Version: 2.0

Date: March 27, 2017

Prepared for: USDA NASS

National Agricultural Statistics Service

Privacy Impact Assessment 

NASS Data and Applications Major Application
Privacy Impact Assessment 

National Agricultural Statistics Service, NASS DA MA

Page 3

Privacy Impact Assessment for the

NASS Data and Applications Major 

Application

(NASS DA MA)

March 27, 2017

Contact Point 

Arnie Wilcox

National Agricultural Statistics Service

(202)720-2984

Reviewing Official 

Renato Chan

Chief, NASS Security

National Agricultural Statistics Service 

United States Department of Agriculture

(202)720-4068
Privacy Impact Assessment 

National Agricultural Statistics Service, NASS DA MA

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Abstract 

This document contains the Privacy Impact Assessment (PIA) of the National Agricultural 

Statistics Service (NASS) Data and Applications Major Application (DA MA). The NASS DA

MA is a UNIX-based application farm that is comprised of a number of various applications. 

These applications generally support the mission of NASS.

The NASS is conducting this PIA on the NASS DA MA because the system processes and 

stores personally identifiable Information of all participating farmers and ranchers in the US 

which include name, address, phone number, size of operation, gender, and race. In addition, 

the system processes and stores agribusiness information, including: Firm names, manager 

names, address, phone number, size of operation in various categories and tax EINs.

Overview 

The NASS DA MA is hosted by the NASS Infrastructure (INF) General Support System (GSS) 

which is physically located at two separate locations, the NASS Headquarters (HQ) in 

Washington, D.C. and the USDA National Information Technology Center (NITC), in Kansas, 

City. The architecture consists of servers operating under both AIX and Linux Operating 

Systems. All NASS DA MA applications are managed and maintained by various NASS 

System Administrators, Database Administrators and Developers located at NASS HQ and 

Colorado Field Office (FO).

The NASS DA MA mid-range server environment is distributed at the NASS INF GSS 

locations. The architecture consists of servers operating under both AIX and Linux operating 

systems. Our UNIX environment resides on IBM pSeries equipment. All NASS INF GSS

servers are managed from NASS HQ.

Servers located at NASS HQ are more specialized since consolidation is not as far along at this 

facility. There are six production servers in NASS HQ supporting the following production 

processes 1) public agricultural statistics reports and geospatial data, 2) NASS intranet backup, 

3) web data collection public front end, 4) web data collection back-end database, 5) automatching to build the list and sampling frame, 6) replication of data across enterprise databases.

NASS DA MA applications work from an enterprise transactional and analytical database 

environment to provide access to a database on the NASS Infrastructure (INF) GSS. NASS DA 

MA has a "census" processing system that is used every five years and consists of multiple 

components, i.e. data editing component, data analysis component, data tabulation/summary 

component, and a data disclosure review component. NASS DA MA also includes some 

isolated "survey" systems that are migrating to the UNIX environment, i.e. web data collection 

and livestock slaughter applications. NASS DA MA also has some "support" applications that 

service both the census and surveys, such as the sampling system, web public agricultural 

statistics, public special tabulations, geospatial application, electronic images of questionnaires, 

and an intranet application. Functions of the NASS DA MA applications are described in the 

following paragraphs.

1. PRISM (Project to Reengineer and Integrate Statistical Methods): PRISM is a major 

reengineering and integration effort for the Census of Agriculture designed to 
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streamline and improve the quality of census and survey processes.

2. Livestock Slaughter: The purpose of Livestock Slaughter is to edit, analyze, 

summarize and publish Livestock Slaughter statistics on a monthly and annual basis.

The Livestock Slaughter report is a monthly outline of animals that have been 

slaughtered in the U. S. This report provides the number of heads slaughtered, live 

weight, and dressed weight of cattle and calves. Similar statistics are reported for 

sheep, lamb, hogs and pigs. For federally inspected plants, statistics are reported by 

class and by state. In addition, total red meat production by species is reported by 

state and for the U. S.

