identifying particular assigned to the individual. A SORN is 

required with respect to the records in this system. 

3.	 ☐ A SORN was identified in the original PCLIA and a determination was made during 

this current PCLIA update that modifications [choose one] ☐ were ☐ were not required 

to that SORN. [If modifications were made, generally describe them here]. The current 

applicable SORN is: 

4.	 ☐ A SORN(s) was not identified or required in the original PCLIA, but a determination 

was made during this current PCLIA update that a SORN(s) is now required. The 

applicable SORN(s) is:[Provide here the SORN number(s), system of records name(s) 

and the citation to the SORN(s) in the Federal Register]. 

5.	 ☒ A SORN was published, and no exemptions are taken from any Privacy Act 

requirements. Treasury .015 - General Information Technology Access Account Records -

85 FR 73353 (Nov. 17, 2020). 

6.	 ☐ Exemptions are claimed from the following Privacy Act provisions in the applicable 

SORN(s): [List here all exemptions taken in the applicable SORN; Hint: it’s at the end of 

the SORN]: The citation to the applicable Notice of Proposed Rulemaking and/or Final 

Rule is[provide here the Federal Register Citation to the NPRM and Final Rule (if a Final 

Rule was required)]. 

Section 3: Information Collection 

Section 3.1: Relevant and Necessary 

The Privacy Act requires “each agency that maintains a system of records [to] maintain in its records 

only such information about an individual as is relevant and necessary to accomplish a purpose of the 

agency required to be accomplished by statute or by executive order of the President.” 5 U.S.C. § 

552a (e)(1). It allows federal agencies to exempt records from certain requirements (including the 

relevant and necessary requirement) under certain conditions. 5 U.S.C. §552a (k). The proposed 

exemption must be described in a Notice of Proposed Rulemaking (“NPRM”). In the context of the 

Privacy Act, the purpose of the NPRM is to give the public notice of a Privacy Act exemption 

claimed for a system of records and solicit public opinion on the proposed exemption. After 

addressing any public concerns raised in response to the NPRM, the agency must issue a Final Rule. 

It is possible for some, but not all, of the records maintained in the system or by the project to be 

exempted from the Privacy Act through the NPRM/Final Rule process. 

4 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

Section 3.1(a) Exemption Claimed from this Requirement 

1.	 ☒ The PII maintained in this system or by this project is not exempt from 5 U.S.C. 

§ 552a(e)(1), the Privacy Act’s requirement that an agency “maintain in its records only 

such information about an individual as is relevant and necessary to accomplish 

a purpose of the agency required to be accomplished by statute or by executive order of 

the President.” 

2.	 ☐ The PII maintained in this system or by this project is exempt from 5 U.S.C. 

§ 552a(e)(1), because [See Appendix B for a list of acceptable bases for claiming this 

exemption and cut and paste here all that apply]. 

Section 3.1(b) Continuously Assessing Relevance and Necessity 

1.	 ☐ The PII in the system is not maintained in a system of records. Therefore, the 

Privacy requirements do not apply. [Explain here what you do to ensure relevance and 

necessity despite the fact that the Privacy Act does not apply]. 

2.	 ☐ The PII in the system is maintained in a system of records, but the agency exempted 

these records from the relevance and necessity requirement. [Explain here what you do 

to ensure relevance and necessity to the extent possible despite the fact the records are 

exempt from this requirement]. 

3.	 The system owner conducted an assessment prior to collecting PII for use in the 

system or project to determine which PII data elements and types (see Section 3.2 below) 

were relevant and necessary to meet the system’s or project’s mission requirements. 

During this analysis, in conducting the “relevance and necessity” analysis that is 

documented in this PCLIA, the system owner reevaluated the necessity and relevance of 

all PII data elements and determined that they are still relevant and necessary. Every 

time this PCLIA is updated, this ongoing assessment will be revisited. If it is determined 

at any time that certain PII data elements are no longer relevant or necessary, the system 

owner will update this PCLIA to discuss how the data element was removed from the 

system and is no longer collected. 

☒

4.	 ☒ With respect to PII currently maintained (as of the time this PCLIA is being done) in 

the system or by the project, the PII ☒ is ☐ is not limited to only that which is relevant 

and necessary to meet the system’s or project’s mission requirements. During the PCLIA 

process, the system always undergoes a review to ensure the continuing relevance and 

necessity of the PII in the system. 

