DEPARTMENT OF TRANSPORTATION
Federal Motor Carrier Safety Administration (FMCSA)
PRIVACY IMPACT ASSESSMENT
FMCSA LAN Segment at Volpe
June 17, 2009
TABLE OF CONTENTS
Overview of FMCSA privacy management process for FMCSA LAN Segment at Volpe
Personally Identifiable Information (PII) and FMCSA LAN Segment at Volpe
Why FMCSA LAN Segment at Volpe collects information
How FMCSA LAN Segment at Volpe uses information
How FMCSA LAN Segment at Volpe shares information
How FMCSA LAN Segment at Volpe provides notice and consent
How FMCSA LAN Segment at Volpe ensures data accuracy
How FMCSA LAN Segment at Volpe provides redress
How FMCSA LAN Segment at Volpe secures information
How Long FMCSA LAN Segment at Volpe Retains Information
System of Records
The Federal Motor Carrier Safety Administration (FMCSA) within the U.S. Department of Transportation (DOT) has been given the mission of reducing crashes, injuries, and fatalities involving large trucks and buses (motor carriers). In carrying out its safety mandate, FMCSA:
- Develops and enforces data-driven regulations that balance motor carrier safety with industry efficiency
- Employs safety information systems to focus on higher risk motor carriers in enforcing safety regulations
- Targets educational messages to motor carriers, commercial drivers, and the public
To meet these goals, FMCSA partners with stakeholders' including federal, state, and local enforcement agencies; the motor carrier industry; safety groups; and organized labor on efforts to reduce crashes involving motor carriers. Since the first step towards reducing accidents is to understand them, FMCSA collects and maintains commercial vehicle safety data as well as a national inventory of motor carriers and shippers subject to Federal Motor Carrier Safety Regulations (FMCSR) and Federal Hazardous Materials Regulations (FHMR). FMCSA LAN Segment at Volpe is the infrastructure which facilitates the interoperation of a number of Federal and State information systems under the auspices of FMCSA.
Privacy management is an integral part of FMCSA LAN Segment at Volpe. DOT/FMCSA has retained the services of privacy experts to assess its Privacy Management Program through the use of proven technologies, sound policies and procedures, and established methodologies.
The U.S. Department of Transportation (DOT) privacy management process is built upon a methodology that enables DOT/FMCSA to have the information, tools, and technology necessary to effectively protect PII while allowing FMCSA to achieve its mission. The methodology includes the following:
- Establishing appropriate authorities, responsibilities, and controls for information management with input from systems architecture, technology, security, legal, and other disciplines
- Identifying, documenting, and addressing privacy risks
- Developing and implementing appropriate policies and procedures and updating them when necessary
- Monitoring compliance with applicable laws, regulations, policies, and procedures
- Providing training to all DOT employees and contractors with access to PII
- Effectively maintaining the privacy protection principles of:
- Individual Participation
- Purpose Specification
- Collection Limitation
- Use Limitation
- Data Quality and Integrity
- Security Safeguards
- Accountability and Auditing
Privacy is a significant consideration in the operation of the FMCSA FMCSA LAN Segment at Volpe.
This Privacy Impact Assessment (PIA) was conducted for FMCSA LAN Segment at Volpe system because:
- Medical information is entered and saved on file servers in the field and service centers by the medical waiver specialists. These file servers are backed up to one backup server on the FMCSA LAN Segment at Volpe
- The Social Security Number is collected on the Commercial Driver Fitness Determination form and the information is entered in a database on the user's desktop and later uploaded to the file servers located in the respective service centers. These file servers are backed up to the backup server in FMCSA LAN Segment at Volpe
Following are the type of PII data elements potentially stored on the backup server on the FMCSA LAN Segment at Volpe:
- Medical Information
- Social Security Number
- Date of Birth
- Drivers Name
- Drivers License
- Personal Address
- Personal Phone Numbers
FMCSA LAN Segment at Volpe does not collect PII directly from individuals. FMCSA LAN Segment at Volpe only stores PII that has been collected through other FMCSA systems.
The PII information is stored on a backup server on FMCSA LAN Segment at Volpe strictly for the purpose of backup.