3. Poultry Slaughter: The purpose of Poultry Slaughter is to edit, analyze, summarize 

and publish Poultry Slaughter statistics on a monthly and annual basis.

4. Genesis (Generalized Enhanced Sampling and Information System): To replace all 

of the disparate sampling programs, NASS developed the Generalized Enhanced 

Sampling and Information System (GENESIS). As an internal tool to the NASS 

survey process, GENESIS has improved the quality of NASS samples. It has also 

improved the efficiency of the sampling process in terms of cost, staff time, and 

calendar time.

5. ELMO (Enhanced List Maintenance Operations): ELMO is a system which is used 

to manage the farm register database. The system allows the user: to search for 

records based on certain name and address information, to update name, address, 

and control data information either individually or in a batch mode, and to extract 

lists of records in different formats.

6. Record Linkage: NASS designed Record Linkage to make the record linkage 

process as simple and user friendly as possible. NASS developed record linkage 

system with AutoMatch as the core.

7. EDR (Electronic Data Reporting): NASS decided that a Web-based EDR with a 

secure environment would be the most suitable and effective method for NASS. It 

can be used appropriately for most NASS surveys and is considered technically 

superior to the other methods reviewed.

8. Quick Stats: Quick Stats is composed of two basic tools: 1) Quick Stats Query Tool 

LAN and 2) Quick Stats Web App. Quick Stats Query Tool LAN is an internal 

application designed to allow USDA employees to perform statistical queries on the 

Agricultural Statistics Data Base. Quick Stats Web App is a web-based publicly 

accessible read-only system that allows the public to view results from queries 

against the Agricultural Statistics Data Base.

9. SPS (Survey Processing System): SPS is used to analyze and summarize the data in 

the Statistical Analysis System (SAS) datasets.

10. ELMA (Enhanced List Maintenance Assistant): supports the centralized list frame 

activities from the National Operations Center. ELMA provides an automated 

process to capture and review list frame update information presented in the List 

Frame Actions and Review paper reports (generated within all electronic data 

collection instruments) as well as list frame update information submitted by NASS 
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Field Offices. Field Office staff utilize ELMA to interactively request list frame

updates to the sampling frames database, including name, address, telephone 

number, comments, and data collection mode and to request new farm/ranch 

operation additions to ELMO. Employees at the National Operations Center utilize 

ELMA to process ELMO updates/requests on an interactive basis.

11. RECAP (Review Estimates & Comments, Approve & Publish): RECAP provides a 

generalized set of review screens which allow employees to review the survey 

indications and comments from the Field Offices and/or Headquarters, and then 

either approve the estimate for public dissemination or request additional analysis 

be conducted before approving the estimate. 

12. CAPI (Computer Assisted Personal Interview): CAPI leverages private cloud 

technology, broadband transmission, and use of computer tablets for data entry 

without storing data on the tablet hard drive. 

13. ARG: ARG is the agency supported software application for creation of official 

releases and publications and is designed to pull data directly from a database.

14. Feith: Feith software is used to display questionnaire images, for use in data review.

Through the use of Feith software, the image of a questionnaire can be easily 

retrieved to assist with the data review process, and navigation through the 

questionnaire using the software capabilities is relatively effortless. Feith uses an 

Oracle database running on a UNIX server under AIX for storing and retrieving the 

images, with very little downtime throughout the entire data review process.

Section 1.0 Characterization of the Information 

The following questions are intended to define the scope of the information requested and/or 

collected as well as reasons for its collection as part of the program, system, rule, or technology 

being developed. 

1.1 What information is collected, used, disseminated, or maintained in 

the system? 

Customer information – Information on all participating farmers and ranchers in the US 

which include name, address, phone number, size of operation, SSNs, gender, race.

Other – agribusiness – Firm names, manager names, address, phone number, size of 

operation in various categories, tax EINs.

