DEPARTMENT OF TREASURY 

Washington, 0.C. 20220 

Workforce Analytics - Reporting System,

Privacy Impact Assessment (PIA) 

June 24, 2011 

A. Identification

System Name: : Workforce Analytics - Reporting System (WA RS) 

0MB Unique Identifier: 015-00-01-13-01-1226-24

System Owner: Treasury, Office of the Chief Information Officer/ Assistant

Chief Information Officer for Planning and Management

Contact Director, Disclosure Services: Hugh Gilmore 

Privacy Act Officer: Dale Underwood 

Address: FOINPA Request 

Disclosure Services 

Department of the Treasury 

Washington, D.C. 20220 

Telephone: (202) 622-0930 

Fax: (202) 622-3895 

• 

B. System / Application General Information

1. Does the system contain any information in identifiable form (IIF)?

Yes

2. What is the purpose of the system I application?

Workforce Analytics Reporting System· (WA RS) is Treasury's web-based

Business Intelligence reporting solution built on Microsoft SQL (COTS) software.

WA RS transforms core back-office business functions (e.g. moving HR functions

from a processing-centric capability supported by Treasury and National Finance

Center (NFC) legacy systems}, to a strategic-centric capability enabled through its

commercial software underpinning. Additionally, self-service components of the

software fundamentally transform the standard government HR service delivery

model, putting additional information, services and processes (i.e .. personal data,

position management, requests for personnel action, recruitment, reporting, etc.)

directly in the hands of managers and employees.
Workforce Analytics - Reporting System (WA-RS) - Privacy Impact Assessment 

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

system? 

5 U.S.G. 301; 31 U.S.G. 321; Treasury Directive 80-05, Records and Information 

Management Program. 

The HR Connect Line of Business (LOB) Office of Management and Budget 

(0MB) Exhibit 300 http:llwww.treas.gov/exhibit300/docs/fy2008 hrconnect.pdf 

Additionally, Treasury has been approved as an HR Line of Business (LoB) 

Shared Service Genter (SSC) 

http://www. whitehouse.govlomblmemorandalfy2007/business migrations.pdf. 

4. Under which Privacy Act System of Record Notice (SORN) does this system 

operate? 

Treasury .001--Treasury Payroll and Personnel System 

http:llwww.treas.govlfoialprivacy/issuancesltreasurypa.html 

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C. Data in the System 

1. What categories of individuals are covered in the system? 

Employees, former employees, and applicants for employment, the 

Treasury Department bureaus and offices and other Federal agencies that 

are customers of the HR Connect Program 

2. What are the sources of the information in the system? 

a. Is the source of the information from the individual or is it taken from another 

source? If not directly from the individual, then what other source? 

The information starts with the specific individual and is maintained in 

Systems of Records published via Treasury, its bureaus or other agency 

SORN. These Systems of Records comprise a databases and fifes that 

Treasury, its Bureaus and other agencies maintain on employees for 

completing personnel actions. This information includes employee 

identification and status data such as name, records that establish an 

individual's identity, social security number, date of birth, sex, race and 

national origin, awards received, work schedule, type of appointment, 

education, training courses attended, veterans preference, and military 

service. 

b. What Federal agencies are providing data for use in the system? 

Personnel information data is provided by HRConnect System and the 

National Finance Center (NFC) that houses data from the Treasury 

Department, Housing and Urban Development (HUD), Department of 

Justice (DOJ), and Department of Homeland Security (OHS). Other 

supporting data is provided by the Department of Defense (DOD), Office of 

Personnel Management (OPM), and Social Security Administration (SSA). 

c. What State and/or Local agencies are providing data for use in the system? 

State unemployment commissions provide information that is categorized 

into specific system of records that are compiled for use in the US Treasury 

and bureau specific human resource information. 

d. From what other third party sources will data be collected? 

Third party information source data collection is limited by the statutory 

prerequisites for purposes of obtaining employment within the Deparlment 

of the Treasury and its bureaus and other Federal agencies who utilize HR 

Connect See 2A, cof!ection is limited under title 5. 

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Workforce Analytics - Reporting System (WA-RS) - Privacy Impact Assessment 

e. What information will be collected from the employees, government

contractors and consultants, and the public?

There is no information collected from the public or from government 

contractors and consultants for this system. 