5.	 ☒ With respect to PII maintained in the system or by the project, there ☒ is ☐ is not a 

process in place to continuously reevaluate and ensure that the PII remains relevant and 

necessary. During the PCLIA process, the system always undergoes a review to ensure 

the continuing relevance and necessity of the PII on the system. If a determination is 

made that particular PII is no longer relevant and necessary in between PCLIA updates, 

this PCLIA will be updated at that time. 

Section 3.2: PII and/or information types or groupings 

The checked boxes below represent the types of information maintained in the system or by the project 

that are relevant and necessary for the information system or project to fulfill its mission. PII identified 

5 
 

 

 

 

 

 

 

 

 

 

 

below is used by the system or project to fulfill the purpose stated in Section 2.2 above– Authority to 

Collect. 

Biographical/general information 

Pursuant to the statutory authorities cited above, information in eDiscovery (emails and other 

electronically archived information) is authorized to be used during legal investigations when they 

are relevant. eDiscovery does not collect PII directly from individual. However, information in 

eDiscovery may contain PII, whether or not the PII is actively sought. It is, therefore, impossible 

to estimate all the information that might be collected during a litigation process. Such 

information could include any information contained in an email, chat, and other information 

obtained electronically from DO Apps. 

3.3 Sources from which PII is obtained 

Focusing on the context in which the data was collected and used (i.e., why it is collected and how it is 

used), check ALL sources from which PII is collected/received and stored in the system or used in the 

project 

1. Members of the Public 

☒ Members of the Public (i.e., including individuals who are current federal employees who are 

providing the information in their “personal” capacity (unrelated to federal work/employment). 

All of the following are members of the public. Please check relevant boxes (based on the 

context of collection and use in this system) for members of the public whose information is 

maintained in the system (only check if relevant to the purpose for collecting and using the 

information): 

☐ Members of the general public (current association with the federal
 

government, if any, is irrelevant to the collection and use of the information by 

the system or project). Discuss here how/why PII is collected from this source.
 

☐ Retired federal employees. Discuss here how/why PII is collected from this 

source.
 

☒ Former Treasury employees.
 

☒ Federal contractors, grantees, interns, detailees etc.
 

☐ Federal job applicants.
 

☐ Other: [Explain here]. Discuss here how/why PII is collected from this source.
 

2. Current Federal Employees, Interns, and Detailees 

☒ Current Federal employees providing information in their capacity as federal employees
 

(for example, PII collected using OPM or Treasury forms related to employment with the 

federal government)
 

☒ Interns.
 

☒ Detailees.
 

☐ Other employment-related positions. [name the position here and discuss how/why PII 

is collected from this source.]. 

3. Treasury Bureaus (including Departmental Offices) 

☒ Other Treasury Bureaus. 

6 
 

 

 

 

 

 

 

 

 

 

 

4.	 Other Federal Agencies

☐ Other federal agencies: (name each agency here and explain how/why PII is collected 

from this source.). 

5.	 State and Local Agencies 

☐ State and local agencies: (Name the State and local agencies here and explain how/why PII is 

collected from this source). 

6.	 Private Sector 

☐ Private sector organizations (for example, banks and financial organizations, data 

brokers or other commercial sources): (Name the State and local agencies here and 

explain how/why PII is collected from this source.). 

7.	 Other Sources 

☐ Other sources not covered above (for example, foreign governments). 

(Name the other sources here and explain how/why PII is collected from this source). 

Section 3.3: Privacy and/or civil liberties risks related to collection 

When Federal agencies request 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 [the individual], if any, 

of not providing all or any part of the requested information.” 5 U.S.C § 522a(e)(3). This is commonly 

called a Privacy Act Statement. The OMB Guidelines also note that subsection (e)(3) is applicable to 

both written and oral (i.e., interview) solicitations of personal information. Therefore, even if a federal 

employee or contractor has a fixed list of questions that they orally ask the individual in order to collect 

their information, this requirement applies. 

Section 3.3(a) Collection Directly from the Individual to whom the PII pertains 

1.	 ☒ None of the PII in the system was collected directly from an individual to whom it 

pertains. All data within eDiscovery is extracted from the DO Apps (Exchange, Skype, 

individual network storage location) 

2.	 ☐ Some or ☐ all of the information in this system was collected directly from an
 

individual to whom it pertains.
 

Section 3.3(b) Privacy Act Statements 

1.	 ☒ None of the PII in the system was collected directly from the individuals to whom it 

pertains. Therefore, a Privacy Act Statement is not required. 