All information collected and processed by this system, including personally 

identifiable information, is protected by US Code: Title 7, 2276 – Confidentiality of 

Information.

1.2 What are the sources of the information in the system? 

The population of farmers, ranchers, agri-businesses, and other federal agencies (FSA, 

IRS, Census [NPC], FSIS) and InfoUSA. Third party sources include InfoUSA, 

Universities (extension), commodity organizations, trade magazines.
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FSA, IRS, FSIS and Bureau of Census provide data for use in the system.

1.3 Why is the information being collected, used, disseminated, or 

maintained? 

The information is used to support the Agency’s mission of providing timely, accurate, 

and useful statistics in service to U.S. agriculture.

1.4 How is the information collected? 

Through interviews done by telephone, paper, and electronic data collection.

FSA and FSIS provide data that are entered into the system. These are done periodically 

through operator intervention (a business person with support from admin).

1.5 How will the information be checked for accuracy? 

Criteria/Auditing questionnaires are provided to the individual under review asking 

them to fill in the specifics for them. 

Name information is not verified by inference from a source. Instead that is used to start 

a questionnaire as identified above.

1.6 What specific legal authorities, arrangements, and/or agreements 

defined the collection of information? 

Title 7 United States Code, Section 2204; Title 44 United States Code, Section 3501; 

and the Confidential Information Protection and Statistical Efficiency Act (CIPSEA) of 

2002.

1.7 Privacy Impact Analysis: Given the amount and type of data 

collected, discuss the privacy risks identified and how they were 

mitigated. 

There is always the risk of unauthorized disclosure. NASS requires all its employees 

sign confidentiality statements on an annual basis. In addition, systems containing 

privacy information employs additional security mechanisms to mitigate potential risks.

Section 2.0 Uses of the Information 

The following questions are intended to delineate clearly the use of information and the 

accuracy of the data being used. 

2.1 Describe all the uses of information. 

The data will only be used to support the Agency’s mission of providing timely, 

accurate, and useful statistics in service to U.S. agriculture.
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2.2 What types of tools are used to analyze data and what type of data 

may be produced? 

The NASS DA MA utilizes both transactional and analytical databases used in all 

Census, Survey, Support and Estimation and Dissemination applications used within the 

system and listed as follows: ELMO, Genesis, Record Linkage, PRISM, Quick Stats, 

CPCS, Livestock Slaughter, Poultry Slaughter, and Feith.

Data are used only in support of creating statistical information for such purposes as are 

necessary for the publication of statistical reports.

Source Agencies: NASS, FSA, FSIS

2.3 If the system uses commercial or publicly available data please 

explain why and how it is used. 

Commercial and publicly available data is used to assist in identifying duplication of 

names between various probability list samples and NASS area frame surveys. They are 

also used when matching names currently on NASS list sampling frame with lists 

maintained by other governmental agencies as part of the NASS list building and 

maintenance process.

2.4 Privacy Impact Analysis: Describe any types of controls that may be 

in place to ensure that information is handled in accordance with the 

above described uses. 

All authorized NASS users are required to sign a pledge of confidentiality that carries 

severe legal penalties for violating the pledge. NASS employs physical security 

controls, logical access controls, technological controls, auditing and monitoring of 

controls.

Section 3.0 Retention 

The following questions are intended to outline how long information will be retained after the 

initial collection. 

3.1 How long is information retained? 

Data are retained as long as the information is needed for list building. Census data are 

retained for ten to fifteen years in electronic form.

3.2 Has the retention period been approved by the component records 

officer and the National Archives and Records Administration 

(NARA)? 

Yes

3.3 Privacy Impact Analysis: Please discuss the risks associated with the 

length of time data is retained and how those risks are mitigated. 
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There is always the risk of unauthorized disclosure. NASS requires all its employees 

sign confidentiality statements on an annual basis. In addition, systems containing 

privacy information employs additional security mechanisms to mitigate potential risks.

Section 4.0 Internal Sharing and Disclosure 

The following questions are intended to define the scope of sharing within the United States Department 

of Agriculture.

