OASAM-DOORS

Title VI/VII 2009

Abstract

Title VI/VII Processing System (Title VI/VII)
Title VI/VII is a Major Application and an online system that is accessible by federal employees of the Department of Labor's Civil Rights Center (CRC) through the Department of Labor (DOL) Employee Computer Network (ECN), which is the DOL intranet. It is developed in-house by the Office of Systems Development and Integration (OSDI).
Section 208 of Federal Information System Management Act (FISMA) and the Privacy Act of 1974, require when developing or procuring IT systems or projects that collect, use, store, and/or disclose information in identifiable form from or about members of the public or agency employees (the latter prescribed by Section 522) to identify potential privacy risks and implement appropriate privacy controls and compliance requirements. Title VI and VII contain such information and therefore require a completed PIA.

Overview

Office of the Assistant Secretary for Administration and Management (OASAM), Information Technology Center (ITC)/ OSDI is responsible for the Title VI/VII system.
The Title VI/VII Processing System (Title VI/VII) records and tracks discrimination complaints filed by DOL employees, members of the public who have applied for employment with DOL or members of the public who are either employed with or receive benefits from an entity that is funded by DOL. The mission of Title VI/VII is to track the timeliness of closure to Equal Employment Opportunity (EEO) complaints filed. Title VI/VII provides the CRC staff with standardization of its processes and centralization of its data to significantly improve the collection, management and reporting capabilities of the organization. Title VI captures discrimination complaints for members of the public who are either employed with or receive benefits identified above. Title VII captures discrimination complaints for DOL employees and people applying for employment with DOL. Title VI/VII provides a national view of the level of service CRC is providing to its constituents.
The information processed includes personally identifiable information (PII) in the form of names, business and home, address, telephone number, email address; last four digits of the Social Security Numbers (SSNs), medical information, date of birth, device identifiers, network logon credentials, and the reason that precipitated the complaint.
Title VI/VII features three different types of users and one role. The classifications are as follows:
- Users are given the permissions to access Title VI/VII, view records and update records.
- Managers are given the permissions to access Title VI/VII, view records, update records, and manage users (Add, Modify, Delete)
- Administrators are given Administrative rights such as Add, Modify, and Delete of system data.
- Investigators for Title VI/VII are DOL employees or contract investigators that conduct Equal Employment Opportunity (EEO) investigations into issues that have been accepted. It is following the investigation that a determination is made as to whether discrimination has occurred.
Title VI/VII provides CRC access via the ECN/DCN Intranet and is hosted on the Departmental Computing Network (DCN).
Title VI/VII collects personal information (either on paper and/or within the system), the following laws and internal policies are cited: the Privacy Act of 1974, Office of Management and Budget (OMB) Circular A-130, and OMB M-99-18, "Privacy Policies on Federal Web Sites". Due to the collection of personal data, any disclosure of the system data would constitute an unwarranted invasion of personal privacy. The loss, misuse, or unauthorized access or modification of this data could lead to identity theft and fraudulent activity.

Introduction

All Title VI/VII systems and devices are physically located at the DOL headquarters. Access is by cardkey. Cameras monitor outside and inside doorways, as well as the entire Datacenter on a 24-hour, daily schedule, which is also monitored via consoles located at the guards station, by the security staff on a similar 24-hour, daily schedule.

The entire building is occupied by DOL Civil Service and contractor personnel and is not open to the general public.

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, or technology being developed.

Specify whether the system collects personally identifiable information (PII) on DOL employees, other federal employees, contractors, members of the public (U.S. citizens), foreign citizens, or minor children.

Department of Labor employees, members of the public who have applied for employment with DOL or members of the public who are either employed with or receive benefits from an entity that is funded by DOL information is collected.

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

The sources of the PII are from DOL employees and members of the public.

What is the PII being collected, used, disseminated, or maintained?

The information processed includes PII in the form of names, business and home, address, telephone number, email address; last four digits of the SSNs, medical information, date of birth, device identifiers, network logon credentials, and the reason that precipitated the complaint.

How is the PII collected?

Sources include automated and paper collection of PII.

How will the information be checked for accuracy?

Automated forms ensure appropriate field accuracy (e.g., numbers can not be filled in for fields requiring letters) and human review of investigators that will verify the information with the applicant when reviewing the claim.

What specific legal authorities, arrangements, and/or agreements defined the collection of information?