2.	 ☐ ☐

☐ ☐

Some All of the PII in the system was collected directly from the individual to 

whom it pertains. Therefore, a Privacy Act Statement was posted at the point where the 

PII was collected directly from the individual. That Privacy Act Statement was provided 

to the individual on the form in which the PII was collected on a separate sheet of 

7 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

paper that the individual could retain; or in an audio recording or verbally at the point 

where the information was collected (e.g., on the phone) or other [please explain]. 

☐

☐

3.	 The Privacy Act Statement contained the following: 

a.	 ☐ The authority (whether granted by statute, or by Executive order of the 

President) which authorizes the solicitation of the information. 

b.	 ☐ Whether disclosure of such information is mandatory or voluntary. 

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

used. 

d.	 ☐ The individuals or organizations outside of Treasury with whom the 

information may be/ will be shared. 

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

part of the requested information. 

Section 3.3(c) Use of Full Social Security Numbers 

Treasury is committed to eliminating unnecessary collection, use, and display of full Social Security 

numbers (“SSN”) and redacting, truncating, and anonymizing SSNs in systems and documents to limit 

their accessibility to individuals who do not have a need to access the full SSN in order to perform their 

official duties. Moreover, 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 

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 3.3(d) Justification of Social Security Numbers 

1.	 ☒ N/A No full SSNs are maintained in the system or by the project. 

2.	 ☐ Full SSNs are maintained in the system or by the project and the following approved 

Treasury uses of SSNs apply: 

security background investigations; 

interfaces with external entities that require the SSN; 

a legal/statutory basis (e.g. where collection is expressly required by statute); 

when there is no reasonable, alternative means for meeting business requirements; 

statistical and other research purposes; 

delivery of government benefits, privileges, and services; 

for law enforcement and intelligence purposes; 

aging systems with technological limitations combined with funding limitations render 

impracticable system modifications or replacements to add privacy risk reduction tools 

(partial/truncated/redacted or masked SSNs); and 

as a unique identifier for identity verification purposes. 

☐

☐

☐

☐

☐

☐

☐

☐

☐

8 
 

 

 

 

 

 

 

 

 

 

 

 

 

Section 3.3(e) Controls implemented to limit access to and or improper disclosure of full 

Social Security Numbers. 

1.	 ☒ Full SSNs are not maintained in the system or by the project. 

2.	 ☐ Full SSNs are maintained in the system or by the project and the following controls 

are put in place to reduce the risk that the SSN will be seen or used by someone who does 

not have a need to use the SSN in order to perform their official duties (check ALL that 

apply): 

a.	 ☐ The entire SSN data field is capable of suppression (i.e., being turned off) and 

the data field is suppressed when the SSN is not required for particular system 

users to perform their official duties. 

b.	 ☐ The SSN field is visible, but the SSN itself is blurred or distorted in some 

way so it is not capable of being read by users who do not require the SSN to 

perform their official duties. 

c.	 ☐ Within the system, an alternative number (e.g., an Employee ID) is displayed 

to all system users who do not require the SSN to perform their official duties. 

The SSN is only linked to the alternative number within the system and when 

reporting outside the system (to an agency that requires the full SSN). The SSN 

is not visible to system users (other than administrators). 

d.	 ☐ The SSN is truncated (i.e., shortened to the last 4 digits of the SSN) when 

displayed to all system users for whom the last four digits (but not the full) SSN 

are necessary to perform their official duties. 

e.	 ☐ Full or truncated SSNs are only downloaded to spreadsheets or other 

documents for sharing within the bureau or agency when disclosed to staff 

whose official duties require access to the full or truncated SSNs for the 

particular individuals to whom they pertain. No SSNs (full or truncated) are 

included in spreadsheets or documents unless required by each recipient to 

whom it is disclosed in order to perform their official duties (e.g., all recipients 

have a need to see the SSN for each employee in the spreadsheet). 

f.	 ☒ Other: [Please describe]. 

Section 3.3(f) Denial of rights, benefits, or privileges for refusing to disclose Social Security 

Number 

1.	 ☒ N/A No SSNs are maintained in the system or by the project. 

2.	 ☐ Full SSNs are collected, but no individual will be denied any right, benefit, or 

privilege provided by law if the individual refuses to disclose their SSN for use in the 

system or project. If the individual chooses not to provide their SSN [please describe 

here what will happen (something less than denial of a privilege etc.) if the individual 

chooses not to provide their SSN]. 