The employee information collected comes directly from the individual 

employee or from a source designated in writing by the employee. 

3. Accuracy, Timeliness, and Reliability

a. How will data collected from sources other than Treasury records be verified

for accuracy?

Any data that is collected from sources other than HR Connect records 

concerning an employee is subjected to the data protections afforded by 

the Privacy Act of 1974, as Amended [5 USC 552a]. 

Verified for accuracy by the employee's review and by agency HR 

Specialist applying application data management business rules. This is 

specifically verified through SFSO functionality. 

b. How will data be checked for completeness?

The data must conform to the Privacy Act protections under 5 USC 552a. 

The data completeness will also be checked for accuracy and relevancy. 

The data will be checked for completeness through the application of data 

management business rules which require the employees to review the 

SF-50 annually. 

c. Is the data current?

Data comes directly from the individual. Data obtained on individuals from 

other sources are from sources specified by the individual. The currency of 

the data from third parties is subject to the third party's data management 

business rules. 

d. What steps or procedures are taken to ensure the data is current and not outof-date?

The HR Connect system permits the individual to update their data 

throughout their employment to keep it current. The currency of the data 

obtained from third parties is subject to the third party's data management 

business rules. 

e. Are the data elements described in detail and documented?

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Yes, all data elements pertaining to human resource information have been 

detailed and documented pursuant to the requirements imposed by 0MB 

Circular A-130. The name of the document is the HR Connect 

Requirements Model Plan. Additionally, all of the data elements are known 

as part of the documentation requirements imposed by the Treasury 

Information Systems Life Cycle (ISLC) management and the configuration 

management procedures being adhered to by Treasury. 

D. Attributes of the Data 

1. ls the use of the data both relevant and necessary to the purpose for which the 

system is designed? 

Yes 

2. Will the system derive new data or create previously unavailable data about an 

individual through aggregation from the information collected? If so, how will this 

be maintained? 

There will be no derivation of new data; yes, to the creation of previously 

unavailable data. HR Connect wi/1 not derive new data since it is a replacement 

system on an enterprise scale for the Department of the Treasury human 

resource information. Therefore, there is one piece of data creation that is 

previously unavailable data. That is, the system generated employee identifier 

data. However there is no aggregation that is being collected from the information 

since the source of the information is from the individual. This individually 

supplied data is being used to populate the system known as HR Connect and 

this data originates with the individual supplying the information for data 

collection. 

3. Will the new data be placed in the individual's record? 

Yes. The employee identifier number will reside within HR Connect and wil/ be 

used to identify the employee to the system as long as the individual remains with 

the Treasury Department or one of its bureaus or customer agencies. 

4. Can the system make determinations about employee/public that would not be 

possible without the new data? 

The system makes determinations about employees through utilization of 

competencies that are presently being used in the manual personnel selection 

procedures for promotion/career ladder accessions. No determination will be 

made based on new data. 

5. How will the new data be verified for relevance and accuracy? 

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If any, new data originates with the individual supplying the information except for 

the system generated employee identifier. Verification for relevancy and accuracy 

inures to the individual as it pertains to their own Personally Identifiable 

Information (Pf/). 

6. If the data is being consolidated, what controls are in place to protect the data 

from unauthorized access or use? 

Any data consolidation that occurs is protected under statutory controls, such as 

the Privacy Act, configuration management controls, security controls, profiles 

and access controls in conjunction with the "need-to-know" principles for data 

protection. 

7. If processes are being consolidated, are the proper controls remaining in place to 

protect the data and prevent unauthorized access? 

Yes. Under the configuration management and data controls that are currently in 

place for HR Connect, only authorized individuals may access their own 

personally identifiable information under the "need-to-know" authorities. The 

proper controls remain in place to protect the data and prevent unauthorized 

access. HR Connect complies with Treasury IT security policy for certification 

and accreditation, risk assessments and continuous monitoring of security 

controls. 

8. How will the data be retrieved? Does the personal identifier retrieve data? If yes, 

explain and list the identifiers that can be used to retrieve information on the 

individual. 

Yes, data is retrievable by personal identifier. Data can be retrieved either by the 

employee identifier as it pertains to an individual, or by the name of the employee 

if the information is being retrieved by the manager of record 

9. What kinds of reports can be produced on individuals? What will be the use of 

these reports? Who will have access to them? 