4.1 With which internal organization(s) is the information shared, what 

information is shared and for what purpose? 

The USDA FSA and ERS have limited access to some of the data stored in the system 

and are controlled by use of both hardware and software security controls.

4.2 How is the information transmitted or disclosed? 

The information is transmitted through direct use of the system. User access is 

determined based on the person’s job role. 

4.3 Privacy Impact Analysis: Considering the extent of internal 

information sharing, discuss the privacy risks associated with the 

sharing and how they were mitigated. 

There is always the risk of unauthorized disclosure. NASS requires all its employees 

sign confidentiality statements on an annual basis. In addition, systems containing 

privacy information employs additional security mechanisms to mitigate potential risks.

Section 5.0 External Sharing and Disclosure 

The following questions are intended to define the content, scope, and authority for information sharing 

external to USDA which includes Federal, state and local government, and the private sector. 

5.1 With which external organization(s) is the information shared, what 

information is shared, and for what purpose? 

Information is not shared with any external organizations

5.2 Is the sharing of personally identifiable information outside the 

Department compatible with the original collection? If so, is it 

covered by an appropriate routine use in a SORN? If so, please 

describe. If not, please describe under what legal mechanism the 

program or system is allowed to share the personally identifiable 

information outside of USDA. 

Not applicable, PII is not shared outside the Department.
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5.3 How is the information shared outside the Department and what 

security measures safeguard its transmission? 

Not applicable, PII is not shared outside the Department.

5.4 Privacy Impact Analysis: Given the external sharing, explain the 

privacy risks identified and describe how they were mitigated. 

Not applicable, PII is not shared outside the Department.

Section 6.0 Notice 

The following questions are directed at notice to the individual of the scope of information collected, 

the right to consent to uses of said information, and the right to decline to provide information. 

6.1 Was notice provided to the individual prior to collection of 

information? 

Yes

6.2 Do individuals have the opportunity and/or right to decline to provide 

information? 

Yes

6.3 Do individuals have the right to consent to particular uses of the 

information? If so, how does the individual exercise the right? 

Yes

6.4 Privacy Impact Analysis: Describe how notice is provided to 

individuals, and how the risks associated with individuals being 

unaware of the collection are mitigated. 

The collection process is covered by a SORN which is available to the individuals 

through the Federal Register. 

Section 7.0 Access, Redress and Correction 

The following questions are directed at an individual’s ability to ensure the accuracy of the information 

collected about them. 

7.1 What are the procedures that allow individuals to gain access to their 

information? 

Any individual may request information as to whether the system contains records 

pertaining to him or her by contacting the system manager at the address specified on 

the SORN. The request for information should contain: name, address, System of 

Record name, and year that the agricultural survey questionnaire was completed.
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7.2 What are the procedures for correcting inaccurate or erroneous 

information? 

A request is sent to the NASS Customer Service department.

7.3 How are individuals notified of the procedures for correcting their 

information? 

By contacting the system manager listed on the SORN.

7.4 If no formal redress is provided, what alternatives are available to the 

individual? 

Not Applicable

7.5 Privacy Impact Analysis: Please discuss the privacy risks associated 

with the redress available to individuals and how those risks are 

mitigated. 

There are no significant risks involved with the redress process.

Section 8.0 Technical Access and Security 

The following questions are intended to describe technical safeguards and security measures. 

8.1 What procedures are in place to determine which users may access 

the system and are they documented? 

Access to data is limited only to users authorized by NASS to modify, maintain and 

review the data. This includes authorized managers, system administrators and 

developers. Each user also signs a pledge of confidentiality that carries severe legal 

penalties for violating the pledge. Business function managers define the access need 

for the user based on user requirements. Local manager verifies the authenticity and 

veracity of the individual who is being approved for access. Access request as well as 

approval is documented accordingly by management and the Technical Services 

Branch. The Computer Security Staff audits access routinely. 