3.	 ☐ Full SSNs are collected, and the individual will be denied the following right, benefit, 

or privilege provided by law if they refuse to disclose their SSN: [please identify the 

right, benefit, or privilege if the individual will be denied if they choose not to provide 

their SSN: Identify here]. Denial of this right, benefit or privilege does not violate the 

law because: [choose one of the two boxes below]: 

9 
 

 

 

 

 

 

 

 

 

a.	 ☐ SSN disclosure is required by the following Federal statute or Executive 

Order; OR 

b.	 ☐ The SSN is disclosed to a Federal, state, or local agency that maintains a 

system of records that was 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. 

Section 3.3(g) Records describing how individuals exercise First Amendment rights 

The Privacy Act requires 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). 

1.	 ☒ N/A. The system or project does not maintain information describing how an
 

individual exercises their rights guaranteed by the First Amendment.
 

2.	 ☐ The system or project does maintain information describing how an individual 

exercises their rights guaranteed by the First Amendment. If you checked this box, 

please check the box below that explains Treasury’s authorization for collecting this 

information: 

a.	 ☐ The individual about whom the information was collected or maintained 

expressly authorizes its collection/maintenance. The individual about whom the 

information was collected or maintained expressly authorized its collection by 

[explain here how the individual expressly authorizes collection] (for example, 

individuals may expressly authorize collection by requesting in writing that 

Treasury share information with a third party, e.g., their Congressman]; 

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

authorized law enforcement activity because [generally discuss here the nature 

and purpose of the information collected and the law enforcement activity]; 

c.	 ☐ The following statute expressly authorizes its collection: [provide here the 

name of and citation to the statute and the language from that statute that 

expressly authorizes collection] [your response MUST contain all three if you use 

a statute as the basis for the collection]. 

Section 4: Maintenance, use, and sharing of the information 

Section 4.1: Ensuring accuracy, completeness, and timeliness of information collected, 

maintained, and shared when it is used to make determinations about individuals. 

The Privacy Act and Treasury policy require that Treasury bureaus and offices take additional care when 

collecting and maintaining information about individuals when it will be used to make determinations 

about those individuals (e.g., whether they will receive a federal benefit). This includes collecting 

information directly from the individual where practicable and ensuring that the information is accurate, 

relevant, timely and complete to assure fairness to the individual when making a determination about 

them. This section addresses the controls/protections put in place to address these issues. 

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 determination.” 5 

10 
 

 

 

 

 

 

 

 

 

U.S.C § 552a(e)(5). If a particular system of records meets certain requirements (including the NPRM 

process defined in Section 3.1 above), an agency may exempt the system of records (or a portion of the 

records) from this requirement. Exemptions may be found at the bottom of the relevant SORN next to the 

heading: “Exemptions Claimed for this System.” 

Section 4.1(a). Exemption from the accuracy, relevance, timeliness, and completeness 

requirements in section (e)(5) of the Privacy Act 

1.	 ☒ None of the information maintained in the system or by the project that is part of a system of 

records is exempt from the accuracy, relevance, timeliness, and completeness requirements in 

section (e)(5) of the Privacy Act. 

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

and is exempt from the accuracy, relevance, timeliness, and completeness requirements in 

section (e)(5) of the Privacy Act. The exemption claimed for these records is appropriate 

because. 

3.	 ☐ The PII maintained in the system or by the project is not: (a) part of a system of records as 

defined in section (e)(5) of the Privacy Act; or (b) used to make adverse determinations about 

individuals (defined in the Privacy Act as U.S. Citizens and legal permanent residents). Instead, 

the information is used to [describe how the information is used and why this use does not 

involve adverse determinations]. hat you read the rest of the options before checking this box☐

None of the information maintained in the system or by the project is part of a system of records 

as defined in section (e)(5) of the Privacy Act, but the information in the system is used to make 

adverse determinations about individuals (defined in the Privacy Act as U.S. Citizens and legal 

permanent residents). Despite the fact that the Privacy Act does not apply, the following 

protections are in place to ensure fairness to the individual: explain here . 

Section 4.1(b) Protections in place despite exemption from the accuracy, relevance, 

timeliness, and completeness requirements 

1.	 ☒ None of the information maintained in the system or by the project that is part of a system of 

records is exempt from the accuracy, relevance, timeliness, and completeness requirements in 

section (e)(5) of the Privacy Act. 

