Pia

PRIVACY IMPACT ASSESSMENT (PIA)
For the
Privacy Act Workflow System (PAWS)
DoD Consolidated Adjudications Facility

SECTION 1: IS A PIA REQUIRED?
a. Will this Department of Defense (DoD) information system or electronic collection of
information (referred to as an "electronic collection" for the purpose of this form) collect,
maintain, use, and/or disseminate PII about members of the public, Federal personnel,
contractors or foreign nationals employed at U.S. military facilities internationally? Choose
one option from the choices bellow. (Choose (3) for foreign nationals).

D

(1) Yes, from members of the general public.

D

(2) Yes, from Federal personnel* and/or Federal contractors.

�

(3) Yes, from both members of the general public and Federal personnel and/or Federal contractors.

D

(4) No

* "Federal personnel" are referred to in the DoD IT Portfolio Repository (DITPR) as "Federal employees."

b. If "No, 11 ensure that DITPR or the authoritative database that updates DITPR is annotated
for the reason(s) why a PIA is not required. If the DoD information system or electronic
collection is not in DITPR, ensure that the reason(s) are recorded in appropriate
documentation.
c. If "Yes," then a PIA is required. Proceed to Section 2.

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SECTION 2: PIA SUMMARY INFORMATION
a. Why is this PIA being created or updated? Choose one:

D

New DoD Information System

D

Existing DoD Information System

D

Significantly Modified DoD Information
System

New Electronic Collection

D

Existing Electronic Collection

b. Is this DoD information system registered in the DITPR or the DoD Secret Internet Protocol
Router Network (SIPRNET) IT Registry?

D

Yes, DITPR

Enter DITPR System Identification Number

D

Yes, SIPRNET

Enter SIPRNET Identification Number

No

c. Does this DoD information system have an IT investment Unique Project Identifier (UPI), required
by section 53 of Office of Management and Budget (0MB) Circular A-11?

D

No

Yes

If "Yes," enter UPI
If unsure, consult the Component IT Budget Point of Contact to obtain the UPI.

d. Does this DoD information system or electronic collection require a Privacy Act System of
Records Notice (SORN)?
A Privacy Act SORN is required if the information system or electronic collection contains information about U.S. citizens
or lawful permanent U.S. residents that is retrieved by name or other unique identifier. PIA and Privacy Act SORN
information should be consistent.

D

Yes

If ''Yes," enter Privacy Act SORN Identifier

No

IDWHS E04, Privacy Act Case Files

DoD Component-assigned designator, not the Federal Register number.
Consult the Component Privacy Office for additional information or
access DoD Privacy Act SORNs at: http://www.defenselink.mil/privacy/notices/

or
Date of submission for approval to Defense Privacy Office
Consult the Component Privacy Office for this date.

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e. Does this DoD information system or electronic colllection have an 0MB Control Number?

Contact the Component Information Management Control Officer or DoD Clearance Officer for this information .
This number indicates 0MB approval to collect data from 10 or more members of the public in a 12-month period
regardless of form or format.

i:gJ

Yes
Enter 0MB Control Number

Pending

Enter Expiration Date

D

No

f. Authority to collect information. A Federal law, Executive Order of the President (EO), or DoD
requirement must authorize the collection and maintenance of a system of records.
(1) If this system has a Privacy Act SORN, the authorities in this PIA and the existing Privacy Act
SORN should be the same.
(2) Cite the authority for this DoD information system or electronic collection to collect, use, maintain
and/or disseminate PII. (If multiple authorities are cited, provide all that apply.)
(a) Whenever possible, cite the specific provisions of the statute and/or EO that authorizes
the operation of the system and the collection of Pl I.
(b) If a specific statute or EO does not exist, determine if an indirect statutory authority can
be cited. An indirect authority may be cited if the authority requires the operation or administration of
a program, the execution of which will require the collection and maintenance of a system of records.
(c) DoD Components can use their general statutory grants of authority ("internal
housekeeping") as the primary authority. The requirement, directive, or instruction implementing the
statute within the DoD Component should be identified.
Authority to collect this information is contained in 5 U.S.C. § 552a, the Privacy Act of 1974, as
amended; 10 U.S.C. 113, Secretary of Defense; 32 C.F.R. part 310, DoD Privacy Program, 32 C.F.R.
part 311, Office of the Secretary of Defense and Joint Staff Privacy Program, and DoD 5400.11-R,
Department of Defense Privacy Program, and Executive Order 9397, as amended.