HR Connect has numerous reports built into its system and data is also defined in 

HRRPT. Employee related data is available to managers for effective workforce 

administration; for example the processing of personnel actions, roster, employee 

location, not-to-exceed (NTE) dates, emergency contacts, pending and 

processing actions, and financial disclosure. Included in HR reports are inbound 

interface reports, NFC error listings (S/NQ), manager initiated actions, 

group/mass awards, NTE dates, emergency contacts, etc. HRRPT is an ad hoc 

reporting tool which includes information on the employee, job, position, and 

performance related information. 

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1. If the system is operated in more than one site, how will the consistent use of the 

system and data be maintained in all sites? 

The Treasury Department Workforce Analytics Reporling System (WA RS) -is 

operated at a single location, the Federal Data Center, which is currently located 

at the Detroit Computing Center (DCC}, 985 Michigan Avenue Detroit, Ml 48232. 

2. What are the retention periods of the data in the system? 

The retention periods of data contained in this system are covered by General 

Records Schedules #1, Civilian Personnel Records and have various retention 

periods for specific types of data. 

3. What are the procedures for disposition of the data at the end of the retention 

period? How long will the reports produced be kept? Where are the procedures 

documented? 

Reports in the system are retained for 7114 days based on data management 

business rules. 

The procedures for eliminating the data at the end of the retention period adhere 

to the Federal Records Act of 1950 and National Archives and Records 

Administration guidelines in addition to the Treasury Information Systems Life 

Cycle (ISLC) management requirements. 

4. Is the system using technologies in ways that Treasury has not previously 

employed (e.g., monitoring software, smart cards, caller-ID)? 

Workforce Analytics Reporting System (WA RS) is a integrated Treasury 

Department owned and operated human resource enterprise solution that is using 

a proven COTS product supported by technology that has a well established 

reputation. 

5. Haw does the use of this technology affect public/employee privacy? 

The technology will enhance an individual's control over their own Personally 

Identifiable Information (P/1) through role based access. 

6. Will this system provide the capability to identify, locate, and monitor individuals? 

Workforce Analytics - Reporting System does provide the capability to identify an 

employee via the employee identifier to gain access to the system through the 

network gateway. It also provides the capability to locate and authenticate an 

individual to ensure that only authorized individuals are utilizing the system. The 

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Workforce Analytics - Reporting System (WA-RS) - Privacy Impact Assessment 

monitoring capabilities are a security requirement in order to ascertain whether or 

not an individusal is attempting to thwart the security mechanisms or manipulate 

data that is not owned by the individual nor access permissions under "need-toknow" principles. 

7. What kinds of information are collected as a function of the monitoring of

individuals?

Currently, Workforce Analytics - Reporting System is collecting the ID, time, date,

successful logins and failed login attempts for both privileged and non-privileged

users.

8. What controls will be used to prevent unauthorized monitoring?

Workforce Analytics - Reporting System has, built into the system, security

checks in order to ensure that privacy safeguards are not abused or bypassed.

For instance, access profiles are used to enable an individual to access their own

information but will permit security administrsators to monitor any individual that

engages in any unauthorized or malicious behavior within the HR Connect

environment. In addition, before users complete registration they must accept the

system Rules of Behavior. Audit trails are reviewed on an ad-hoc basis and

monitoring toots such as intrusion detection devices and vulnerability scanning

tools have also been deployed

9. Under which Privacy Act SORN does the system operate?

The System of Record Notice is: Treasury .001--Treasury Personnel and Payroll

System

1 O. If the system is being modified, will the Privacy Act SORN require amendment or 

revision? 

No. 

F. Access to Data

1. Who will have access to the data in the system?

Department of the Treasury and Customer Agency Employees and Managers. HR

Connect System Administrators, Developers, and system maintensance personnel

the System Development Center, which is currently located at 1750 Pennsylvania

Ave, Washington D. C. and after the move this access will include the Federal

Data Center located at the Detroit Computing Center. All access is based on

"need to know" and the corresponding system access profiles.

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2. 

Workforce Analytics - Reporting System (WA-RS) - Privacy Impact Assessment 

How is access to the data by a user determsined? 