2.	 ☐ For all information maintained in the system or by the project that is part of a system of 

records that is exempt from the accuracy, relevance, timeliness, and completeness requirements 

in section (e)(5) of the Privacy Act, the following efforts are made to ensure accuracy, relevance, 

timeliness, and completeness to the extent possible without interfering with the (check one) ☐

law enforcement ☐ intelligence ☐ other [describe here] mission requirements for which the 

system or project was created [choose ALL that apply]: 

a.	 ☐ The exempt information is not actually used to make any adverse determinations about 

individuals. 

b.	 ☐ The exempt information is not actually used to make any adverse determinations about 

individuals without additional research and investigation to ensure accuracy, relevance, 

timeliness, and completeness. 

c.	 ☐ Individuals and organizations to whom PII from the system or project is disclosed (as 

authorized by the Privacy Act) determine its accuracy, relevance, timeliness, and 

completeness in a manner reasonable for their purposes before they use it to make adverse 

determinations about individuals. 

d.	 ☐ Individuals about whom adverse determinations are made using PII from this system or 

project are given an opportunity to explain or modify their information (check one) ☐

11 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

before after the adverse determination is made. During this process, individuals are 

allowed to: [discuss here 

☐

e.	 ☐ Other: (please describe): 

3.	 ☐ No additional efforts are made to ensure accuracy, relevance, timeliness, and completeness to 

the extent possible because it would interfere with mission requirements. 

Section 4.1(c) Collecting information directly from the individual when using it to make 

adverse determinations about them. 

Section 552a(e)(2) of the Privacy Act requires that Federal agencies that maintain records in a system of 

records are required to collect information to the greatest extent practicable directly from the individual 

when the information about them may result in adverse determinations about their rights, benefits, and 

privileges under Federal programs. Agencies may exempt a system of records from this requirement 

under certain circumstances and if certain conditions are met. 

1.	 

☐

☐ The records maintained by this system or project are not used to make any adverse 

determinations about individuals.
 

2.	 ☒ The records maintained by this system or project are used to make adverse determinations 

about individuals and [check all that apply]: 

a.	 These records were exempted from the Privacy Act provision that requires 

collection directly from the subject individual to the greatest extent practicable. 

Exemption of these records is proper because [explain here why the records were 

exempted; sample responses are provided in Appendix B of this template]. 

b.	 ☒ These records were not exempted from the requirement to collect information 

directly from the individual to the greatest extent practicable and [check the relevant 

box below and provide the information requested]. 

i.	 ☐ All records used to make an adverse determination are collected directly from 

the individual about whom the decision is made. 

ii.	 ☒ A combination of records collected from third parties and directly from the 

individual about whom the determination is made are used to make the 

determination. Data in eDiscovery is derived from DO Apps. Data may contain 

information or communication between an employee and their supervisor or 

colleagues. 

iii.	 ☐ None of the records used to make adverse determinations are collected 

directly from the individual about whom determinations are made because 

seeking the information directly from the individual might [select ALL that 

apply]: 

alert the individual to the fact that their conduct is being observed or investigated; 

	 cause the individual to alter or modify their activities to avoid detection; 

create risks to witnesses or other third parties if the individual is alerted to the 

fact that their conduct is being observed or investigated; 

	 Other: (please describe here). 

☐

☐

☐

☐

Section 4.1(d) Additional controls designed to ensure accuracy, completeness, timeliness 

and fairness to individuals in making adverse determinations 

12 
 

 

 

 

 

 

 

 

1.	 Administrative Controls. Individuals about whom information is collected are given the 

following opportunities to amend/correct/update their information to ensure it is accurate, 

timely and complete to the extent reasonably necessary to assure fairness when it is used 

to make a determination about them: 

a.	 ☐ The PII collected for use in the system or project is NOT used to make adverse 

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

programs. 

b.	 ☒ The records maintained in the system or by the project are used to make adverse 

determinations and (select one) ☐ are ☒ are not exempt from the access provisions 

in the Privacy Act, 5 U.S.C. 552a(d). 

c.	 ☒ Treasury has published regulations in place describing how individuals may seek access to 

and amendment of their records under the Privacy Act. The Treasury/bureaus FOIA and 

Privacy Act disclosure regulations can be found at 31 C.F.R. Part 1, Subtitle A, Subparts A 

and C. 

d.	 ☐ Individuals who provide their information directly to Treasury for use in the system or by 

the project are provided notice of the adverse determination and an opportunity to 

amend/correct/ update their information [choose one] ☐ before ☐ after it is used to make a 

final, adverse determination about them. This is accomplished by [describe here how this 

process works and the protections in place, including redress/appeals processes; if notice is 

provided after an adverse determination is made, explain here why notice could not be 

provided before a determination was made, and the protections in place]: Descriptions. 

e.	 ☒ Individuals who provide their information directly to Treasury for use in the system or by 

the project are expressly told at the point where the information is collected that they need to 

keep their information accurate, current and complete because it could be used to make 

adverse determinations about them. Because eDiscovery supports a secondary collection of 

information from records already compiled in existing Treasury recordkeeping systems, 

individualized notice is not possible or practical. 

f.	 ☐ All manual PII data entry by federal employees/contractors is verified by a supervisor or 

other data entry personnel before it is uploaded to the system (e.g., PII entered into the 

system from paper records is double-checked by someone else before it’s uploaded to the 

system). This is accomplished by: [describe here how this process works]. 

g.	 ☐ Other: [please describe here]. 