8.2 Will Department contractors have access to the system? 

No

8.3 Describe what privacy training is provided to users either generally 

or specifically relevant to the program or system? 

All authorized NASS users are required to sign a pledge of confidentiality that carries 

severe legal penalties for violating the pledge. 

8.4 Has Certification & Accreditation been completed for the system or 

systems supporting the program? 
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Yes – The system is currently undergoing the recertification process.

8.5 What auditing measures and technical safeguards are in place to 

prevent misuse of data? 

NASS employs physical security controls, logical access controls, technological 

controls, auditing and monitoring of controls.

8.6 Privacy Impact Analysis: Given the sensitivity and scope of the 

information collected, as well as any information sharing conducted 

on the system, what privacy risks were identified and how do the 

security controls mitigate them? 

There is always the risk of unauthorized disclosure of privacy information. NASS 

restricts access to information to authorized users. NASS requires all its employees sign 

confidentiality statements on an annual basis. In addition, systems containing privacy 

information employs additional security mechanisms to mitigate potential risks, to 

include logical access controls, technical controls and auditing. 

Section 9.0 Technology 

The following questions are directed at critically analyzing the selection process for any technologies 

utilized by the system, including system hardware and other technology. 

9.1 What type of project is the program or system? 

The NASS DA MA is an operational UNIX application farm and is comprised of a 

number of various applications. These applications generally support the mission of 

NASS.

9.2 Does the project employ technology which may raise privacy 

concerns? If so, please discuss their implementation. 

The project does not employ technology that raises privacy concerns.

Section 10.0 Third Party Websites/Applications

The following questions are directed at critically analyzing the privacy impact of using third 

party websites and/or applications.

10.1 Has the System Owner (SO) and/or Information Systems Security 

Program Manager (ISSPM) reviewed Office of Management and 

Budget (OMB) memorandums M-10-22 “Guidance for Online Use of 

Web Measurement and Customization Technology” and M-10-23 

“Guidance for Agency Use of Third-Party Websites and 

Applications”?

Yes.
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10.2 What is the specific purpose of the agency’s use of 3rd party websites 

and/or applications?

There is no 3rd party websites and/or applications in use.

10.3 What personally identifiable information (PII) will become available 

through the agency’s use of 3rd party websites and/or applications.

N/A

10.4 How will the PII that becomes available through the agency’s use of 

3

rd party websites and/or applications be used?

N/A

10.5 How will the PII that becomes available through the agency’s use of 

3

rd party websites and/or applications be maintained and secured?

N/A

10.6 Is the PII that becomes available through the agency’s use of 3rd party 

websites and/or applications purged periodically? 

N/A

If so, is it done automatically?

N/A

If so, is it done on a recurring basis?

N/A

10.7 Who will have access to PII that becomes available through the 

agency’s use of 3rd party websites and/or applications?

N/A

10.8 With whom will the PII that becomes available through the agency’s 

use of 3rd party websites and/or applications be shared - either 

internally or externally?

N/A

10.9 Will the activities involving the PII that becomes available through 

the agency’s use of 3rd party websites and/or applications require 

either the creation or modification of a system of records notice 

(SORN)?

N/A
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10.10 Does the system use web measurement and customization technology?

N/A

X

Renato Chan

NASS CISO

N/A

10.11 Does the system allow users to either decline to opt-in or decide to 

opt-out of all uses of web measurement and customization 

technology?

N/A

If so, does the agency provide the public with alternatives for acquiring comparable 

information and services?

N/A

10.12 Privacy Impact Analysis: Given the amount and type of PII that 

becomes available through the agency’s use of 3rd party websites 

and/or applications, discuss the privacy risks identified and how they 

were mitigated. 

N/A
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Responsible Officials 

Dave Brooks

PII Information Owner 

National Agricultural Statistics Service

United States Department of Agriculture

Approval Signature 

3/29/2017

X

Renato Chan

NASS CISO

Signed by: RENATO CHAN