Access to the data by a user is determined based upon the user profile that is 

determined under the strict "need-to-knows" criteria and also as a function of 

position. The criteria, procedures, controls, and responsibilities regarding access 

are documented in the security features user guides. 

3. Will users have access to all the data on the system or will the user's access be

restricted?

Users will only have access to the data that is inherently theirs to access such as

their own Personally Identifiable Information (Pl/). In the case of managers, these

managers will only have access to the information that is specifically under their

direct ownership or strict "need-to-know" access controls [i.e., employees

assigned to them] as well as, their own personally identifiable information.

4. What controls are in place to prevent the misuse (e.g. , unauthorized browsing) of

data by those having access?

Entrances to data centers and support organization offices are restricted to those 

employees who require access. Disclosure of information through remote 

terminals is restricted through the use of passwords and sign-on protocols/ which 

are periodically changed. (Every ninety days a password change requsired). In 

addition privilege users are required to annually sign the rules of behavior. (An 

electronic copy of the rules of behavior is available on the HRConnect system) 

The HR Connect application prevents the misuse of the data through a profiled 

access approach. That is, only individuals with an established "need-to-known 

may access only their specific profiled data that is controlled by the system 

security mechanisms that are outlined in NIST 800- 53 and the HRConnect system 

security plan. 

5. Are contractors involved with the design and development of the system and will /

are contractors involved with maintenance of the system?

Yes. When a contract provides for the operation of a S OR on behalf of the 

Department, the Privacy Act requirements and Departmental regulations on the 

Privacy Act must be applied to such a system. The Federal Acquisition 

Regulations (FAR) also require that cerlain information be included in contract 

language and certain processes must be in place (see FAR 48 CFR.24.102(a) 

and Treasury Acquisition Regulation 48 CFR. 

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6. Do other systems share data or have access to the data in the system? Jf so, 

explain. 

Yes, shared with the data owners but not unauthorized third party organizations 

and companies. As Workforce Analytics - Reporting System is presently 

configured; other systems are not sharing data contained in Workforce Analytics -

Reporting System Workforce Analytics - Reporting System is the data store for 

human resource information under Treasury member bureau and HRLOB 

customer auspices. As such, any system wishing to have extracts from 

Workforce Analytics Reporting System must follow configuration management 

principles and procedures in conjunction with the Treasury OCIO and member 

bureaus and agencies prescribed information systems protocols to have access 

to Workforce Analytics - Reporting System via specific written agreement. The 

data may be inserted into other systems and then sent to HR Connect. 

7. Who will be I is responsible for protecting the privacy rights of the public and 

employees affected by the interface? 

Alf users of the Workforce Analytics - Reporting System are responsible for 

protecting privacy rights of employees. This is communicated through security 

and privacy awareness training on an annual basis. For the interfaces described 

above, the HR Connect System Owner and the Information Owner of the data 

involved in the interface is responsible for protecting the privacy rights of the 

employees affected by the interface. 

As previously stated, the interface as used in this context is not occurring at the 

present time. Howe ver, should any such interface surface or occur to support 

future releases or functionalities within HR Connect, the responsible party or 

parties for protecting the privacy rights of employees will reside with each 

individual who has access to their own personally identifiable information and 

ultimately the Treasury Secretary as well as his/her agency counterparts as the 

owner and users of the HR Connect enterprise system. In the case of HR 

Connect, the support staff that may have access to information that is generated 

from any potential future interface would also be responsible for protecting the 

privacy rights of individuals. 

8. Will other agencies share data or have access to the data in this system (e.g., 

Federal, State, Local, other)? 

Other non-customer agencies may prosvide data on specific individuals at their 

request to the Treasury Departments's OCIO. As such, those agencies may share 

data but will not have access to the data in the Workforce Analytics - Reporting 

System. 

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9. How will the data be used by the other agency(s)? 

Data is only shared under statutory authorities/dictates mandated under the 

Privacy Act and Treasury Department policies. The agency that receives 

information must adhere to the statutory dictates under which the information was 

supplied to them. The agency is provided access through role based access 

control. 

1 0. Who is responsible for assuring proper use of the data? 

The data providers are responsible for assuring proper use of the data through 

various agreements and statutory mandates [i.e., the Pn'vacy Act]. 

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