2.	 Technical controls. The system or project also includes additional technical controls to 

ensure that PII is maintained with such accuracy, relevance, timeliness and completeness 

as is reasonably necessary to assure fairness to the individual when it is used to make a 

determination about them. The following additional protections are relevant to this 

system or project 

a.	 ☒ No additional technical controls are available to ensure accuracy, relevance, timeliness 

and completeness. 

b.	 ☐ Automated data feeds are used to refresh/update the information in the system (where the 

system is reliant on updates from another system). These automated data feeds occur: [state 

here the frequency of updates] and [state here what happens when the data is updated and 

why the system is reliant on another system for its data]. 

c.	 ☐ Technical and/or administrative controls put are in place to ensure that when information 

about an individual is acquired from multiple sources for maintenance in a single file about a 

particular individual, it all relates to the same individual . This is accomplished by: [describe 

13 
 

 

 

 

 

here the method or process used to ensure that information merged about an individual from 

multiple sources for inclusion in a single file, all relates to the same person]. 

d.	 ☐ Address verification and correction software (software that validates, updates and 

standardizes the postal addresses in a database). 

e.	 ☐ Other: [please describe here] 

Section 4.2 Data-Mining 

As required by Section 804 of the Implementing Recommendation of the 9/11 Commission 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 Act and Data Mining reports available at: http://www.treasury.gov/privacy/annual-reports. 

Section 4.2(a) Is the PII maintained in the system used to conduct data-mining? 

1.	 ☒ The information maintained in this system or by this project is not used to conduct 

“data-mining” activities as that term is defined in the 9-11 Commission Act. Therefore, 

no privacy or civil liberties issues were identified in responding to this question. 

2.	 ☐ The information maintained in this system or by this project is used to conduct “datamining” activities as that term is defined in the 9-11 Commission Act. This system is 

included in Treasury’s annual report to Congress which can be found on the external 

Treasury privacy website. 

3.	 ☐ The information maintained in this system or by this project is used to conduct “datamining” activities as that term is defined in the 9-11 Commission Act, but this system is 

not included in Treasury’s annual report to Congress which can be found on the external 

Treasury privacy website. This system will be added to the next Treasury Data-mining 

report to Congress. 

Section 4.3 Computer Matching 

The Computer Matching and Privacy Protection Act (CMPPA) of 1988 amended the 

Privacy Act by imposing additional requirements when Privacy Act systems of records 

are used in computer matching programs. 

Pursuant to the CMPPA, there are two distinct types of matching programs. The first 

type of matching program involves the computerized comparison of two or more 

automated federal personnel or payroll systems of records or a system of federal 

personnel or payroll records with non-federal records. This type of matching program 

may be conducted for any purpose. The second type of matching program involves the 

computerized comparison of two or more automated systems of records or a system of 

records with non-federal records. The purpose of this type of matching program must be 

for the purpose of eligibility determinations or compliance requirements for applicants, 

recipients, beneficiaries, participants, or providers of services for payments or in-kind 

assistance under federal benefit programs, or recouping payments or delinquent debts 

under such federal benefit programs. See 5 U.S.C. § 522a(a)(8). Matching programs 

must be conducted pursuant to a matching agreement between the source (the agency 

providing the records) and recipient agency (the agency that receives and uses the records 

to make determinations). The matching agreement describes the purpose and procedures 

of the matching and establishes protections for matching records. 

14 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Section 4.3(a) Records in the system used in a computer matching program 

1.	 ☐ The PII maintained in the system or by the project is not part of a Privacy Act system 

of records. 

2.	 ☒ The information maintained in the system or by the project is part of a Privacy Act 

system of records, but is not used as part of a matching program. 

3.	 ☐ The information maintained in the system or by the project is part of a Privacy Act 

system of records and is used as part of a matching program. [If whether a Matching 

Agreement was executed and published as required by the CMPPA/Privacy Act; if no 

Matching Agreement was executed, please explain here why]: Explain here. 

Section 4.3(b) Is there a matching agreement? 

