The following are sample responses to specific survey questions and responses may vary depending on your department’s or college’s processes. Providing complete and accurate information specific to your department or college is still the responsibility of the unit.

DISBURSING & PAYROLL OFFICE

  1. Where is the PI system located? If the PI system is electronic, list location of the server. I the PI system is paper based, list the location of the files. If both, list the locations of both.

Disbursing and Payroll files for the current fiscal year and previous six (6) fiscal years are located at:

  • 1402 Lower Campus Road, Bldg 171-D, Room 16 & 24
  • 1402 Lower Campus Road, Bldg 171-H, Room 34
  • 1402 Lower Campus Road, Bldg 171-G
  • 1408 Lower Campus Road, Bldg 171-A, Room 46

2. What is the nature and purpose of the PI system?

  • Social Security numbers are required for income tax reporting of both Federal and State of Hawaii entities. This includes IRS reporting on 1099 & 1042 type payments, Backup Withholding, 1042 withholding. State of Hawaii reporting of payments (annual) and payment reporting to State of Hawaii Dept of Labor & Industrial Relations (Unemployment claims).
  • Based on HRS 40-53b and NACHA Operating rules, bank account numbers are required for employee direct deposits and electronic fund transfers (ACH/EFT).

3. What is the approximate number of all individuals on whom PI is maintained? (Answer is required)

4. If the PI system is electronic, please provide the IP address of the server.

5. Are there any legal requirements for establishing the PI system? If yes, what are they?

  • Title 26 of the United States Code (Internal Revenue Code), Subtitle A, Chapter 1-3
  • IRS Revenue Code Section 3406 – BackUp Withholding
  • IRS Revenue Code Section 6109 – Requirement to provide ID #
  • Treasury Regulations (26 C.F.R)
  • NACHA Operating Rules – Electronic fund transfers over the ACH network
  • Hawaii Revised Statutes (Multiple sections), i.e. – HRS 40-53b, HRS-487-N-7, etc.

6. Please check all categories of PI stored in computer-accessible (electronic) records.

  • Social Security Number
  • Financial Account information (Bank Name, Routing/Account numbers)

7. Please check all categories of PI maintained manually (paper-based).

  • Social Security Number
  • Financial Account information (Bank Name, Routing/Account numbers)

8. If State or Federal law (or any other regulations) requires any part of the PI system to be confidential, describe the confidentiality requirement and identify the State or Federal law (or regulations).

  • HRS 487-J (SSN Protection)
  • HRS 487-R (Destruction of Personal Information Records)
  • HRS 92F-12 (Disclosure Required)

9. If the PI system is maintained on an unrestricted basis (system is not deemed confidential by statute, rule or contractual obligations), describe the confidential requirements related to the system.

10. Provide detailed justification of the need by your agency for statutory or regulatory authority to maintain the PI system on a confidential basis for any system or part thereof that is required by law or rule. (Is there a need for statutory or regulatory authority to maintain the PI system on a confidential basis? If yes, please state reason.

11. List all categories of sources of PI.

Hard copy forms as well as electronic data residing in the UH Financial Information Management System (FMIS)

12. What are your Policies and Practices regarding storage of PI?

  • UH Executive policy E2.214 Security & Protection of Sensitive Information
  • UH APM A8.867 Information Reporting on 1099-MISC & Backup Withholding Payments
  • UH APM A8.868 Reporting & Withholding on Payments to Non-Resident Aliens & Foreign Corporations
  • UH APM A8.450 – Records Management Guidelines and Procedures

13. What are your Policies and Practices regarding retention of PI?

  • UH Executive policy E2.214 Security & Protection of Sensitive Information
  • State of Hawaii DAGS General records Schedule

14. What are your Policies and Practices regarding the elimination of PI from the system?

  • UH Executive policy E2.214 Security & Protection of Sensitive Information
  • State of Hawaii DAGS General records Schedule

15. Describe how the Personal Information (PI) contained in the PI system is used by the agency or program?

  • Income tax reporting for Federal and State government tax entities
  • Gross income and 1042 tax withholding reporting to the IRS
  • Granting of tax exemption based on negotiated tax treaties between the USG and foreign countries
  • Department of Labor & Industrial Relations (DLIR) reporting (unemployment claims)
  • IRS & State of Hawaii tax compliance
  • Recordkeeping and verification purposes; pay compensation; subpoenas; response to inquiry from other State agencies in accordance with Chapter 92F-19
  • ACH/EFT Payments

16. Within UH, who is the PI disclosed to? Please identify the individuals by job classification (e.g. dept secretary, Dean/Director, Prgm manager, faculty, researcher, etc.) Describe any restrictions on disclosures. If no disclosures are required, state “none.”

17. Within UH, who has access to the PI system? Please identify the individuals by job classification (e.g. dept secretary, Dean/Director, Prgm manager, faculty, researcher, etc.) Describe the purpose of their access and any restrictions on disclosure and access for all job classifications listed in your response. If no access is granted, state “none.”

18. External to UH, who is the PI disclosed to? Please identify the agency (or agencies). Describe any restrictions on disclosures or re-disclosures for each agency listed in your response. If PI is not disclosed, state “none.”

19. External to UH, what agency (or agencies) have access to the PI system? Please identify the agency (or agencies). Describe the purpose of such access and any restrictions on disclosure and access for all agencies listed in your response. If no access is granted, state “none.”

20.List all forms that are used by your agency or program to collect PI.

  • IRS Form W-9
  • IRS Form W-4
  • IRS Form W8-BEN
  • IRS Form 8233
  • State of Hawaii Form HW-4
  • UH Form WH-1
  • UH NE-INV (Non-employee Invoice)
  • FMIS Forms 4, 4C, 17, 26, 35, 36, and 36a
  • Payroll Notification Form (PNF)
  • Verification of employment forms
  • D-60 Salary Assignment/Cancellation
  • Unemployment Insurance Inquiries
  • IRS Notices
  • W-2
  • Overpayment Worksheets
  • Priority Payroll Requests
  • Scan Sheets
  • Form 78 Workers Compensation