The PII information is stored on a backup server on FMCSA LAN Segment at Volpe strictly for the purpose of backup and this information is not shared with any other systems.
FMCSA LAN Segment at Volpe does not collect PII directly from individuals and only stores PII that has been collected through other FMCSA systems. Therefore, because the FMCSA LAN segment at Volpe does not collect PII directly, it does not provide notice and consent.
FMCSA LAN Segment at Volpe does not collect PII directly from individuals. The LAN Segment only stores PII that has been collected through other FMCSA systems. These FMCSA systems have edit checks and data rules in place for checking the valid syntax of inputs (e.g., character set, length, numerical range, acceptable values) and to verify that inputs match specified definitions for format and content.
FMCSA provides redress for the FMCSA LAN Segment at Volpe through the DataQs system (https://dataqs.fmcsa.dot.gov/login.asp). The DataQs system is an electronic means for filing concerns about federal and state data released to the public by FMCSA. Individuals can use DataQs to challenge information included in their records. Motor carriers, state agencies, and FMCSA offices can use DataQs to challenge information. After a challenge has been submitted, DataQs automatically forwards the challenge to the appropriate office for resolution and allows the party that submitted the challenge to monitor its status.
Any challenges to information provided by state agencies must be resolved by the appropriate state agency.
User access controls were developed to ensure that the number of individuals with access to restricted information in FMCSA LAN Segment at Volpe was kept to a minimum and was restricted to only those with a need to know. This strategy improves data confidentiality and integrity. These access controls were developed in accordance with Federal Information Processing Standards (FIPS) Publication 200, Minimum Security Requirements for Federal Information and Information Systems dated March 2006 and National Institute of Standards and Technology (NIST) Special Publication (SP) 800-53 Rev. 2, Recommended Security Controls for Federal Information Systems dated December 2007. The FMCSA Office of Information Technology has provided guidance to protect the confidentiality and integrity of PII associated with FMCSA LAN Segment at Volpe. Audit provisions were also included to ensure that FMCSA LAN Segment at Volpe is used appropriately by authorized users and monitored for unauthorized usage.
The FMCSA LAN Segment at Volpe is housed in the Volpe National Transportation Systems Center, under the management of the Transportation Information Systems Division. The data center operates in is a restricted access facility. Beyond a small list of personnel with trusted access, DOT personnel and contractors are required to sign in and out, give the purpose of their visit and estimated time, and are required to be escorted by one of the personnel with trusted access. All users are required to authenticate themselves with a user name and password, except for the public web applications.
A certification and accreditation (C&A) is performed every three years to ensure that FMCSA LAN Segment at Volpe meets FMCSA and federal security requirements. FMCSA LAN Segment at Volpe also undergoes an additional C&A whenever a major change occurs to the system. FMCSA LAN Segment at Volpe is assessed in accordance with the Office of Management and Budget (OMB) Circular A-130 Appendix III, Security of Federal Automated Information Resources and the DOT Certification and Accreditation Guidance. Additional activities are performed more frequently to ensure that FMCSA LAN Segment at Volpe complies with regulatory requirements. The FMCSA LAN Segment at Volpe undergoes an annual risk assessment, that identifies potential threats and risks associated with the system and all identified risks are documented in a Plan of Action and Milestones (POA&M) for remediation by the system owner. As open risk items are resolved, the FMCSA IT Security Team updates the appropriate security documents with the new information. Continuous monitoring activities are also performed at least annually to provide ongoing oversight of security controls and to detect misuse of information stored in the FMCSA LAN Segment at Volpe. The FMCSA Continuous Monitoring Program involves the following activities:
- Configuration management and configuration control processes
- Security impact analyses on changes to the information system
- Regular assessments of select security controls in the information system
- Security status reports to appropriate agency officials
FMCSA LAN Segment at Volpe retains and disposes of information in accordance with the approved records retention schedule as required by the National Archives and Records Administration (NARA).
PII is not used to search for information in the FMCSA LAN Segment at Volpe LAN. Therefore, the FMCSA LAN Segment at Volpe is not a Privacy Act system and does not require a System of Records Notice (SORN).