1.	 ☒ N/A 

2.	 ☐ There is a matching agreement in place that contains the information required by 

Section (o) of the Privacy Act. 

3.	 ☐ There is a matching agreement in place, but it does not contain all of the information 

required by Section (o) of the Privacy Act. The following actions are underway to 

amend the agreement to ensure that it is compliant. [discuss here the issues that were 

discovered that required amendment and how those issues are being mitigated/fixed]. 

Section 4.3(c) What procedures are followed before adverse action is taken against an 

individual who is the subject of a matching agreement search? 

1.	 ☒ N/A 

2.	 ☐ The bureau or office that owns the system or project conducted an assessment 

regarding the accuracy of the records that are used in the matching program and the 

following additional protections were put in place: 

a.	 ☐ The results of that assessment were independently verified by [explain how and 

by whom accuracy is independently verified; include the general activities involved 

in the verification process]. 

b.	 ☐ Before any information subject to the matching agreement is used to suspend, 

terminate, reduce, or make a final denial of any financial assistance or payment 

under a Federal benefit program to an individual: 

i.	 ☐ The individual receives notice and an opportunity to contest the findings; OR 

ii.	 ☐ The Data Integrity Board approves the proposed action with respect to the 

financial assistance or payment in accordance with Section (p) of the Privacy 

Act before taking adverse action against the individual. 

3.	 ☐ No assessment was made regarding the accuracy of the records that are used in the 

matching program. 

Section 4.4: Information sharing with external (i.e., outside Treasury) organizations and 

individuals 

Section 4.4(a) PII shared with/disclosed to agencies, organizations or individuals outside 

Treasury 

15 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1.	 ☐ PII maintained in the system or by the project is not shared with agencies, 

organizations, or individuals external to Treasury.
 

2.	 ☐ PII maintained in the system or by the project is shared with the following agencies, 

organizations, or individuals external to Treasury: [For each recipient, provide the 

following: (1) name of organization/type of individual; (2) the PII shared; (3) the 

purpose of the sharing; (4) identify any statutes that limit use or sharing of the 

information; (5) identity any applicable MOU]. 

3.	 ☒ All external disclosures are authorized by the Privacy Act (including routine uses in 

the applicable SORN). 

Section 4.4(b) Accounting of Disclosures 

An accounting of disclosures is a log of all external (outside Treasury) disclosures of records made from a 

system of records that has not been exempted from this accounting requirement. This log must either be 

maintained regularly or be capable of assembly in a reasonable amount of time after an individual makes a 

request. Certain system of records may be exempted from releasing an accounting of disclosures (e.g., in 

law enforcement investigations). 

Section 4.4(c) Making the Accounting of Disclosures Available 

1.	 ☐ The records are not maintained in a system of records subject to the Privacy Act so an 

accounting is not required. 

2.	 ☐ No external disclosures are made from the system. 

3.	 ☐ The Privacy Act system of records maintained in the system or by the project 

is exempt from the requirement to make the accounting available to the
 

individual named in the record. Exemption from this requirement was claimed
 

because: [please state here why the records in this system of records were 

exempted from this requirement].
 

4.	 ☐ The Privacy Act system of records maintained in the system or by the 

project is not exempt from the requirement to make the accounting available to
 

the individual named in the record and a log is maintained regularly. The log is
 

maintained for at least five years and includes 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.
 

5.	 ☒ The Privacy Act system of records maintained in the system or by the 

project is not exempt from the requirement to make the accounting available to
 

the individual named in the record and a log is not maintained regularly, but is
 

capable of being constructed in a reasonable amount of time upon request. The
 

information necessary to reconstruct the log (i.e., date, nature, and purpose of
 

each disclosure) is maintained for at least five years.
 

Section 4.4(d) Obtaining Consent Prior to New Disclosures Not Authorized by the Privacy 

Act 

Records in a system of records subject to the Privacy Act may not be disclosed by "any means 

of communication to any person or to another agency" without the prior written request or 

consent of the individuals to whom the records pertain. 5 U.S.C. Sec. 552a(b). However, the 

16 
 

 

 

 

 

 

 

 

Act also sets forth twelve exceptions to this general restriction. These 12 exceptions may be 

viewed at: https://www.justice.gov/usam/eousa-resource-manual-139-routine-uses-andexemptions. Unless one of these 12 exceptions applies, the individual to whom a record 

pertains must provide their consent, where feasible and appropriate, before their records may be 

disclosed to anyone who is not listed in one of the 12 exceptions. One of these 12 exceptions 

also allows agencies to include in a notice published in the Federal Register, a list of routine 

uses. Routines uses are disclosures outside the agency that are compatible with the purpose for 

which the records were collected. 