Privacy Act of 1974, Office of Management and Budget (OMB) Circular A-130
OMB M-99-18, "Privacy Policies on Federal Web Sites"

The following legal authorities are applicable for the Title VI Process:

Title VI of the Civil Rights Act of 1964
Rehabilitation Act of 1973 Sections 504 & 508
Age Discrimination Act of 1975
Title IX, Education Amendments of 1972
Social Security Act
Job Training Partnership Act Section 167
Workforce Investment Act of 1998 Section 188
Americans with Disabilities Act of 1990
Executive Order 13160
Secretary's Order 4-2000

The following legal authorities are applicable for the Title VII Process:

Executive Order 11478
Title VII of the Civil Rights Act of 1964
Equal Pay Act of 1963
Age Discrimination in Employment Act of 1967
Rehabilitation Act of 1973 Sections 501, 504 & 508
Civil Service Reform Act of 1978
Secretary's Order 2-81 & 3-96

Privacy Impact Analysis

The application layer provides protections to afford compliance with FISMA and Privacy Act provisions. Security protections address:

Authorization: Role-based authorization and confidentiality via passwords.
Authentication: Assuring a user's identity, accomplished by the use of unique shared secrets (e.g., portion of the SSN string, name, and date of birth).
Audit Trail: Entries are recorded in the database or server logs, while in the system. The Title VI/VII System provides a strong "chain of trust" to its users.
Secure Data Storage and Transmission: Connections occur within the database using strong database account rules and access by authorized administrators.
Integrity: Users are validated and all servers are virus-protected

With these additional protective provisions in place, the risk of unauthorized exposure or release of privacy information is minimized.

Uses of the PII

The following questions are intended to clearly delineate the use of information and the accuracy of the data being used.

Describe all the uses of the PII

Users of the PII include the Civil Rights Center (CRC) management and its employees to keep a record of and track Equal Employment Opportunity (EEO) complaints (involving alleged discrimination) filed by individuals who are either employees of entities or participants in programs that receive funds from the U. S. Department of Labor (DOL).

What types of tools are used to analyze data and what type of data may be produced?

Application functionality: Creates a complaint; Exports Data Search to HTML; Creates, Edits, Saves and Prints Reports; Maintains stages, Statuses, users, referrals, DOL Programs; Maintains centers, contractors, basis, issues, laws and remedies; Tracks and Manages complaints; Captures Complaint information; Captures Representative, Jurisdiction, Disposition and assignment information; Tracks and Manages Complaint status and History with CRC; Stores and manages standardized responses to Customer and issues; Captures cause and basis of complaint; Captures remedies, issues and Equal Opportunity Service (EOS) diary; Generates letter to communicate with the customer.

Will the system derive new data, or create previously unavailable data, about an individual through aggregation of the collected information?

No, Title VI/VII Processing System does not derive new data or create previously unavailable data about an individual.

If the system uses commercial or publicly available data, please explain why and how it is used.

Title VI/VII Processing System does not use commercial or publicly available data.

Privacy Impact Analysis

An applicant's complaint forms are stored in secured file cabinets, in restricted areas where access to them is limited only to authorized personnel. Automated files and system access are controlled by means of identification numbers and passwords.

Retention

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

How long is information retained in the system?

Paper records containing PII, are retained for a period of three (3) years after the final disposition of a compliant. Automated files are stored for two (2) years. After the 3 year retention period of paper records, they are then retired to the Federal Records Center for two (2) years, and then destroyed via shredding. Automated files are stored on disc or tape for three (3) additional years and then destroyed via shredding.

Has the retention schedule been approved by the DOL agency records officer and the National Archives and Records Administration (NARA)?

The retention schedule is currently undergoing the initial stages of the approval process by the DOL agency records officers and NARA.

Privacy Impact Analysis

The length of time information is retained provides for an effective retention period, allowing enough time to use the information as needed to complete the mission, and is destroyed in a manner best effective and in compliance with NARA. The impact to the retention period for Title VI / VII is low.

Internal Sharing and Disclosure

The following questions are intended to define the scope of sharing within the Department of Labor.

With which internal organization(s) is the PII shared, what information is shared, and for what purpose?

All PII within Title VI Process (see section 1 for information collected) is shared with Employment Standards Administration's (ESA) Office of Federal Contract Compliance Program (OFCCP) when a complainant is alleging discrimination due to an issue within a federal contract. PII is also shared with the Employment and Training Administration (ETA) when an applicant is alleging discrimination related to an ETA program.

All PII captured within Title VII Process (see section 1 for information collected) is shared with the following nine (9) internal organizations:
BLS, ESA, ETA, MSHA, OASAM, OIG, OSHA, EBSA and SOL. The information is limited only to the Agency EEO Managers and Regional Civil Rights Officers to assist in the applicant's complaint process.
*Note: SSN (last 4 digits) are only captured for system users.

How is the PII transmitted or disclosed?

PII within Title VI Process is transmitted via DOL's internal mail.

PII within Title VII Process is not transmitted as the EEO Managers have direct access to the system.

Privacy Impact Analysis

PII that is transmitted through DOL's interoffice mail system is marked confidential and sealed. Information transmitted through electronic review is protected through implementation of confidentiality and integrity controls. The impact of compromise of information through transmission is low.

External Sharing and Disclosure

The following questions are intended to define the content, scope, and authority for information sharing external to DOL which includes federal, state and local government, and the private sector.

With which external organization(s) is the PII shared, what information is shared, and for what purpose?

In the event that a discrimination case file falls outside of DOL's jurisdiction for the Title VI Process, the entire complainants' case file (paper form) is then forwarded via Fed Ex to the appropriate federal agency that is responsible for processing and now resolving the complaint. Other federal agencies that may have impact are: Department of Labor (DOL), Department of Education (DOE), Equal Employment Opportunity Commission (federal and/or state level) (EEOC), Health and Human Services (HHS), and the Department of Transportation (DOT).