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g. Summary of DoD information system or electronic collection. Answers to these questions
should be consistent with security guidelines for release of information to the public.
(1} Describe the purpose of this DoD information system or electrnnic collection and briefly
describe the types of personal information about individuals collected in the system.
The purpose of PAWS is to process Privacy Act (PA) requests and administrative appeals in accordance
with the Privacy Act of 197 4. Individuals submitting Privacy Act requests to the DoD CAF provide their
Personally Identifiable Information (PII) in order for the DoD CAF Privacy Act Office to verify identity and
retrieve responsive records from available systems of record. The requests generally contain a person's full
name(s), social security number (SSN), Address(es), Phone Number (optional), E-mail Address (optional),
Data and Place of Birth, and Attorney or representative name/contact information, and a brief description of
requested records.
Other types of information the system contains include personal, medical, and financial information
pertaining to the individual.
(2} Briefly describe the privacy risks associated with the PII collected and how these risks are
addressed to safeguard privacy.
Risks include, but are not limited to, identity theft, loss of employment, unwarranted public revelation of
private data, targeting, etc.
To mitigate risk, access to records is role base and one must have user name/password to gain access. The
only users authorized access to the system are DoD CAF Privacy Office staff and IT professionals. To
prevent unwarranted disclosure of personal information, system users are provided initial and follow-up
training to comply with established privacy and security policies and procedures. In addition, the building is
protected by alarm systems, and armed guards, 24 x 7 access control measures. Hardcopy documents are
maintained in a locked container when not in use.
The use of manual and automated redaction, along with security based attribute/special markings at the user
and object level, safeguards PII data.

h. With whom will the PII be shared through data exchange, both within your DoD Component and
outside your Component (e.g., other DoD Components, Federal Agencies)? Indicate all that apply.
[g]

Within the DoD Component.
Specify.

[g]

Other DoD Components.
Specify.

[g]

In accordance with the Routine Use provisions of the Privacy Act o f 197 4.

Other Federal Agencies.
Specify.

D

DoD CAF Privacy Act Office may share PII with other components within the
DOD CAF.

loPM,

FBI, CIA, NSA, NRO, etc, as needed.

State and Local Agencies.
Specify.

[g]

Contractor (Enter name and describe the language in the contract that safeguards PII.)
Specify.

D

DoD CAF contractors whom have a need to know in the performance of their duties.

Other (e.g., commercial providers, colleges).
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Specify.

i. Do individuals have the opportunity to object to the collection of their PII?

D

Yes

No

(1} If "Yes," describe method by which individuals can object to the collection of PII.
Under the Privacy Act, an individual initiates the request for records pertaining to themselves. It is necessary
for the requester to provide specific personally identifiable information in order for the DoD CAF Privacy Act
Office to verify the identity of the person, conduct an adquate search of responsive records, and retrieve
available records. Providing the information is voluntary; however, without it the DoD CAF will not be able to
process their request.

(2) If "No," state the reason why individuals cannot object.

j. Do indiividuals have the opportunity to consent to the specific uses of their PII?
Yes

D

No

(1) If "Yes," describe the method by which individuals can give or withhold their consent.
Individuals may consent to the release of their personal information to a third-party or legal representative.

(2) If "No," state the reason why individuals cannot give or withhold their consent.

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k. What information is provided to an individual when asked to provide PII data? Indicate all that

apply.

IZ]

Privacy Act Statement

D

Other

D
D

Privacy Advisory
None

Describe The following Privacy Act Statement is provided on the DoD CAF Form 3, Request for Records.
each
applicable Authorities: 5 U.S.C. 552a, the Privacy Act of 1974, as amended; 10 U.S.C. 113, Secretary of
format.
Defense; 32 CFR part 310 DoD Privacy Program; 32 CFR part 311, OSD Privacy Program; DoD
5400.11-R, Department of Defense Privacy Program; and E.O. 9397 (SSN), as amended. Principal
Purpose(s): To ensure needed information is collected so that your request for access to the records
about you maintained by the DoD Consolidated Adjudications Facility can be processed. These
records will also be used in any Privacy Act appeals or related litigation. These records are cov,ered
by DWHS E04, Privacy Act Case Files found at http://dpcld.defense.gov/Privacy/SORNslndex/
D0DwideS0RNArticleView/tabid/6797/Article/570753/dwhs-e04.aspx. Routine Use(s): The Law
Enforcement, Congressional Inquiries, Department of Justice for Litigation, National Archives and
Records Administration, and Data Breach Remediation, and Routine Uses found at http://dpcld .
defense.gov/Privacy/SORNslndex/BlanketRoutineUses.aspx may apply. Disclosure: Voluntary.
However, if the information needed to locate your records and send your response is not provided,
we will not be able to respond to your request. The Social Security Number is used to retrieve
adjudication files.
1

Additionally, a Privacy Advisory is given to the requester when we request addit ional PII data
elements in order to perfect a request. The requester is notified that the information is necessary to
conduct an adequate search of responsive records.

NOTE:
Sections 1 and 2 above are to be posted to the Component's Web site. Posting of these
Sections indicates that the PIA has been reviewed to ensure that appropriate safeguards are in
place to protect privacy.
A Component may restrict the publication of Sections 1 and/or 2 if they contain information that
would reveal sensitive information or raise security concerns.

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