Section 4.4(e) Obtaining Prior Written Consent 

1.	 ☒ The records maintained in the system of records are only shared in a manner
 

consistent with one of the 12 exceptions in the Privacy Act, including the
 

routine uses published in the Federal Register.
 

2.	 ☒ If a situation arises where disclosure (written, oral, electronic, or 

mechanical) must be made to anyone outside of Treasury who is not listed in 

one of the 12 exceptions in the Privacy Act (including the published routine
 

uses), the individual’s prior written consent will be obtained where feasible and
 

appropriate.
 

Section 5: 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 

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

Rehabilitation Act of 1973. 

Section 5.1: 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 also requires agencies to conduct a PIA (a Treasury 

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). 

Section 5.1(a) 

1.	 ☐ The system or project maintains information obtained from individuals and 

organizations who are not federal personnel or an agency of the federal government (i.e., 

outside the federal government). 

2.	 ☐ The project or system involves a new collection of information in identifiable form for 

10 or more persons from outside the federal government. 

3.	 ☐ The project or system completed an Information Collection Request (“ICR”) and 

received OMB approval. 

4.	 ☒ The project or system did not complete an Information Collection Request (“ICR”) 

and receive OMB approval because the information is collected through data feed from 

DO Apps (Exchange, Skype, and individual network storage locations). This does not 

involve collecting data from the public; therefore, it does not require OMB approval. 

17 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Section 5.2: Records Management - NARA/Federal Records Act Requirements 

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 

National Archives and Records Administration (NARA) for permanent retention upon expiration of this 

period. If the system has an applicable SORN(s), check the “Policies and Practices for Retention and 

Disposal of Records” section. 

Section 5.2(a) 

1.	 ☐ The records used in the system or by the project are covered by a NARA’s
 

General Records Schedule (GRS). The GRS is[please provide here the general
 

schedule name and identifying number].
 

2.	 ☒ The records used in the system or by the project are covered by a NARA
 

approved Treasury bureau Specific Records Schedule (SRS). The SRS N1-056-

03
 

3.	 ☐ On [please state the date on which NARA approval was sought] the system 

owner sought approval from NARA for an SRS and is awaiting a response from
 

NARA. [State here the retention periods you proposed to NARA]. 

4.	 ☐ The system owner is still in the process of developing a new records 

schedule to submit to NARA.
 

Section 5.3: E-Government Act/NIST Compliance 

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

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

system may receive Authority to Operate (ATO).
 

Section 5.3(a) 

1.	 ☒ The system is a federal information system subject to FISMA requirements. 

2.	 ☒The system last completed an SA&A and received an ATO on: 06/16/2020. 

3.	 ☐This is a new system has not yet been authorized to operate. The expected to date for 

receiving ATO is [please state here the expected date on which you expect authorization 

will be granted]. 

4.	 ☒The system or project maintains access controls to ensure that access to PII maintained 

is limited to individuals who have a need to know the information in order to perform 

their official Treasury duties. 

5.	 ☒ All Treasury/bureau security requirements are met when disclosing and transferring 

information (e.g., bulk transfer, direct access by recipient, portable disk, paper) from the 

Treasury system or project to internal or external parties. 

6.	 ☒ This system or project maintains an audit log of system users to ensure they do not 

violate the system and/or Treasury/bureau rules of behavior. 

7.	 ☐ This system or project has the capability to identify, locate, and monitor individuals or 

groups of people other than the monitoring of system users to ensure that they do not 

violate the system’s rules of behavior. [If checked, please describe this capability here, 

including safeguards put in place to ensure the protection of privacy and civil liberties.] 

Section 5.4: Section 508 of the Rehabilitation Act of 1973 

18 
 

 

 

 

 

 

 

 

 

________________________________ 

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. 

Section 5.4(a) 

1.	 ☐ The project or system will not 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)? 

2.	 ☐ The project or system will 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)? If checked: 

3.	 ☐ The system or project complies 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. 

4.	 ☒ The system or project is not in compliance with all Section 508 requirements. The 

following actions are in progress to ensure compliance: The current version of the tool 

isn’t 508 compliant as of now. The vendor is currently testing the application for the 

compliance and Treasury is waiting for a response on the dates for completion of the 

testing. 

Responsible Officials
 

Approval Signature
 

Timothy H. Skinner
 

Bureau Privacy and Civil Liberties Officer
 

Departmental Offices, & Records
 

19