Medical information within Title VII Process is shared with the Public Health Service (PHS). They assist in determining whether individuals are eligible for disability.

Is the sharing of PII 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 PII outside of DOL.

Yes, the sharing of PII outside of the Department is compatible with the original collection, and is addressed in SORN (DOL/OASAM-22) for Title VI Process:
http://www.dol.gov/sol/privacy/dol-oasam-22.htm

As well as in SORN (DOL/OASAM-17) for Title VII Process:
http://www.dol.gov/sol/privacy/dol-oasam-17.htm.

How is the information shared outside the Department and what security measures safeguard its transmission?

Information is transported via Federal Express (FedEx) carrier for Title VI/VII Processing Systems. The PII is in paper form and enclosed in a sealed enveloped.

Privacy Impact Analysis

There are privacy risks associated with personal information being handled by a third party. Should the Fed Ex envelope become lost, stolen or tampered with in any way the complainant's information is vulnerable to identify theft or other fraudulent activities. In order to mitigate this potential issue, information should be transmitted in electronic media only (e.g. disc, flash drive…etc) with encryption to safeguard against unauthorized access to PII. Using appropriate methods for securing transmission of information outside of the Department identify the potential risk as low.

Notice

The following questions are directed at notice to the individual of the scope of PII collected, the right to consent to uses of said information, and the right to decline to provide information.

Was notice provided to the individual prior to collection of PII?

The DOL website that hosts this application identifies the Privacy and Security statement for review by applicants. http://www.dol.gov/oasam/programs/crc/YourRightsEEO.htm

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

Yes, individuals have the opportunity and/or right to decline to provide information.

Do individuals have the right to consent to particular uses of the information? If so, how does the individual exercise the right?

Yes, individuals have the right to consent to particular uses of the information. For instance, an applicant can submit a complaint anonymously, thus not disclosing their name and contact information. The form also contains information on the "notice about investigatory uses of personal information" link. http://www.dol.gov/oasam/programs/crc/CIF-Notice.htm

Privacy Impact Analysis

Notice is provided to individuals and requires signature and date of authorization or non-authorization of disclosure of identity. Therefore, the impact of an individual providing the information without notification is low.

Access, Redress, and Correction

The following questions are directed at an individual's ability to ensure the accuracy of the information collected about them.

What are the procedures that allow individuals to gain access to their information?

Due to the sensitive nature of the information collected applicants are not allowed to directly access their information. However, they can request a status of their complaint and information will be provided via email or US mail.

What are the procedures for correcting inaccurate or erroneous information?

If inaccurate or erroneous information was initially identified by the applicant or the CRC staff, typically a phone call is placed advising of the situation and the corrective actions needed.

How are individuals notified of the procedures for correcting their information?

An official correspondence will be sent to the individual on DOL Letterhead notifying them of the correction(s) made.

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

This is not applicable as the Civil Rights Center's staff makes every effort to rectify inaccurate or erroneous information and inform the applicant of the process prior to involvement.

Privacy Impact Analysis

Privacy risks have been identified as low.

Technical Access and Security

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

What procedures are in place to determine which users may access the system and are they documented?

Yes, procedures/functionality is in-place to ensure only authorized users are added to the Title VI/VII Processing System. The authentication process uses SSN information (last 4 digits) to guarantee only authorized DOL users have access to the system.
NOTE: SSNs (last 4 digits) are not stored for applicants that file complaints.

Will Department contractors have access to the system?

No, contractors do not have access to Title VI/VII Processing System.

Describe what privacy training is provided to users, either generally or specifically relevant to the program or system?

Informal training is offered to new users on Title VI/VII Processing System to ensure the proper use of the system. Additionally, there's a yearly training offered at the program level to all employees and managers that utilize the Title VI/VII Processing System.

What auditing measures and technical safeguards are in place to prevent misuse of data?

Manual records are maintained in secured file cabinets or in restricted areas, access to which is limited to authorized personnel. Automated files are controlled by means of identification numbers and passwords.

Privacy Impact Analysis

It was identified that a mechanism for auditing the system is needed. The Plan of Action and Milestones (POA&M) identifies this need and its resolution.

Technology

The following questions are directed at critically analyzing the selection process for any technologies utilized by the system, including system hardware, RFID, biometrics, and other technology.

What stage of development is the system in, and what project development life cycle was used?

Title VI/VII Processing System is in the operations and maintenance phase of the Software Development Life Cycle Management Manual (SDLCMM).

Does the project employ technology which may raise privacy concerns? If so please discuss their implementation?

No, Title VI/VII Processing System does not employ technology that would raise privacy concerns.

Determination

As a result of performing the PIA, what choices has the agency made regarding the information technology system and collection of information?

OASAM has completed the PIA for Title VI / VII which is currently in operation. OASAM has determined that the safeguards and controls for this moderate system adequately protect the information.
OASAM has determined that it is collecting the minimum necessary information for the proper performance of a documented agency function.